Honorable Carol Ervin 

Chairperson, Cher-Ae Heights Indian Community 

of the Trinidad Rