Philip Del Rosa, Chairman 

Alturas Indian Rancheria 

P.O.Box 340 

Alturas, CA 961 01 

Re: Approval of Tribal Gaming Ordinance adopted by Resolution No. 2008-0002, 

~l&s Indian Rancheria 

Dear Chairman Del Rosa: 

This letter responds to the Alturas Indian Rancheria's request to the National 

Indian Gaming Commission (NIGC) to review and approve the Rancheria's Amended 

Tribal Gaming Ordinance. The Rancheria Business Committee approved the Amended 

Ordinance by Resolution No. 2008-0002, on May 2,2008. This letter constitutes such 

approval under the Indian Gaming Regulatory Act (IGRA). It is important to note that 

the gaming ordinance is approved for gaming only on Indian lands, as defined in the 

IGRA, om Tribe has jurisdiction. 

ng the ordinance for review and approval. The NIGC staff 

with you and the Alturas Indian Rancheria on future 

NATIONAL HEADQUARTERS 1444 L St NW. Suite 91W. Wash~ngton, DC 20005 Tel. 202.632.7W3 Fax: 202 632.7066 M.NlGC.GOV 

REGIONAL OFnCES Ponland, OR: Sacramento. CA. Phoenix, AZ: St. Paul. MN.fulsa. OK 
TMBAL GAMING ORDINANCE 

OF THE 

ALTURAS INDIAN RANCMERIA 

TITLE I 

REGULATION OF CLASS I1 AND CLASS IT1 GAMING 

A lm~ to authorize, license and replate the conduct of Class II and Class 111 Gaming within the 

jurisdiction q f the ALTURAS INDIAN RANCHERXA. 

SECTION 1 FXNDINGS, INTENT AND POLICY 

1.1 Findings The ALTURAS INDIAN RANCHERIA ("Tribe" or "Tribal") Business 

Committee on behalf of the General Council finds that: 

1.1.1 Tribal regulation and control of Gaming within the jurisdiction of the 

Tribe is essential for the protection of public health and welfare of the 

Tribe and visitors to the Tribal community. 

1.1.2 The Tribe has the legal authority to license and reslate any Gaming 

Activity within the jurisdiction of the Tribe. 

1.1.3 ProperIy licensed and regulated Gaming are in conformance with 

announced Federal policy promoting Indian self-government and Indian 

Tribal economic self-sufficiency. 

1.1.4 It is essential that the Business Committee reaplate Gaming in a manner 

commensurate with applicable Federal, State of California ("'State") and 

Tribal law and policy. 

I .1.5 The present needs of the Tribe are not adequately addressed by State and 

Federal programs including the need for increased employment, training, 

housing, health care, nutrition, educational opportunities, preservation of 

culture, social services and community and economic development. 

1.1.6 Tribal operation and licensing of Gaming is a legitimate means of 

generating revenue to address the aforementioned needs and pursuing the 

Tribe's goal of self-sufficiency and self-determination. 

1.1.7 The State, in recognition of the Tribe's sovereign right and need for 

Gaming, has entered into a TribaVState Compact ("Compact") pursuant to 

the terms and conditions of the Indian Gaming Regulatory Act. 
1.1 -8 As a result of the foregoing, the adoption of a new and expanded Gaming 

Ordinance is in the best interest of the Tribe and State. 

1.2 Intent The Business Committee, on behalf of the Tribe, declares that the intent 

of this Code is to: 

1.2.1 Regulate, control, and oversee Gaming within the jurisdiction of the Tribe. 

1.2.2 State, declare and otherwise clarify that a License related to Gaming is a 

revocable privilege, not a right. 

1.2.3 Ensure that the operation of Tribally regulated Gaming can continue as a 

means of generating Tribal revenue. 

1.2.4 Ensure that Gaming is conducted ErIy and honestly by both Licensees 

and players, and that it remain free from corrupt, incompetent, 

unconscionabfe and dishonest practices. 

1.2.5 Encourage Tribal economic development and employment opportunities. 

1.2.6 Ensure that all Gaming revenue is used for the benefit of the Tribe and its 

community. 

1.2.7 Ensure that the Tribe provides a fair and impartial forum for the resolution 

of Gaming disputes. 

1.2.8 Ensure that Tribal Gaming laws are strictly and fairly enforced upon 

Persons involved in Gaming Activity within the jurisdiction of the Tribe. 

1.3 Policy 

1 -3.1 Tribal PoIicy of Self-Government The Tribe is fdy committed to the 

principle of Tribal self-government. Consistent with Federal policy, 

Gaming revenues shall be utilized and expended by the Business 

Committee by resolution and only for the following purposes: 

(1) To fund Tribal government operations or progams. 

(2) To provide for the general welfare of the Tribe and its members. 

(3) To promote Tribal economic development. 

(4) To donate to charitable organizations. 

(53 To preserve and protect cultural and historic resources. 
(6) To help to fund operations of local government agencies, general 

governmentaI services, the maintenance of peace and good order, 

the establishment of educational systems and programs, and the 

promotion and reguIation of economic activities within the 

sovereign jurisdiction of the Tribe. 

1.3.2 Tribal Gaming Policy The establishmen& promotion and operation of 

Gaming is necessary, provided that such Gaming is regulated and 

controlled by the Tribe pursuant to the TribaIlState Compact authorized by 

the Indian Gaming Regulatory Act, and that the revenues of such Gaming 

are used exdusively for the benef t of the Tribe. 

1.3.3 Tribal Ownership of Gamine Facility The Tribe shaII have sole 

proprietary interest in and responsibility for the conduct of Gaming 

Facilities maor Enterprises authorized by this Code. 

1.3.4 Tribal Class 11 Gaming Authorized Class I1 Gaming is authorized as 

defined in the IGRA, P.L. 100-447, 25 U.S.C. Section 2703(7)(A) and by 

reLplations promulgated by the NIGC. 

1.3.5 TribaI Class III Gamin4 Authorized Class IT1 Gaming is authorized and 

permitted only to the games identified pursuant to Section 4.1 of the 

TriballState Compact as approved by the Secretary of the Interior, and 

played in accordance within the definitions and scope of the IGU1 P.L. 

1 00-447, 25 U.S.C. Section 270318) and by regulations promulgated by 

the NIGC. 

1.3.1 Tribal Class 111 Internal Control Standards: The Tribe voluntarily, 

through this tribaI gaming ordinance, shall maintain minimum internal 

control standards (MICS) that equal or exceed those set forth in 25 C.F.R. 

542 (as in effect on October 1, 2006). The Tribe will work with NIGC to 

ensure compliance with MICS regulations. 

SECTION 2 DEFINITIONS 

In this Code, except where otherwise specificaIly provided or the context othemise 

requires, the foIlowing terms and expressions shall have the following meanings: 

2.1 "Adjusted Gross Revenues" means gross revenues less all cash prizes or the 

aggregate price of merchandise prizes, except in the case of the games of draw 

poker and stud poker. Regarding games of draw poker and stud poker, "adjusted 

gross revenues" means the time buy-ins or tournament fees collected by the 

Licensee. 
"Applicant" means any Person or entity who has applied for a License under the 

provisions ofthis Code. 

"Application" means a request for the issuance of a License for employment by a 

Gaming Facility, or for approval of any act or transaction for which approvaI is 

required or permitted under the provisions of this Code. 

''Association'' mean representatives from California tribes, the Califomia State 

Division of Gaming Control and the California Gambling Control Commission as 

established pursuant to Section 2.2 of the Compact. 

"Bingo" means the game of chance comdy hown as bingo (whether or not 

electronic, computer or other technologic aids are used in connection therewith) 

which is played for prizes, including monetary prizes, with cards bearing numbers 

or other designations, in which the holder of each card covers such numbers or 

designations when objects, similarly numbered or designated, are drawn or 

electronically determined, and in which the game is won by the first Person 

covering a previously designated arrmgement of numbers or designations on such 

cards, including (if played in the same location) pull-tabs, lotto, punch boards, tipjars, instant bingo and other games similstr to bingo. 

'"reahge" means the remainder by which the amount payable on each dollar 

wagered exceeds a multiple of ten cents, and in a minus pool, five cents. 

"Capital Cost" means any disbursement for Personal property, the useful life of 

which is expected to extend beyond one year. 

"Cash" means any currency commonly accepted as legal tender, including but 

not limited to currency, traveler's checks, credit cards, and electronic debit cards. 

"Casino" means an establishment in which several Gaming activities or 

enterprises are operated. 

"Charitable Gaming Ticket" means any game piece used in the pIay of a paper 

pull tab game, or jar ticket game, or raffle. 

'"heating" means a Person's operating or playing in my game in a manner in 

violation of the written or commonly understood rules of the game, with the intent 

to create for himself or someone in privity with him an advantage over and above 

the chance of the game. 

'"Cass XI Gaming" means those Gaming activities as defined as Class I1 Gaming 

in the IGRA of 1988, P.L. 100-447,25 U.S.C. Section 2703(7). 
2.13 "Class JlI Gaming" means those Gaming activities as defined as Class III 

Gaming in the IGRA of 1988, P.L. 100-447,25 U.S.C. Section 2703(8). 

"Code" means this Tribal Gaming Ordinance of the Alturas Indian Rancheria, as 

amended. 

C(Compact" means the Gaming compact between the Tribe and the State, as 

authorized by the Indian Gaming Regulatory Act. 

"C~ornpensation" means all wages salaries, perks, bonuses and all other forms of 

enumeration for services rendered. 

"Contract" means any legally binding agreement made between a Licensee and 

another Person for the purpose of conducting any form of lawful Gaming 

Activity, or providing goods or services to any lawful Gaming Activity or 

operation. 

"Committee" or "Business Committee" rneans the governing body of the Tribe. 

"Determination of Suitabi1ity"means a formal finding by the Tribal Gaming 

Commission or State Gaming Agency that the Applicant or Licensee is suitable to 

obtain and/or maintain the License. 

"Employee" means any person who (a) operates. maintains, repairs, assists in any 

Gaming Activity, works in, or is in my way responsible for supervising such 

Gaming Activities or persons who conduct, operate, account for, or supervise any 

such Gaming Activity, (b) is in a category under federal or Tribal gaming law 

requiring licensing, (cj is an employee of the TribaI Gaming Commission with 

access to confidential information, or (d) is a person whose employment duties 

require or authorize access to areas of the Gaming Facility that are not open to the 

public. 

"Enrolled TribaI Member" means a Person who is enrolled with the Tribe, and 

whose name appears on the tribal membership roll. 

'T~nterprise" means the economic entity that is licensed by the Tribal Gaming 

Commission, operates the gmes, receives the revenues, issues the prizes, and 

pays the expenses. A Gaming Enterprise may be operated by the Tribe or a 

Management Contractor. 

"Equipment for Games of Chance" (see "Gaming Device"). 

2.24 "Exclusive Licensen means a license, which precludes the Tribal Gaming 

Commission from issuing to another a license for the same specific form of 

Gaming during the Iife of the exclusive license. An Applicant must demonstrate 
and the Tribal Gaming Commission must find that the issuance of an Exclusive 

License is in the economic interest and welfare of the Tribe. 

2.25 "False Statement" means any misstatement, misrepresentation or false statement 

of facts or information, including the withholding or omission of facts and 

information. 

2.26 "Financial Source" as that term is used in § 6.4.6 of the Compact and in this 

Code, means every Person, with whom the Tribe enters into an agreement or 

contract for the purpose of extending financing to the Tribe, the proceeds of 

which are used either directly or indirectly to finance the Gaming Facility or 

Enterprise. For the purposes of this section and 5 5.1.3, the term "Contract" 

means an agreement between the Tribe, or any Tribal subdivision, arm, or entity, 

and another Person. Financial Sources must be licensed. 

2.27 "Games of Chance" means any game or activity, which falls within the broad 

definition of Gaming or Gaming Activity. 

2.28 "Earning" or '(Gaming Activity" means any activity, operation or game of 

chance in which any valuable consideration may be wagered upon the outcome 

determined by chance, skill, speed, strength or endurance, and in which any 

valuable prize is awarded to the player so wagering. 

"Gaming Devicen means a slot machine, including an electronic, 

electromechanical, eIectrica1, or video device that, for consideration permits: 

individual play with or against that device or the participation in any electronic, 

electromechanical, electrical, or video system to which that device is connected; 

the playing of games thereon or therewith, including, but not limited to, the 

playing of facsimiles of games of chance or skill; the possible delivery of, or 

entitlement by the pIayer to, a prize or something of value as a result of the 

application of an element of chance; and a method for viewing the outcome, prize 

won, and other information regarding the playing of games thereon or therewith, 

provided however the nothing herein shall be interpreted as including Class I1 

Gaming as defined under PGRA 

2.30 "Gaming Facility" means any buiIding in which Gaming Activities or Gaming 

operations occur, or in which the business records, receipts, or other funds of the 

Gaming operation are maintained (hut excluding offsite facilities primarily 

dedicated to storage of those records, and financial institutions), and all rooms, 

buildings, and areas, including hotels, ancillary businesses, parking lots and 

walkways, a principal purpose of which is to serve the activities of the Gaming 

operation, provided that nothing herein prevents the conduct of Class I1 Gaming 

(as defined under IGRA) therein. 
2.31 "Gaming Program" means any Tribal program, which oversees one or more 

parts of the operation of Gaming. The Gaming Program must be licensed by the 

Tribal Gaming Commission. 

2.32 "Gaming Vendor" means the same as a "Gaming Resource Supplier" as defined 

by the Compact or any Person or entity who, directly or indirectfy, manufactures, 

distributes, supplies, vends, leases or otherwise purveys Class 11 Gaming or Class 

111 Gaming resources to the Gaming Facility, provided that the Tribal Gaming 

Commission may interpret this definition to exclude a purveyor of equipment or 

furniture that is not specifically designed for, and is distributed generalIy for use 

other than in connection of Gaming. Gaming Vendors must be Licensed. 

2.33 "Genera1 Managern means the Person or entity, which has management 

responsibilities for the Gaming Activity, and which shall have access to all areas 

of the Gaming FaciIity, provided that such access to the surveillance room and 

count room shall be by prior notice to the Tribal Gaming Commission. 

2.34 "Gross Revenues" means all gaming and non-gaming revenues collected or 

received from the lawful Gaming Enterprise. 

2.35 "Immediate Family" means, with respect to the Person under consideration, a 

husband, wife. father, mother, son, daughter, brother, sister, father-in-law, 

mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, 

stepfather. stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother 

or half sister, and any Person that resides in the home or residence of the Person 

under consideration. 

2.36 "Indian Gaming Regulatory Act" or "IGRA" means Public Law 1 00-497, 102 

Stat. 2426,25 U.S.C. $$2701, et seq. (19881, as amended. 

2.37 "Indian Lands" means: 

2.37.1 Lands within the limits of the Tribe's exterior boundaries, whereby it 

exercises sovereign jurisdiction over such lands, notwithstanding the 

issuance of any patent and including rights-of-way sunning through such 

lands; and 

2.37.2 Land title to which is either held in trust by the United States for the 

benefit of the Tribe or individual Indian or held by the Tribe subject to 

restriction by the United States against dienation and over which the Tribe 

exercises governmental powers; and 

2.37.3 Lands that may be acquired by the Tribe that meet the requirements of 25 

U.S.C. Section 2719 et. seq. 
2.38 "In privity with" means a relationship involving one who acts jointly with 

another or as an accessory before the fact to an act committed by the other or as a 

co-conspirator with the other. 

2.39 "IRS" means the United States Internal Revenue Service. 

2.40 "'Key EmpIoyeel' means: 

2.40.1 A Person who perfoms one or more of the following hctions: 

(1) Bingo caller; 

(2) Counting room supervisor md Personnel; 

(3) Chief of security, or any Person who supervises or directs other 

employees engaged in providing security or surveillance services; 

(4) Custodian of Gaming supplies or cash; 

(5) Floor manager; manager or General Manager; 

(6) Pit boss; 

(7) Dealer; 

(8) Croupier; 

(9) Approver of credit or whose recommendation in this regard are 

ordinarily sought or followed; or 

(10) Custodian of gambling devices including Persons with access to 

cash and accounting records within such devices; 

2.40.2 If not otheMrise included, any other Person whose total cash compensation 

is in excess of $10,000 per year; or 

2.40.3 If not othemise included, any other Person who supervises or directs other 

employees engaged in the control of Gaming assets and revenues and 

record keeping, including the recording of cash and evidences in 

indebtedness, and the maintenance, review, or controI of the records, 

accounts, arid reports of transactions; or 

2.40.4 If not otherwise included, the four most highly compensated Persons in the 

Gaming Facility; or 
2.40.5 Any Applicant or Person the Tribal Gaming Commission finds is 

important or necessary to the operation of the Gaming Facility. 

"License" means the official, legal and revocable permission granted by the 

Tribal Gaming Commission to an Applicant to conduct "Licensed'Wming 

Activities of the Tribe. 

"Licensee" means the Employee, Key Employee, Primary Management OfficiaI, 

Vendor, Enterprise or Facility that has legitimately obtained a valid License. 

'Totto" means a form of Gaming in which the revenues derived from the sale of 

tickets or chances are pooled and those revenues or parts thereof aIIotted by 

chance to one or more chance takers or ticket pwchasers. The Licensee 

conducting the "lottery" determines the amount of cash prizes or winnings and a 

progressive pool is permitted. 

uManagement Contract" means any Contract for the management of Class II or 

Class III Gaming within the meaning of IGM and any Contract entered between 

the Tribe and a Vendor, which authorizes the Vendor to manage any Gaming or 

Gaming Facility, including any Contract defined as a Management Contract under 

IGRA by the NXGC. 

"Management Contractor" means any Person or entity who has entered into a 

Class I1 or Class XI1 Gaming Management Contract or is a Vendor who is 

authorized to manage Gaming or Gaming Facility, including any Person who is 

regarded as a Management Contractor within the meaning of IGRA or the NIGC. 

'Wational Indian Gaming Commission'~r 'WGC" means the National. Indian 

Gaming Commission established by the IGRA. 

"Net Revenues" means Gross Revenues less amounts paid out as prizes and less 

total Gaming related operating expenses, excluding Management Contractor fees. 

"Net Win" means the "net win" as defined by the American Institute of Certified 

Public Accountants. 

"Participate" means operating, directing, financing or in any way assisting in the 

establishment of or operation of any class of Gaming or any site at which such 

Gaming is being conducted, directly or indirectly, whether at the site in Person or 

off the Rancherjst. 

"Person " means any individual, partnership. joint venture, corporation, joint 

stock company, company, firm, association, hst, estate, club, business trust, 

municipal corporation, society, receiver, assignee, trustee in bankruptcy, political 

entity and any owner, director, office or empIoyee of any such entity or any 

group of individuals acting as a unit, whether mutual, cooperative, fraternal, 
nonprofit, or otherwise, the government of the Tribe, any governmental entity of 

the Tribe or any of the above Iisted foms of business entities that are wholly 

owned or operated by the Tribe; provided, however, that the term does not include 

the Federal Government and any agency thereof. The plural of "Person" is 

"people.'" 

2.51 "Player" means a Person participating in a game with the hope of winning 

money or other benefit, but does not incIude a Licensee or any assistant of n 

Licensee. 

2.52 "Primary Management Official" means: 

2.5 1.1 The Person having management responsibility for the overaI1 operation of 

the Enterprise or Facilifv, or a management contract; or 

2.5 1.2 Any Person who has authority to: 

(1) Hire and fire employees; or 

(2) Set up working policy for the Gaming Operation; or 

2.51.3 The Chief Financial OfXicer or other Person who has financial 

management responsibiIity. 

2.53 "Progressive Gaming" means any _game in which a casb prize which, not being 

won by any player during any game. is retained and further monetarily enhanced 

by the Licensee or eligible organization, and offered as a prize to players in the 

next game. 

2.54 "Pull-tabs, Punchboards and Tip Jars" means a form of Gaming in which 

preprinted cards utilizhg symbols or numbers in random order which are 

uncovered by random choice in expectation of cash prizes if prescribed 

combinations of symbols and numbers are revealed. 

2.55 "Raffle" means a form of Gaming in which each player buys a ticket for a chance 

to win a prize with the winner determined by a random method. "RaMe" does not 

include a slot machine. 

2-56 "Rancher-a" means lands defined as "Indian Lands" herein. 

2.57 "State" means the State of California. 

2.58 "State Gaming Agency" means the entity of the State pursuant to the 

Gambling Control Act, pursuant to Division 8 of the Business and Professions 

Code, Chapter 5. Sec. 19800 et. seq. 
259 %ate Gaming Facility Compliance Agent"mmeans the Person appointed 

pursuant to Section 6.4.2(d) of the Compact. 

2.60 "Tribal Commission" means the Tribal Gaming Commission described En 

Section 4 of Title I of this Code. 

2.61 "Tribal Court" means the Court, if and urhen created under the Tribe's 

Constitution, or in the alternative, by the Business Committee until such Tribal 

Court is created. 

2.62 "Tribe" means the Alturas Indian Ranchexla. 

2.63 "Wager" means the initial bet made in any game. 

SECTION 3 GENERAL PROVISIONS 

3.1 Authority This Code is enacted pursuant to the inherent sovereign powers of the 

Tribe, and pursuant to the powers of the Business Committee pursuant to ArticIe 

VII, Section 3 of the Tribal Constifxtion. 

3.2 Title, Repeal of Prior Laws, and Effect of Repeal This Code may be cited as 

the Alturats Indian Rmcheria Gaming Code or "Code." The Code shall be 

appropriately inserted in the TribaI Constitution. 

3.2.1 All titles, chapters and sections of the Tribal Code which pertain to 

Gaming and are in effect as of the date that this Code becomes operative, 

are hereby repealed, and a11 other laws, or parts thereof, inconsistent with 

the provisions of this Code are hereby repealed. 

3-2.2 Repeal of this Code, or any portion thereof, shall not have the effect of 

reviving any prior Law, Ordinance, or Resolution theretofore repeaIed or 

suspended. 

3.3 Construction In construing the provisions of this Code, unless the context 

otherwise requires, the following shall apply: 

3.3.1 This Code shall be libera1Iy construed to effect its purpose and to promote 

substantial justice. 

3.3.2 Words in the present tense include the future and past tenses. 

3.3.3 Words in the singular number include the plural, and words in the plural 

number include the singular. 

3.3.4 Words of the. rnascuIine gender or neuter include masculine and feminine 

genders and the neuter. 
3.4 Severability If any section of this Code is invalidated by a court of competent 

jurisdiction, the remaining sections shall not be affected thereby. 

3.5 Effective Date The Code shall become effective upon the date of its approval by 

the Chairperson of the WIGC pursuant to the IGRA. 

SECTION 4 TRIBAL GAMING COMMISSION 

4.1 Establishment The Business Committee hereby charters, creates and establishes 

the Altwas Indian Rancheria Tribal Gaming Commission as a governmental 

subdivision of the Tribe. 

4.2 Duration The Tribal Gaming Commission shall have perpetual existence and 

succession in its own name, unless dissolved by the Business Committee pursuant 

to Tribal law. 

4.3 Attributes As a governmental subdivision of the Tribe, the Tribal Gaming 

Commission is under the directive and control of the Business Committee, but it 

is the purpose and intent of the Business Committee that the operations of the 

Tribal Gaming Commission be conducted on behalf of the Tribe for the sole 

benefit and interests of the Tribe, its members and the residents of the Rancheria. 

4.4.1 Arm of Tribe h carrying out its purposes under this Code, the Tribal 

Gaming Commission shaIl function as an arm of the Tribe. 

4.4.2 Tiibe Actions Notwithstanding any authority delegated to the Tribal 

Gaming Commission under this Code, the Tribe reserves to itself the right 

to bring suit against any Person or entity in its own right, on behalf of the 

Tribe or on behalf of the Tribal Gaming Commission, whenever the Tribe 

deems it necessary to protect the sovereignty, rights and interests of the 

Tribe or the Tribal Gaming Commission. 

4.4 Recognition as a Political Subdivision of the Tribe The Tribe, on behalf of the 

'Tribal Gaming Commission, shall take all necessary steps to acquire recognition 

of the Tribal Gaming Comission as a political subdivision of the Tribe, 

recognized by all branches of the United States Government as having been 

deIegated the right to exercise one or more substantial governmental functions as 

specifically authorized under the terns and conditions of this Code. 
4.5 Sovereign Immunity of the Tribal Gaming Commission 

4.5.1 Authority The Tribal Gaming Commission is cloaked by Federal and 

Tribal law with a11 the privileges and immunities of the Tribe, except as 

specifically limited by this Code, including sovereign immunity from suit 

in the State, FederaI or Tribal Court. 

4.5.2 No Waiver Nothing in this Code shaIE be deemed or construed to be a 

waiver of sovereign immunity of the Tribal Gaming Commission fiom 

suit, which shall only be waived pursuant to subsection 4.6 below. 

4.5.3 No Consent to Jurisdiction Nothing in this Code shall be deemed or 

construed to be a consent of the Tribal Gaming Commission to the 

jurisdiction of the United States or of any state or of any other tribe with 

regard to the business or affairs of the Tribal Gaming Commission. 

4.6 Waiver of Sovereign Immunity of the Tribal Gaming Commission The 

sovereign immunity of the Tribal Gaming Commission may be waived only by 

express resolutions of both the Tribal Gaming Commission and the Business 

Committee after consultation with its attorneys. 

4.6.1 ResoIution Effecting Waiver AH waivers of sovereign immunity must be 

preserved within the resolutions of the Tribal Gaming Commission and the 

Business Committee of continuing force and effect. 

4.6.2 Policv on Waiver Waivers of sovereign immunity are disfavored and shall 

be granted only when necessary to secure a substantia1 advantage or 

benefit to the Tribal Gaming Commission. 

4.6.3 Limited Nature to Waiver Waivers of sovereig immunity shall not be 

general but shall be specific and limited as to duration, grantee, 

transaction, property or funds, if any, of the Tribal Gaming Commission 

subject thereto, court having jurisdiction pursuant thereto and law 

applicable thereto. 

4.6.4 Limited Effect of Waiver Neither the power to sue and be sued provided 

in subsection 4.7 herein, nor any express waiver of sovereign immunity by 

resolution of the Tribal Gaming Commission, shall be deemed a consent to 

the levy of any judgment, lien or attachment upon property of the Tribal 

Gaming Commission other than property specifically pledged or assigned, 

or a consent to suit in respect of any land within the exterior boundaries of 

the hcheria or a consent to the alienation, attachment or encumbrance of 

any such land. 

4.7 Sovereign Immunity of the Tribe All inherent sovereign rights of the Tribe as a 

Federally-recognized Indian Tribe, with respect to the existence and activities of 
the Business Committee, are hereby expressly reserved, including sovereign 

immunity from suit in any state, Federal. or Tribal court. 

4.8 Assets of the Tribal Gaming Commission The Tribal Gaming Commission 

shall have only those assets specifically assigned to it by the Business Committee 

or acquired in its name by the Tribe or by it on its own behalf. No activity of the 

Tribal Gaming Commission nor any indebtedness incurred by it shall implicate or 

in any way involve any assets of Tribal Membership or the Tribe not assigned in 

writing to the Tribal Gaming Commission. 

4.9 Membership 

4.9.1 Number of Commissioners The Tribal Gaming Commission shall be 

comprised of three (3) Tribal Gaming Commissioners. 

4.9.2 Organization The Commission will consist of a Chairperson and two (2) 

Commissioners. 

(1 ) The Commission Chairperson shaII be appointed by the Business 

Committee, as set forth in section 4.1 0 

(2) The two (2) Commissioners may be members of the Business 

Committee and shall be appointed as set forth in 4.10. 

(3) The Chairperson shall direct Tribal Gaming Commission meetings, be 

responsible for day-to-day operations of the Tribai Gaming 

Commission and supervise Tribal Gaming Commission employees, 

provided however, that the Chairperson shall not supervise the 

Commissioners. 

(4) The Chairperson shall be the agent for service of process. 

4.9.3 Background Check Prior to the time that any Tri baI Gaming Commission 

member takes ofice on the Tribal Gaming Commission, the Tribe shall 

perform or mange to have performed a comprehensive background check 

on each prospective member. No Person shall serve as a Commissioner if: 

(1) HisMer prior activities, criminal record, if any, or reputation, 

habits or associations: 

(i Pose a threat to the public interest; or 

(ii) Threaten the effective regulation and control of Gaming; or 
(iii) Enhance the dangers of unsuitable, unfair, or illegal 

practices, methods, or activities in the conduct of Gaming. 

He/She has been convicted of or entered a plea of ~alo cowtendere 

to a felony in any jurisdiction or to a misdemeanor involving 

dishonesty or moral turpitude in any jurisdiction provided that the 

Tribal Business Committee may determine that such time has 

passed after such conviction or plea, or the circumstances of such 

conviction or plea warrant a finding, that such individual has been 

~~ciently rehabilitated that hisher presence on the Commission 

need not vioIate the standards set forth in Section 4.9.3(1) above; 

or 

(3) He/Shehasadirectmonetaryorfinancialinterest,otherthanasa 

Tribal Member, in the conduct of any Gaming Enterprise or is in 

privity with a Management Contractor. 

4.10 Appointment of Gaming Commission 

4.10.1 The Commission Chairperson shall be appointed for a two (2) year term 

by a majority vote of the General Council. 

4.10.2 The two (2) Commissioners shall be appointed annually by a majority vote 

of the General Council. 

4.11 Ex-Oficio Members At the sole direction of the Business Committee, any 

member of the Business Committee, Tribal or Bureau of Indian Affairs employee, 

or any other Person may be designated to Participate, without vote. in TribaI 

Gaming Commissjon meetings. 

4.12 Meetings 

4.12.1 Remlar Meetings The Tribal Gaming Commission shall set a day of the 

week to conduct formal business at least once per week. Nothing in this 

Code shall prohibit the Commission hrn authorizing telephone and offsite meetings. 

4.12.2 Special Meetings Special meetings may be called at the request of the 

Business Committee, the Chairperson of the Tribal Gaming Commission 

or by a majority vote of the Gaming Commissioners. 

4.12.3 Quorum A quorum for all meetings shall consist of two (2) members. 

4.12.4 Voting AEI questions arising in connection with the action of the Tribal 

Gaming Commission shall be decided by majority vote. 
4.13 Compensation of Commissioners The compensation of Tribal Gaming 

Commissioners shall be estabIished by the Business Committee. 

4.14 RernovaI of Members or Vacancies 

4.1 4.1 RemovaI A Commissioner may be removed by the General Council for 

the following reasons: serious ineEciency, neglect of duty, malfeasance, 

misfeasance, nonfeasmce, misconduct in ofice, or for any conduct which 

threatens the honesty and integrity of the Tribal Gaming Commission or 

othemise violates the letter or intent of this Code. 

4.14.2 Removal Final The decision of the General Council upon the removal of a 

Commissioner shall be final. 

4.14.3 Vacancies If any Commissioner shall die, resign, be removed or for any 

reason be unable to serve as a Commissioner, the General Council shall 

declare hisher position vacant and shall appoint another Person to fill the 

position within thirty (30) days of the vacancy. The terms of office of 

each Person appointed to replace an initial Commissioner shall be for the 

balance of my un-expired term for such position provided, however, that 

any prospective appointee must meet the qualifications established by this 

Code. 

4.15 Conflict of Interest No Person shall serve as a Commissioner if heJshe or any 

member of hisher Immediate Family has an ownership, partnership or other 

direct financia1 interest, other than a regular saIary interest, in any Gaming 

Enterprise, or if he/she has any other Personal or legal relationship which places 

himlher in a conflict of interest. 

4.1 6 Powers of the Tribal Gaming Commission In furtherance, but not in limitation, 

of the Tribal Gaming Commission's purposes and responsibilities, an$ subject to 

my restrictions contained in this Code or other applicable law, the Tribal Gaming 

Commission shall have, and is authorized to exercise by majority vote, the 

following powers in addition to all powers already conferred by this Code: 

4.16.1 To enforce this Code, the IGRA, the Tribal MICS, the Compact, and the 

redations of the Tribal Gaming Commission over all Gaming within the 

jurisdiction of the Tribe, provided that the Tribal Gaming Commission 

shall not make management decisions as to the day-to-day operations of 

the Gaming Enterprise, nor shall any employee of the Tribal Gaming 

Commission. 

4.16.2 To reasonably inspect and regulate a11 Gaming within the jurisdiction of 

the Tribe, provided that the Commission does not make Management 

decisions as to the day-to-day operations of the Gaming Enterprise. 
4.16.3 To act as liaison with the NIGC, the California Division of GambIing 

Control and the California Gambling Control Commission. 

4.1 6.4 To investigate any reported violations of this Code, the Compact, or any 

other applicable law regarding Gaming within the jurisdiction of the Tribe. 

4.16.5 To publish and distribute copies of this Code and Tribal Gaming 

Commission rules and any Business Committee, 'Tribal Gaming 

Commission or Tribal Court decisions regarding Gaming matters. 

4.16.6 To prepare and submit for Business Committee approval proposals, 

including budget and monetary proposals related to the operation of the 

Tribal Gaming Cormnission, which could enable the Tribe to better carry 

forth the policies and intent of this Code. 

4.1 6.7 To work directly, and only with the Business Committee with regard 20 

any Gaming issues. 

4.16.8 To make or cause to be made reasonable inspections or investigations as it 

deems necessary to ensure compliance with this Code. Tn undertaking 

such investigations, the Tribal Gaming Commission may request the 

assistance of Tribal Gaming staff, Federal and local law enforcement 

officials, legal counsel and other third parties. 

4.16.9 To arrange for training of Tribal Gming Commission members and 

employees in areas relating ta the regulation or operation of Gaming. 

4. P 6.1 OUpon prior explicit resolution and approval of the Business Committee, to 

employ such advisors as it may deem necessary. Advisors may include, 

but are not limited to, lawyers, accountants, law enforcement specialists 

and Gaming professionaIs. 

4.16.1 1To promulgate rules and regulations to implement and further the 

provisions of this Code, including the development of a personnel and 

procedures policy with regard to its own employees; provided such rules 

or regulations are approved by Business Committee resolution or 

ordinance. 

4.16.12To accept, review, approve or disapprove any Application for a License. 

4.16.13Te consult with and make recommendations to the Business Committee 

regarding changes in Tribal Gaming laws and policies. 

4.1 6.1 4To examine under oath, either orally or in writing, in hearings or otherwise 

any Person or agent, officer or employee of any Person, ox any other 
witness with respect to any matters dated to this Code, including 

enforcement of tribal Gaming laws, regulations, and policies, and to 

compel by subpoena the attendance of witnesses and the production of any 

books, records, and papers with respect thereto. 

4.16.15To make, or cause to be made by its agents or employees, an examination 

or investigation of the place of business, equipment, faciIities, tangible 

Personal property and the books, records, papers, vouchers, accounts, 

documents and financial statements of any Gaming operating, or suspected 

to be operating, within the jurisdiction of the Tribe. 

4.1 6.16To delegate to an individual member of the Tribal Gaming Commission, 

or to an individual member of the Business Committee, or Tribal staff, 

such of its hnctions as may be necessary to administer these ordinances 

efficiently; provided, that the Tribal Gaming Commission may not 

re-delegate its power to exercise any of the substantial governmenta1 

functions of the Tribe or its power to promulgate rules and regulations; 

and provided further that the Tribal Gaming Commission may not delegate 

to any Person the power to permanently revoke a License. 

4.16.17To issue fines and sanctions to the Gaming Facility if it is operating in 

violation of this Code, and report significant violations of the Compact to 

the Business Committee and the State Gaming Agency. 

4.16.1 8To sue or be sued in courts of competent jurisdiction within the United 

States and Canada, subject to Sections 4.5 and 4.6 herein: provided, that 

no suit shalI be brought by the Tribal Gaming Commission without the 

prior explicit written approval of the Business Committee. 

4.16.19To use the seal of the Tribe with the approval of the Business Committee. 

4.16.20To arbitrate, compromise, negotiate or settle any dispute to which it is a 

party relating to the Tribal Gaming Commission's authorized activities. 

4.1 6.21To exercise the Tribal power to tax, authorized by the Tribal Constitution 

in accordance with a Business Committee resolution delegating such 

power to the Tribal Gaming Commission solely for the purpose of 

allowing it to charge administrative and License Application fees to 

Gaming License Applicants which are reasonably dated to the costs of 

operating the Commission. 

4.16.22To purchase insurance from any stock or mutual company for any 

property or against any risk or hazard. 

4.1 6.23 With prior approval of the Business Committee, to make application and 

accept grants and other awards from private and governmental sources in 
carrying out or furthering the purposes of the Tribal Gaming Commission 

or the Tribe. 

4.16.24To establish and maintain such bank accounts as may be necessary or 

convenient. 

4.16.25To require the filing of any records, forms, and reports and all other 

information desired by the Business Committee or required by this Code. 

4.16.26To provide for an internal system of record keeping with adequate 

safeguards for preserving confidentiality as deemed necessary by the 

TribaI Gaming Commission for retaining records, forms and reports at 

least three (3) years. 

4.1 6.27To adopt a schedule of fees to be charged for Licenses. 

4.16.28To adopt a schedule of fees for services rendered relating to transcripts 

and the furnishing or certifying of copies of proceedings, files, and 

records. 

4.16.29To conduct or arrange for background investigations of dl Applicants. 

4.16.30To discipline my Licensee or Person participating in Gaming by ordering 

immediate comptiance with this Code, and to issue an order of temporaty 

suspension of any License issued under this Code pursuant to the hearings 

and due process required by Section 4.21 herein. 

4.1 6.3 1To issue an order of temporary closure of a Gaming Facility in the event 

the TribaI Gaming Commission determines that immediate closure is 

necessary to protect assets or interests of the Tribe pursuant to the due 

process and hearings required by Sectf on 4.2 1 herein. 

4.16.32To become self-regulating whenever the Tribe becomes eligible for a 

certificate of seIf-regulation under the IGRA. 

4.1 6.33To file witJ3 the State Gaming Agency a request to be heard on any denial 

of a Determination of Suitability as defined by the TriballState Compact. 

4.16.34 To ask for the assistance of the State Gaming Agency to carry out the 

Class TI1 provisions of this Code and to reimburse the State Gaming 

Agency for any costs that it incurs in the provision of this service. 

4.1 6.35To assist Management in taking all steps necessary and appropriate to 

inswe the physical safety of all Tribal Gaming Enterprises, they're 

Licensees, patrons and employees. 
4.16.3 motwithstanding any authority granted herein, the TrihaI Gaming 

Commission sha1I endeavor to follow rules, regulations, standards, 

specification and procedures consistent with the State Gaming Agency's 

rules, regulations, standards, specifications and procedures adopted 

pursuant to Sections 6.0- 8.0 of the Compact. 

4.16.37To enact and adhere to its own internal controls including a Conflict of 

Interest Policy governing Commissioners and Tribal Gaming Commission 

staff. 

4.16.38To file a quarterly report to the Business Committee summarizing reports 

received from the Tribe's Management Contractor or General Manager 

pursuant to Section 9.1 -3, and further to make such comments as it deems 

necessary to keep the Business Committee fully informed as to the status 

of the Tribal Gaming Commission's activities in response to those reports. 

4.16-39To determine whether the Came of Chance is classified as Class 11 

Gaming or Class IIE Gaming. 

4.16.40Policies and Procedures. The Tribal Gaming Commission shall develop 

policies and procedures consistent with this Code which shall govern the 

conduct of meetings and hearings of the Tribal Gaming Commission, 

which policies and procedures shall become effective upon approval by 

the Business Committee. 

4.17 Annual. Budget The Tribal Gaming Commission shall prepare an annual 

operating budget for all Tribal Gaming Commission activities and present it to the 

Committee by December 1 5 of each year. 

4.18 Tribal Gaming Commission Regulations 

4.1 8.1 Tribal Gaming Commission regulatjons necessary to carry out the order1 y 

performance of its duties and powers shall include, but shII not be limited 

to, the following: 

(I) The Minimum Internal Control Standards ('MICS") as adopted by 

the Tribal Gaming Commission; 

(2) Interpretation and appIication of this Code, as may be necessary to 

enforce the Tribal Gaming Commission's duties and exercise its 

powers; 

(3) A re,datory system for overseeing Gaming, including accounting, 

contracting, management and supervision; 
(4) The findings of any reports or other information required by or 

necessary to implement this Code; and 

(5) The conduct of inspections, investigations, hearings, enforcement 

actions and other powers of the Tribal Gaming Commission 

authorized by this Code. 

4.1 8.2 No regulation of the Tribal Gaming Commission shall be of any force or 

effect unless it is adopted by the Tribal Gaming Commission by written 

resolution and subsequently approved by a resolution of the Business 

Committee and both resoIutions filed for the record in the office of the 

Tribal Secretary. 

4.19 Right of Entrance; Bi-Monthly Inspection. The Tribal Gaming Commission 

and duly authorized officers and employees of the Tribal Gaming Commission, 

during regular business hours, may reasonably enter upon any premises of any 

Licensee or Gaming Facility for the purpose of making inspections and examining 

the accounts, books, papers and documents of any such Gaming Facility. 

4.19.1 Aid to Entrv The Gaming Facility staff shall facilitate such inspection or 

examinations by giving every reasonable aid to the Tribal Gaming 

Commission and to any properly authorized officer or employee, 

4.19.2 Frequency of Inspection A Commissioner or a member of the Tribal 

Gaming Commission's staff shaII visit each Gaming Facility at least once 

every two weeks during normal business hours for the purpose of 

monitoring its operation. Such visits shall be unannounced. 

4.20 Investigation The Tribal Gaming Commission, upon complaint or upon its own 

initiative or whenever it may deem it necessary in the performance of its duties or 

the exercise of its powers, may investigate and examine the operation and 

premises of any Person or Licensee within its jurisdiction. In conducting such 

investigation, the Tribal Gaming Commission shall, make no order or final 

decisions without affording any affected party notice and a hearing pursuant to 

Section 4.2 1. 
4.21 Due Process; Notice; Hearings; Examiner The TribaI Gaming Commission 

shall provide due process and provide notice and a hearing if it is to utilize any of 

its enforcement capabiIities in the administration of its powers and duties 

hereunder. 

4.21.1 No Hearing, Voluntaty Resolution Whenever it shall appear to the 

satisfaction of the Tribal Gaming Commission that a11 of the interested 

parties involved in any proposed hearing have agreed concerning the 

mattes at hand, the Tribal Gaming Commission may dismiss the issue 

without a hearing. 

4.21.2 Notice of Hearing The Tribal Gaming Commission shall, within 5 days 

after the event giving rise to the concern, provide a written notice setting 

forth, with specificity, the issues to be resoIved. 

4.21.3 Hearing The Tribal Gaming Commission shall, within 5 days &es the 

notice of hearing, provide the affected parties the tight to present oral or 

written testimony to all peopIe interested therein as determined by the 

Tribal Gaming Commission. 

4.21.4 Examiner The Tribal Gaming Commission shall act as examiner for the 

purpose of holding any hearing, or the Tribal Garning Commission may 

appoint a Person qualified in the law or possessing knowledge or expertise 

in the subject matter of the hearing to act as examiner for the purpose of 

holding any hearing. Any such appointment shaII constitute a delegation 

to such examiner of the powers of the Tribal Gaming Commission under 

this Code with respect to any such hearing. 

4.21.5 Decision The Examiner shall render a written opinion within 48 hours of 

the hearing. 

4.21.6 Appeals Affected parties may appeal a Tribal Gaming Commission 

determination by filing a written appeaI to the Business Committee within 

thirty (30) days of the Tribal Gaming Commission's or Examiner's final 

decision. 

SECTION 5 GAMING LICENSES 

5.1 Applicability 

5.1. I Every Employee, Key Employee, Primary Management Official, Gaming 

Enterprise, and Garning FaciIity that aids, participates or is related to 

Gaming is required to have a current and vaIid License as issued by the 

Tribal Gaming Commission. 

5.1.2 Every Gaming Vendor that provides or receives, or is likely to provide or 

receive at least Twenty-five Thousand Dollars in any tweIve (12) month 

period from the Enterprise is required to have a current and valid License 
as issued by the Tribal Gaming Commission. 

5. I .3 Every Person extending financing, directly or indirectly, to the Facility or 

Enterprise is required to have a current and valid License as issued by the 

Tribal Gaming Commission, provided that any Person extending the 

financing shall be Licensed within Ninety (90) days of execution of such 

financing. 

5,2 Application Procedure 

5.2.1 Submission to Tribal Gamine; Commission An Applicant seeking a 

License shall submit an AppIication to the TribaI Gaming Commission on 

such form as the Tribal Gaming Commission may require. 

5.2.2. Privacy Act and False Statement The application form shall include the 

following notices: 

5.2.2.1. PrivacyAct 

In compliance with the Privacy Act of 1974, the solicitation 

of information on this form is authorized by 25 U.S.C. 

2701 et seq. The purpose of the requested information is to 

determine the eligibility of individuals to be employed in a 

gaming operation. The infomation will be used by 

National Indian Gaming Commission members and staff 

who have need for the information in the performance of 

their official duties. The information may be disclosed to 

appropriate Federal, Tribal, State, local, or foreign law 

enforcement and reguIatory agencies when relevant to civil, 

criminal or regulatory investigations or prosecutions or 

when pursuant to a requirement by a tribe or the National 

Indian Gaming Commission in connection with the hiring 

or firing of an employee, the issuance or revocation of a 

gaming license, or investigation of activities while 

associated with a tribe or a gaming operation. Failure to 

consent to the disclosures indicated in this notice will result 

in a tribe's being unable to hire you in a primary 

management official or key employee position. The 

disclosure of your SociaI Security Number (SSN) is 

voluntary. However, failure to supply a SSN may result in 

errors in processing your application. 

5.2.2.2.FaIse Statement 

A False Statement on any part of your application may be 

ground for not hiring you, or for firing you after you begin 

work. Also, you may be punished by fme OF imprisonment 

(US. Code, title 18, section 1001). 
5.2.3 Submission to State Gaming Agency The Tribal Gaming Commission 

shaEE forward the Applicant's Application for a Determination of 

Suitability along with required releases to the State Gaming Agency. 

5.2.4 Application Contents At a minimum, and wherc the information is 

relevant for the type of License applied for. the Application shall contain 

the fot lowing information: 

(1) The full name (and ather names ever used), address, residential and 

business teEephone numbers, age, birth date and place, citizenship, 

gender, driver's license number, and social security number or 

business identification number of the Applicant. 

(2) If the Applicant has resided at his current address for less than five 

(5) ycars, a11 previous addresses during this five (5) year period. 

(3) The names and current address of at Feast three (3) personal 

references, including one personal reference who was acquainted 

with the applicant during each pmjod of residence listed in 

paragraph two (2) above. 

(4) The name, address and telephone number of the Licensee for 

whom he will work and the specific location at which he will be 

employed. A description of the job, task, or service the Applicant 

wi 11 provide. 

(5) The name and addresses of any licensing or regulatory agency with 

which the person has filed an application for a license or permit 

related to gaming, whcther or not such license or permit was 

granted. 

(6) The names and addresses of the Applicant's Immediate Family. 

(7) The Applicant's criminal and civil record, if any, and an 

explanation of any crimes for which he has been convicted or civil 

suits he has lost, or to which he has entered a plea of nolo 

conlendere. 

(8) For each feIony for which there is an ongoing prosecution or a 

conviction, the charge, the name and address of the Court 

involved. and the date and disposition if any. 

(9) For each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations) within ten (1 0) 
years of the date of the appIication, the name and address of the 

court involved and the date and disposition. 

(1 0) For each criminal charge (excluding minor traffic charges) whether 

or not there is a conviction, if such criminal charges is within ten 

(10) years from the date of the appIication is not otherwise listed 

pursuant to paragraphs 6 and 7 above, the criminal charge, the 

name and address of the court involved, the date and disposition. 

(1 1) A discIosure of any judgment rendered against the Applicant. 

(12) A description of any existing and previous business relationship 

with Indian tribes, including ownership interests in those 

businesses. 

(13) A description of any existing and previous business relationship 

with the gaming industry generally, including ownership interest in 

those businesses. 

(14) A list of the Applicant's previous jobs over the preceding five (5) 

years and his present business affiliations. 

(15) The identity of any ownership interest in any past business 

ventures. 

(16) A description of any existing and previous business rdationships 

with Indian tribes, including ownership interest in those 

businesses. 

(1 7) A sworn statement whether the Applicant or any member of hisher 

Immediate FarniIy has a past or current financial interest in any 

Gaming-related enterprise anywhere. 

(1 8) A list of all Gaming-related licenses the Applicant has ever applied 

for, whether or not they were granted such license. 

(19) A list of all professional, occupational or business licenses the 

Applicant has ever appIied for, whether or not they were granted 

such I i cense. 

(20) A statement of all languages wriaen or spoken. 

(27) Written permission giving the Tribal Gaming Commission, State 

Gaming Agency and NIGC or its designees the right to review the 

Applicant's background, including his criminal record. 
(16) A complete disclosure of any pending or anticipated civil or 

criminal action against the Applicant. 

(17) A sworn statement that if the License applied for is issued, the 

AppIicant will submit to the jurisdiction ofthe Tribe and the Tribal 

Court. 

(18) A sworn statement that the Applicant will abide by all applicable 

Tribal and Federal laws, regulations and policies. 

(1 9) A photograph of the Applicant taken within the past year. 

(20) A written statement that the information contained in the 

Application is true and correct to the best of Applicant's 

knowledge. 

5.2.5 Business Entities In addition to the re1evan-t information requested in 

5.2.4, business entities shall: also submit the following: 

(1 Each of its oficers and directors; 

(2) Each of its principIe management empIoyees, inchding any chief 

executive officer, chief financial officer, chief operating oficer, 

and general manager; 

(3) Each of its owners or partners, if an unincorporated business; 

(4) Each of its shareholders who own more than 10 percent of the 

shares of the corporation; and 

(5 j Each person or entity that, alone or in combination with others, has 

provided financing in connection with Gaming authorized under 

this Compact. 

5.3 Review of License Application. The Tribal Gaming Commission shaII 

thoroughly review and conduct a background investigation for each Tribal 

Gaming License Application suficient to make a determination of eligibility as 

required under this Code. The Tribal Gaming Commission's review and 

background investigation shaII include, but is not limited to the following: 

5.3.1 The Tribal Gaming Commission shall arrange with the Modoc County 

Sheriff's Department, located in Modoc County, State of California, to 

take the Applicant's fingerprints. Each applicant shall submit the 

compIeted fingerprint card along with hisher application to the Tribal 

Gaming Commission. 
The Tribal Gaming Commission shall review diligently, the information 

provided in the Tribal Gaming License Application, including, but not 

limited to, contacting and investigating all resources identified in the 

Tribal Gaming License Application. An authorized TribaI official, 

identified by the Tribal Gaming Commission, shall review an Applicant's 

prior activities, criminal record (if any), reputation, habits, and 

associations in order to make an eIlgibiIity determination for key 

employees and primary management officials. 

5.3.3 The TribaI Gaming Commission shall provide a written report as to 

findings and conclusions of the foregoing background investigation, 

including, but not limited to: 

5.3.3.1 Steps taken in conducting diligence. 

5.3.3.2 Results of the conducted diligence. 

5.3.3.3 Conclusions from review of conducted diligence. 

5.3.4 The Tribal Gaming Commission shall transmit the Applicant's 

Application, file, and eligibility determination report to the NIGC and the 

State Gaming Agency. 

5.3.5 The Tribal Gaming Commission shall maintain the Applicant's file, 

including applications, background investigation reports, and eIigibi1ity 

determination reports, for inspection by the NTGC for no less than three 

(3) years from the date of termination of emplo~ment. 

5.3.6 The Tribal Gaming Commission, when it does not license an Applicant, 

shall notify the NlGC and forward copies of the Tribal Gaming 

Commission's eligibility determination report and the jnvesti gative report 

(if any). 

5.4 License Application Submission to NIGC. The Tribal Gaming Commission 

may contract with any entity, with approval from the Business Cornminee, and 

authorize such entity to receive and process fingerprint cards for background 

investigation purposes, so long as such background investigation shall, at a 

minimum, include a check of criminal history records maintained by the Federal 

Bureau of Investigation. The Tribal Gaming Commission, if it chooses not to 

contract with any other entity, may designate the NIGC as its authorized entity for 

receiving and processing fingerprint cards for background investigation purposes, 

so long as such background investigation shall, at a minimum, incfude a check of 

crirninaI history records information maintained by the Federal Bureau of 

Investigation. 
5.5 Notification and MOU with NIGC. If the Tribal Gaming Commission chooses 

to utilize the NIGC pursuant to Section 5.4 above, The Tribal Gaming 

Commission, with consent of the Business Committee, shall notify the NIGC of 

the forwarding of Tribal Gaming License applications to NIGC. Before obtaining 

and processing fingerprint cards for background investigation purposes, the Tribal 

Gaming Commission shall enter into a Memorandum Of Understanding (MOW 

with the NIGC providing, that any and all result obtained from the fingerprint 

cards for background investigation purposes shall be viewed by Tribal 

government officials only. 

5.6 Scope and Types of License 

5.6.1 Gaming Employee License EmpIoyee Gaming Licenses are for those 

Employees that deal in an area of Gaming or Cash Handling within the 

Gaming Facility or Enterprise. A License issued pursuant to this section 

shall be effective for only the Tocation, job and employer contained in the 

Application; provided, however, nothing herein shall prohibit a Primary 

Management Official or Key Employee from simultaneously performing 

the duties and responsibiIities of more than one position; provided further, 

that the Primary Management OficiaI or Key Employee is performing a 

position that is directly in lineal descent below them in the organizational 

structure of the Enterprise and that they are qualified and trained to 

perform the duties of the positions so performed. Dealers may also be 

permitted to deal various card games so long as they are qualified and 

trained to perform the duties of the positions so performed and are 

specificaIT y licensed for those positions. 

5.6.2 Non-Gamine Employee License A Non-Gaming EmpIoyee License is for 

employees that are not permitted in areas of Gaming, for example, cooks, 

kitchen staff, food servers, or hostess. A License issued pursuant to this 

section shall be effective for only the location, job and employer contained 

in the Application. These Licenses will not require the same level of 

background scrutiny required for Gaming Licenses. 

5.6.3 Part-Time or Full-Time Licenses The Employee's License shall state 

clearly whether the EmpIoyee is a part-time or fu1I-time Employee. 

5.7 Temporary Licensing Notwithstanding anythmg herein to the contrary, if the 

Applicant has cornpIeted a License Application, the Tribal Gaming Commission 

may immediately issue a temporary License if: 

5.7.1 The Tribal Gaming Commission has conducted a preliminary, IocaI, 

background investigation; and 

5.7.2 Based on the preliminary investigation, the information does not indicate 

that the Applicant has a criminal history. 
5.7.3 Temporary licenses may last no longer than ninety (90) days. 

5.8 License Issuance, Term and Substance 

5.8.1 Issuance Upon completion of the necessary background investigation, and 

after the Tribe has complied with the thirty-day NIGC review 

requirements found in 25 C.F.R. $558.3 and 5558.4, the Tribal Gaming 

Commission may issue a License on a conditiona1 or unconditional basis. 

If the NTGC objects to an Applicant, the Tribe shalI reconsider the 

Application, taking into account the reasons for the objections noted by 

NIGC. However, the Tribe shall have the final word on whether to license 

an AppIicant. Nothing herein creates a property right in the License. 

5.8.2 Term Any License issued pursuant to this section shall be effective for a 

period of two (2) years horn the date of issuance. 

5.8.3 License Substance The License shall state on its face the name of the 

Applicant, the Tribal Logo, the Licensee who employs him, and the 

license number. It shall aIso indude a photograph of Licensee. 

5.9 License Denial Any Application for a License shall be denied if the Tribal 

Gaming Commission. after an adequate review, determines the Application is 

incomplete or deficient, or that the employment of the Applicant poses a threat to 

the public interest or the effective regulation of gaming, or creates or enhances the 

danger of unsuitable, unfair or illegal practices and methods and activities in the 

conduct of gaming. If the foregoing determinations about the Applicant are made, 

no management contractor or Tribal gaming operation shaIl employ the 

Applicant. 

5.10 Renewals A Licensee shall petition to have the License renewed by applying to 

the Tribal Gaming Commission for a renewal before the License expires. 

Applicants may be required to provide updated material as requested. 

5.11 Requirement to Produce License Upon Request Licensees must carry the 

License and visibly display the License during working hours and must produce 

the License upon the request of any Person. 

5.12 License Suspension or Revocation of License 

5. I 2.1 Temporaw Susvension or Revocation The Tribal Gaming Commission 

may suspend or revoke a License, after notice and an opportunity for a 

hearing pursumt to Section 4.2 1 herein, for any of the following reasons: 

(1) The Licensee withheId pertinent information on the Application; 
(2) The Licensee made False Statements on the Application; 

(3) The Licensee participated in Gaming that was not authorized by 

any Gaming License or regulatory approvals, and therefore 

deemed illegal; 

(4) The Licensee attempted to bribe a Business Committee member, 

Commissioner or other Person, in an attempt to avoid or 

circumvent TribaI law; 

(5) The Licensee offered something of vahe to a Tribal Gaming 

Commission member; 

(6) The Licensee knowingly promoted, played or participated in any 

Gaming operated in violation of TribaI or Federal law; 

(7) The Licensee is knowingly involved in the falsification of books or 

records which relate to a transaction connected with the operation 

of Gaming; 

(8) The Licensee violated this Code or the rules and regulations of the 

Tribal Gaming Commission; 

(9) The Licensee has been convicted or has entered a plea of nolo 

contendere to any crime involving Gaming, fraud, thefl, or 

embezzlement; 

(10) The Licensee has refused to comply with any lawfir1 order, inquiry 

or directive of the TribaI Gaming Commission, the Business 

Committee, the Federal Government or any court of competent 

jurisdiction; 

(1 1) The Licensee has been convicted of, or entered a plea of nolo 

contendere to, a crime involving the saIe of illegal narcotics or 

controlled substances; or 

(12) The Licensee has been charged with a felony, so long as the 

temporary suspension is removed if the charges are subsequently 

dismissed. 

5.1 2.2 Procedure for Suspension 

(I) Upon reasonable cause that a violation of the Code has occurred, the 

Tribal Gaming Commission or its designee may either undertake an 

investigation of the Licensee, ar serve upon such Licensee an order to 
show cause why the Licensee's License should not be revoked, or why 

the Licensee should not be enjoined from conducting Gaming. 

(2) Additionally, if the NIGC notifies the Tribe that it has received reliable 

information indicating that a key employee or primary management 

official is not eligible for employment under 25 C.F.R. 8558.2, the 

Tribal Gaming Commission or its designee shall suspend such license 

and notify the licensee in writing that hisher license has been 

suspended and may be revoked. 

(3) Such notice shall state the reason for the suspension andor order, and 

the time and place for the hearing before the Tribal Gaming 

Commission pursuant to Section 4.2 1 herein. 

(4) The Licensee shall have an opportunity to present testimony and crossexamine opposing witnesses, and to present any other evidence as to 

why a revocation order ar injunction should not be issued. 

(5) The hearing shall be set for not less than two (2) days or more than 

five (5) days from the date of the notice. The hearing shall be 

governed in all respects in accordance with Tribal law and Tribal 

Gaming Commission regulations. Any suspension decision of the 

Tribal Gaming Commission after hearing shall be reviewable by the 

Tribal Business Committee pursuant to the requirements of Section 

4.2 1. The Tribe shall notify NIGC of its decision. 

5.13 Enterprise License The Gaming Enterprise authorized by the Compact and this 

Code shall be licensed by the Tribal Gaming Commission. The Tribal Gaming 

Commission shall automaticafly issue a License if the following threshold criteria 

are met: 

5.13.1 The Gaming is located on lands taken into trust after October 17, 1988, as 

a settlement of a claim. 

5.1 3.2 The Gaming is authorized pursuant to this Code, the Compact and the 

IGRA. 

5.13.3 The Gaming is authorized by a Business Committee resolution. 

5.1 3.4 The Tribe has the sole proprietary interest and the Management Contract 

is consistent with Tribal and Federal law and is properly approved by the 

Chairperson of the NEGC. 

5.14 Facility License The Gaming FaciIity authorized by the Compact and this Code 

shall be licensed by the Tribal Gaming Commission. 

5.14.1 A Facility License shall be issued if the foElowing criteria are met: 
(1) The construction, expansion or modification of the Facility shall meet 

the Building and Safety Code pursuant to Title VII of this Code. 

(2) The construction, expansion or modification of the Facility shaII meet 

the standards of the federal American with Disabilities Act pursuant to 

Title IV of this Code. 

(3) Upen the inspection of the health and safety of the building, and upon 

the inspection that all Gaming controls that are necessary to insure the 

integrity of the Gaming are in.place, the Tribal Gaming Commission 

shall issue to the Facility a Certificate of Occupancy, u.hich shall be 

reissued upon similar inspections every two years. 

5.14.2 Upon the issuance of a FaciIity License, the Tribal Gaming Commission 

shall fonvard the License to the State Gaming Agency within ten (1 0) days 

of issuance. 

5.14.3 The Facility License shall be posted in a conspicuous and public pIace in 

the Facility at all times. 

5.15 State Gaming Agency Licensing 

5.15.1 Except as provided in Sections 5.2 5.2 and 5.15.3 below, the Tribe will not 

employ or affiliate with any Person whose application to the State Gaming 

Agency for a determination of suitability has been denied. 

5.1 5.2 Notwithstanding Section 5.15.1, the Tribe may employ a Person who has 

been denied for a determination of suitability by the State Gaming Agency 

if: 

(1) The Person holds a valid and current Tribal License; 

(2) The denial by the State Gaming Agency is based on reasons that 

antedate the filing of the Person's initial application to the State 

Gaming Agency; 

(3) The Person is not an Employee of another Gaming Enterprise; 

(4) The Person has been in continuous employ for at least three years by 

the Tribe prior to the effective date of the Compact. 

5.1 5.3 Notwithstanding Section 5.15. I, the Tribe may employ a Person who has 

been denied for a determination of suitability by the State Gaming Agency 

if: 
(I) The Person is an Enrolled Member of the Tribe; 

(2) The Person holds a valid and current Tribal License; 

(33 The denid by the State Gaming Agency is based on reasons that 

antedate the filing of the Person's initial application to the State 

Gaming Agency; 

(4) The Person is not an Employee of another Gaming Enterprise; 

5.16 MisceIEalneous Licensing Provisions 

5.16.1 No License shall be sold, lent, assigned or otherwise transferred. 

5.16.2 Each Licensee shaTI have a copy of the Code and regulations readily 

available for inspection by any Person at each authorized Gaming site. 

5.16.3 The Tribe shall provide a monthly report to the State Gaming Agency with 

the name, badge identification number, and job descriptions of all non-key 

Gaming Employees. 

SECTION 6 BANK ACCOUNTS AND RECORDKEEPING 

6.1 Bank Account The Tribe shall open a separate bank account for the Enterprise 

and all receipts of each Gaming Activity shall be deposited in the account. 

6.2 Record Keeping Accounting records of the Gaming, Enterprise, and Facility 

shall be kept on a double entry system of accounting, maintaining detailed 

supporting and subsidiary records. The Tribe shall maintain the following records 

for not less than three (3) years: 

6.2.1 Revenues, expenses, assets, liabilities and equity for each location at 

which Class II and Class 111 Gaming is conducted. 

6.2.2 Daily cash transactions for Gaming, including but not limited to 

transactions relating to each Gaming table, game drop box and game room 

bank. 

6.2.3 All markers, IOU's, returned checks, hold checks or other similar credit 

instruments. 

6.2.4 Individual and statistical game records to reflect statistical drop and 

statistical win for electronic, computer, or other technologicaIIy assisted 

games. 
6.2.5 Contracts, correspondence and other transaction documents relating to all 

Gaming Vendors. 

6.2.6 Records of all customer complaints and TribaI Gaming enforcement 

activities. 

6.2.7 AH gaming related audits prepared by or on behalf of the Tribe or one of 

its subdivisions. 

6.3 Audit Requirements 

6.3.1 The Business Committee, with the input of the Enterprise, shall retain an 

independent auditor to conduct an annual audit and shall provide a copy of 

the annual independent audit to the Tribal Gaming Commission, the 

Enterprise, the State Gaming Agency, and the National Indian Gaming 

Commission. 

6.3.2 Each contract between the Tribe and another Person for supplies, services 

(other than legal and accounting services) or concessions for a contract 

amount in excess of $25,000 annually shall be subject to an independent 

audit. Such audit shall be solely limited to a monthly printout from the 

accounts payable of the Gaming Operations of the checks rendered. A 

copy of such audit will be provided to the Tribal Gaming Commission, the 

Business Committee, State Gaming Agency and the National Indian 

Gaming Commission. 

6.4 Notices to the Public 

6.4.1 The Gaming Facility shall have a copy of this Code readily available for 

inspection by any Person at each Gaming Facility. 

6.4.2 The Gaming Facility shall post in a conspicuous location near each game 

an explanation of the rules of play of every game operated or shall 

otherwise provide the public with such an explanation. 

SECTION 7 GAMING ENTERPRISE RESTRTCTIONS AND COMPLIANCE 

7.1 Number of Facilities 

7.1.1 The Tribe may establish and operate not more than two (2) Gaming 

FaciIities, and only on those lands on which Gaming may lawfully be 

conducted under IGRA. 

7.1.2 The Tribe may combine and operate in each Gaming Facility any forms 

and kinds of Gaming permitted under the Compact, 1GR.A and this Code. 
7.1 -3 The Tribe shall conduct, maintain, and operate the Gaming FaciIities in a 

manner that adequately protects the environment, public heaIth and safety. 

7.2 Gaming Device Restrictions 

7.2.1 Number of Devices The Tribe may offer no more than Two Thousand 

Class 111 Gaming Devices combined for all Facilities. 

7.2.1 Transfer of the Right to Operate Gaming Devices The Tribe may enter 

into an apeement with one or more compacted California Indian tribes for 

the purpose of transferring the right to operate gaming devices. Any 

agreements entered into between the Tribe and another Indian tribe shall 

be regulated by the TribaI Gaming Commission. The total, number of 

devices operated by the Tribe shall not exceed the number of gaming 

devices permitted in the Compact. 

7.2.2 Trans~ortation of Devices Transportation of a Class 111 Gaming Device to 

or from the Gaming Facility within California is permissible only if: 

(1) The Tribal Gaming Commission has issued a permit to transport 

the Device; and 

(2) The Tribal Gaming Commission has provided at least ten (1 0) days 

notice to the local County Sheriff; and 

(3) The finaI destination of the Device is a gaming facility of any tribe 

in Califomia with a TribaVState Compact; or 

(4) The final destination is in a state or country whereby the Device is 

otherwise legal; or 

(5) The final destination is Iocated in California for the purpose of 

testing, repair or storage by a Person that is licensed by the State 

Gaming Agency. 

7.3 Gaming Device Technical Standards The technical standards for Gaming Devices 

shall adhere to the Gaming Laboratories International, Incorporated standards. 

7.4 Age Restrictions 

7.4.1 No Person under the age of Eighteen (18) shall be employed by the 

Gaming Facility, Management Contractor or the Tribal Gaming 

Commission. 

7.4.2 No Person under Twenty-one (21) years of age shall be employed in the 

service of alcoholic beverages at the Gaming Facility. 
7.4.3 NoPersonundertheage ofTwenty-one (21) shallbepermittedinany area 

where Gaming is occurring and alcoholic beverages are being consumed. 

7.4.4 No Person under the age of Eighteen (18) shall be permitted to place any 

wager, directly or indirectly, in any Gaming Activity. 

7.4.5 No Person under the age of Twenty-one (21) shall be permitted in any 

room in which Gaming is being conducted unless the person is en-route to 

a non-gaming area of the Gaming Facility. 

7.5 Methods of Payment 

7.5.1 Gaming chips and other tokens of value may be sold and redeemed by the 

Errterprise and only for full value. 

7.5.2 Consideration to participate in Gaming shall be cash only. No other form 

of consideration shalI be allowed unless the TribaI Gaming Commission 

gives prior written approval. L 

7.6 Compliance requirements 

7.6.1 Evidence of win or loss incurred by a Player must, upon request, be 

provided in such form as will be acceptable to the Internal Revenue 

Service. 

7.6.2 The Enterprise shall pay all fees and file all reports required by law within 

the time prescribed. 

7.6.3 The Enterprise shall make its premises and books and records available for 

inspection during normal business hours by the Tribal Gaming 

Commission, the State Gaming Agency, the National Indian Gaming 

C.ornmission and members of the Business Committee or their designee. 

7.7 Miscellaneous 

7.7.1 The Enterprise shall provide adequate security to protect the public before, 

during, and after Gaming. 

7.7.2 The Enterprise may not discriminate on the basis of sex, race, color, or 

creed in its employment practices related to Gaming, notwithstanding 

Indian Preference laws. 

SECTION 8 ENFORCEMENT 

8.1 Jurisdiction Except as provided in this Code or the Compact, the Tribal Gming 
Commission and Tribal Court shall have jurisdiction over all violations of this 

Code. 

8.2 Minimal TnternaI Control Standards: 

8.2. I Applicable Standards. The Tribal Gaming Commission shall comply with 

25 CFR Part 542 by formally adopting md making appIicable to the 

tribe's gaming operation(s) inkma1 control: standard that: 

(1) Provide a level of control that equaIs or exceeds those set forth in 

25 CFR part 542, as published or as revised by mutual agreement 

between the National Indian Gaming Commission and the Alturas 

Indian Rancheria; 

(2) Contain standards for currency transactions reporting that comply 

with 31 CFR Part 103; and 

(3) Establish internal standards for Class IT and Class IT1 games that 

are not addressed in the MICS, if any. 

8.2.2 Annual CPA Testing of Compliance. In order to verify that the gaming 

operation is in compliance with the internal control standards adopted 

pursuant to para-graph A, an independent certified public accountant 

(CPA) shall be engaged annually to perform "Agreed-Upon Procedures" 

in the manner provided for in 25 CFR 542.3Cf). 

8.2.3 Compliance. The tribal gaming regulatory authority and the NIGC shaII 

monitor and enforce compliance with the internal control standards 

adopted pursuant to paragraph A, in the manner provided for in 25 CFR 

542.3(gj. h addition, the National Indian Gaming Commission shaII, for 

the purposes of enforcing compliance with the internal control standards, 

have the power to: 

(1) Monitor all Class I1 and Class III gaming on a continuing 

basis; 

(2) Inspect and examine all premises on which Class I1 or 

Class 111 gaming is conducted; 

(3) Demand access to and inspect, examine, photocopy, and 

audit all papers, books, and records respecting gross 

revenues of all Class I1 and Class 111 gaming on a 

continuing basis or any other matters necessary to ensure 

and enforce compliance with the MICS. 

8.2.4 Enforcement. Any failure to adoptinternal control standards pursuant to 

paragraph A, to perform Agreed-Upon Procedures pursuant to paragraph 
B, to prevent or obstruct the exercise of any of the Commission's power 

under paragraph C, or to cmply with the internal control standards once 

adopted is a violation of this ordinance. The Chairman of the NationaI 

Indian Gaming Commission shall have the authority to remedy violations 

of this ordinance under 25 U.S.C. 271 3 and its impIementing regulations, 

and the Tribe shall have all rights and remedies available thereunder. 

Prohibited Acts In addition to other civil and criminaI offenses provided for in 

this Code, the following acts are prohibited by any Person and subject any 

violator to the civil or criminal penalties specified herein: 

8.3.1 Participating in any Gaming, which is not authorized by this Code. 

8.3.2 Knowingly making a False Statement in connection with any Contract to 

participate in any Gaming Activity. 

8.3.3 Attempting to bribe any Person participating in any Gaming Activity. 

8.3.4 Offering or accepting a Ioan, financing or other thing of value between a 

Tribal Gaming Commission memher or employee and any Person 

participating in any Gaming Activity. 

8.3.5 Promoting or participating in my iIIegal Gaming Activity. 

8.3.6 FaiIing to keep sufficient books and records to substantiate receipts. 

disbursements and expenses incurred or paid from any Gaming Activity 

authorized pursuant to this Code. 

8.3.7 Falsifying any books or records that relate to any transaction connected 

with any Gaming Activity pursuant to this Code. 

8.3.8 Conducting or participating in any Gaming Activity, which results in 

Cheating. 

8.3.9 Allowing participation in Gaming Activity by or with an intoxicated and 

disorderly Player. 

8.3.1 0 Allowing or participating in the sale of liquor when or where such sale is 

prohibited by Tribal law. 

8.3.11 Accepting consideration other than money, tokens or chips for 

participation in any Gaming Activity. 

8.3.12 Using bogus or counterfeit chips or charitable Gaming tickets, or to 

substitute or use any cards, charitable Gaming tickets or Gaming 

equipment that has been marked or tampered with. 
8.3.13 Employing or possessing any cheating device or to facilitate cheating in 

any Gaming Activity. 

8.3.14 Willhlly using any fraudulent scheme or technique to change the odds of 

any game of chance. 

8.3.1 5 Soliciting, directly or indirectly, or using inside information on the nature 

or status of any Gaming Activity for the benefit of an individual. 

8.3.16 Tampering with a Gaming Device, attempting to conspire to manipuIate 

the outcome or the payoff of a Gaming Device, or otherwise unlawfully 

tampering with or interfering with the proper functioning of the machine. 

8.3. I 7 Alter or counterfeiting a Gaming license. 

8.3.1 8 Aiding. abetting, or conspiring with another Person knowingly or 

knowingly to cause any Person to violate any provision of this Code or 

any rules and regulations adopted hereunder. 

8.3.19 Operating, using or making available to the public any illegal Gaming 

Device, apparatus, material or equipment. 

8.3.20 Selling, holding out for sale or transporting into or out of the jurisdiction 

of the Tribe any illegal Gaming Device, apparatus, material or equipment. 

8.3.21 Assisting or allowing a Person who is under the age of Eighteen (1 8) to 

participate in a Gaming activity. 

8.3.22 Possessing any illegal narcotics or controlled substances on any Iicensed 

Gaming site. 

8.3.23 SteaIing or attempting to steal funds or other items of value from any 

Gaming Facility or from the Tribal Gaming Commission. 

8.3.24 Employing any Person at a licensed Gaming Facility whom the Licensee 

knows has been convicted of a Gaming crime or a crime of fraud, 

provided, however, provided that the Tribal Business Committee may 

determine that such time has passed after such conviction or plea, or the 

circulnstances of such conviction or plea warsant a finding, that such 

individual has been sufficiently rehabilitated that hisher presence on the 

Commission need not violate the standards set forth in Section 4.9.3(1) 

above. 

8.4 Criminal Violation Any Indian who violates or fails to comply with any 

provision of this Code, or who fails or neglects to comply with any order or 
decision of the Tribal Gaming Commission, shall be charged and given due 

process pursuant to Section 4.22 herein. If such Indian is found to be guilty of a 

crime, he may be required to pay a frne not to exceed Five Thousand Dollars 

($5,000) or be incarcerated for not to exceed two (2) years. Each day during 

which any such violation or failure to comply continues shaII constitute a separate 

vioIation of this Code. 

&,5 Civil Violation Any non-Indian who violates or fails to comply with any 

provision of this Code, or who fails or neglects to comply with any find order of 

the Tribal Gaming Commission, shall be charged and given due process pursuant 

to Section 4.21 herein. If the non-Indian is found liable, he may pay a civil fine 

not to exceed Five Thousand Dollars ($5,000) for each violation thereof. Each 

day during which any such vioIation or failure to comply continues shall 

constitute a separate violation of this Code. The amount of any such civil fine 

may be recovered in a civil action in the Tribal Court. The Tribe may turn nonIndian offenders over to the County for prosecution. 

8.6 Cumulative Fines All civil fines accruing under this Code shall be cumulative 

and a suit for the recovery of one fine shaIE not bar or affect the recovery of any 

other fine, or judgment. penalty, forfeiture or damages, nor bar the power of the 

Tribal Court to punish for contempt, nor bar any criminal prosecution against any 

officer, director, agent, or employee of any Licensee, or any other Person. 

8.7 Purpose of Civj! Penalties The civil fines imposed under this Code are intended 

to be remedial and not punitive and are designed to compensate the Tribe for the 

damage done to the peace, security, economy and general welfare of the Tribe and 

the Rancheria, and to compensate the Tribe for costs incurred by the Tribe in 

enforcing this Code. The civil fines under this Code are also intended to coerce 

all people into complying with this Code and Tribal Gaming Commission 

regulations and not to punish such people for violation of such Iaws and 

regulations. 

8.8 Civil Action for Penalties Zn enforcing the civil infraction provisions of this 

Code, the Tribal Gaming Comission shall proceed, in the name of the Tribe, 

against a Person for violation of such provision by civil complaint with the 

Business Committee pursuant to the provisions of this Code. The Tribal Gaming 

Commission in such action shall have the burden of showing, by the 

preponderance of the evidence, that such Person violated a provision of this Code. 

8.9 Seizure and Forfeiture of Property Property utilized in violation of this Code 

shall be subject to seizure and forfeiture by order of the Tribal Gaming 

Commission pursuant to such procedures and rules as the Tribal Gaming 

Commission shall promu1 gate. 

8.10 Reporting of Offenders The Tribal Gaming Commission, upon final conviction 

of any Person under this subsection, shall report the name oithe Person convicted 
to the Business Committee, State Gaming Board and NIGC. 

SECTION 9 GAMING MANAGEMENT 

9.1 Management by a Gaming Contractor 

9.1.1 The Gaming Contractor, or if no Gaming Contractor the Tribe, shall 

identify in writing a Person(s) who shall serve as Genera1 Manager of the 

Gaming Enterprise. The General Manager appointed shall undergo a 

background check by the Tribal Gaming Commission and shall obtain a 

License before commencing work. 

9.1.2 The General Manager shaIl have access to any area within the Gaming 

Facility in accordance with the limitations defined in Section 2.29. 

9.1 "3 The Genera1 Manager shall present a written monthly report to the Tribal 

Gaming Commission which estimates the number of patrons served, the 

amount of income generated, the numbers of employees working at the 

establishment, a detailed description of any patron complaints and other 

problems experienced at the estabIishment, a written statement of my 

changes in Primary Management Oficials and all bills which are thirty 

(30) days or more past due. 

9.2 Rules and Regulations for Management The Tribal Gaming Commission 

shall, with the input and suggestions of Primary Management Officials, 

promulgate rules and regulations or specifications governing the following 

subjects: 

9.2.1 The enforcement of all relevant laws and rules with respect to the Gaming 

Operation and the Facility; 

9.2.2 Ensuring the physical safety of Enterprise patrons and Employees; 

9.2.3 The physical safeguarding of assets transported to, within, and from the 

Gaming Facility; 

9.2.4 The prevention of illegal activity from occumng within the Gaming 

Facility including employee procedures and surveillance; 

9.2.5 The recording of occurrences that deviate from normal operating policies 

including the following procedure for reporting incidents: 

(1) Specify that security personre1 record all incidents, regardless of 

immateriality; 

(2 Require the assignment of a sequential number to each report; 
(3) Provide for permanent reporting in indelible ink in a bound 

notebook: 

(4) Require that each report include the following: 

(i) The record number. 

(ii) The date. 

(iii) The time. 

(iv) The Iocation of the incident. 

(v) A detailed description of the incident. 

(vi) The persons involved in the incident. 

(vii) The security personnel assigned to the incident. 

9.2.6 The establishment of employee procedures designed to permit detection of 

any irregularities, theft, cheating, hud, or the Iike; 

9.2.7 Maintenance of a list of persons barred from the Gaming FaciIity; 

9.2.8 In accordance with section 8.4.1 of the Compact, except as provided in 

subdivision 8.4.l(d) of the Compact, no State Gaming Agency regulation 

shall be effective with respect to the Tribe's Gaming Operation unless it 

has first been approved by the Association, and further, the Tribe has had 

an opportunity to review and comment on the proposed regulations. 

9.3 Insurance Requirements Pursuant to the TribaVState Compact, the Gaming 

Contractor shall ensure that the Enterprise shall carry a minimum of Five Million 

Dollars ($5,000,000.00$ liability insurance to protect the public in the event of an 

accident. 

9.4 IRS Requirements The General Manager shall be responsible for seeing that 

Gaming Activity is managed in accordance with Tribal and Federal law and that 

such Gaming Activity complies with all IRS reporting requirements. 

9.5 Audit Requirements 

9.5.1 AnnuaI Enterprise Audit The Tribal Business Committee shall obtain an 

annual independent audit of the Enterprise by a certified public accountant 

using the accounting standards for audits of casinos of the American 

'Institute of Certified Public Accountants. 

9.5.2 Contract Audits Each contract between the Enterprise and another Person 

for supplies, services (other than legal and accounting services) or 

concessions for a contract amount in excess of Twenty-five Thousand 

DoIIars ($25,000) annually shall be subject to an independent audit. For 

the purposes of the previous sentence, the term "services" does not include 
contracts the purpose of which is to extend financing to the Management 

Contractor, the Tribe, or the Enterprise. 

9.5.3 Copies A copy of all such audits shall be provided to the Tribal Gaming 

Commission, the Business Committee, and the NIGC. The State Gaming 

Agency shall receive a copy of the audit relating to Class I11 Gaming. 

9.6 Annual Reports from Enterprise. The General Manager must file an annual 

report with the Tribal Gaming Commission and the Business Committee between 

the 15th and the last day of the 12th month duration of each such License period. 

The report should include, at a minimum, the following information: 

9.6.1 The name, address and telephone number of the Licensee; 

9.6.2 Tbe names, addresses and titles of all of its current managers of the 

Licensee: 

9.6.3 A description of the Gaming operated and Gross Revenue; 

9.6.4 The name and address of the Person who will be designated as Primary 

Management Oficial, or new Key Employees over the next License Term; 

9.6.5 Written proof that the Licensee has paid to the National Indian Gaming 

Commission such fees as Federal and Tribal law may require it to pay; 

9.6.6 A sworn stsfternent that the Licensee has complied with the IRS including 

written notice of customer winning; 

9.6.7 The number of full-time equivalent people, on an annualized basis, 

employed by the operation during the past twelve (12) months, together 

with a projection of the number of full-time equivalent people who are 

expected to be employed during the next license period; 

9.6.8 A sworn statement that the Licensee will continue to comply with all 

Tribal and Federal Gaming laws; 

9.6.9 The name, address and signature of the agent who will accept service of 

process on behalf of the Licensee; and 

9.6.10 If the Licensee is a corporation, a copy of any amendment to its articles of 

incorporation, properly certified by the incorporating govement, unless a 

current copy has already been filed with the Tribal Gaming Commission. 

9.7 Management Contracts 
9.7. I Each Management Contract is subject to the prior approval of the National 

hdim Gaming Commjssion. 

9.7.2 Each Management Contract shall be approved by the Business Committee. 

In making its selection, the Business Committee shall review the 

following: 

(I Background information on the proposed Management Contractor 

including: its name, its address, the names and addresses of each 

Person or entity having a direct financial interest or management 

responsibility for the proposed management contractor, and in the 

case of a corporation the names and addresses of each member of 

its board of directors and a11 stockholders who hold directly or 

indirectly ten percent (10%) or more of its issued or outstanding 

stock. 

(23 A description of any previous experience that each Person listed in 

subsection above has had with other Gaming contracts with Indian 

Tribes or within the Gaming industry generally, including the 

name and address of any tribal government or licensins agency 

with which such Person has had a contract relating to Gaming. 

(3) A complete financial statement of each Person listed in subsection 

9.7.2(1). 

(4) The Business Committee shall undertake anj7 additional steps 

necessary and feasible to determine the character and reputation of 

each proposed management contractor. 

(5) If the Business Committee, after reviewing the above-described 

information, still desires to enter into a management contract with 

the proposed management contractor, such management contract 

shall be placed in writing and submitted to Iegal counsel for review 

before the Committee approves it. 

9.7.3 Any Management Contract approved by the Committee must contain at a 

minimum the following with respect to the Gaming Enterprise to which 

the contract is applicable: 

(1) A provision requiring a monthly financial accounting of the 

Gaming Enterprise's income and expenses. An independent 

auditor who is mutually acceptable to the Tribe and the 

Management Contractor shall prepare such reports. 
(2) A provision guaranteeing the Tribe a minimum payment that shall 

always take precedence over the Management Contractor's right to 

recoup development and construction costs. 

(3) An agreed upon ceiling for the Management Contractor's 

development and construction costs. 

(4) A provision that the contract shall not exceed seven (7) years or 

40% of Net Revenues. 

(5) A provision for termination of the contract and the grounds for 

termination. 

9.7.4 If the Committee is satisfied with the information it receives it shall 

submit its proposed contract dong with all of the above-described 

information to the Tribal Gaming Commission, State Gaming Agency and 

to the Chairperson of the National Indian Gaming Commission for 

Licensure approval. 

SECTION 10 PROCEDURES FOR RESOLVING DISPUTES BETWEEN THE GAMING 

PUBLIC AND GAMING MANAGEMENT 

10.1 General Principles. The Tribe values its customers and intends, at all times, to 

see that questions, concerns, issues, and/or disputes raised by the gaming public 

are addressed in a fair and orderly manner. However, nothing in these procedures 

shall be construed as a waiver of the Tribe's sovereigm immunity, or any of the 

rights and privileges attendant thereto. 

10.2 Initial Dispute Resolution Procedure. 

10.2.1 Members of the Gaming public who, in the course of their otherwise 

lawful and proper use of the Tribe" Gaming Facilities, have questions or 

concerns about the condition or operation of any part of the Gaming 

FaciIities, or who otherwise believe themselves to be aggrieved by some 

aspect of the condition or operation of any part of the Gaming Facilities, 

shall direct their questions, concerns, or disputes (hereinafter coIIectively 

"disputes") in the first instance to gaming management at the Gaming 

Facility, either orally or in writing. 

10.2.2 Concerns or disputes shall be raised as soon as reasonably possible after 

the events giving rise to the dispute occur; however, no dispute may be 

raised more than ten (1 0) calendar days after said events take place. 

10.2.3 Upon learning about a dispute, Gaming Management shall expediently arid 

informally gather sufficient facts to make an initial determination about 

the dispute (i-e. whether the dispute has my merit, whether further 

investigation is required, whether to take any corrective action, etc.). 
Gaming Management shall idom the complainant, either orally or in 

writing, about its initial determination as soon as is reasonably practicable. 

At that time, if the compIainant indicates that he or she has additional 

concerns or is not satisfied, gaming management shall. inform the 

complainant about how to initiate the forma1 dispute resolution procedure. 

10-3 Formal Dispute Resolution Procedure. 

10.3.1 Complainants who have followed the initial dispute resolution procedure, 

and who are unsatisfied with gaming management's initial determination, 

may appeal that determination in writing to the TribaI Gaming 

Comission no later than five (5) days after being informed about the 

initial determination. 

10.3 -2 The Tribal Gaming Commission may investigate the dispute in any 

manner it chooses. The Tribal Gaming Commission shall offer the 

complainant a fair opportunity to be heard in person or through counsel 

about the dispute, either before or after it makes its own inquiries. The 

complainant's opportunity to be heard shall take place within thirty (30) 

days after the Tribal Gaming Commission receives the complainant's 

written appeal. 

10.3.3 After investigating (if it chooses to do so), and within thirty (30) days afier 

affording the complainant an opportunity to be heard, the Tribal Gaming 

Commission shall issue a written opinion on the complainant's appeal, and 

shall mail a copy of the opinion to the complainant at hisher last known 

address. The opinion shall inform the complainant that he or she may 

appeaI the Tribal Gaming Commission's decision to the Tribal Business 

Committee pursuant to Section 4.2 1.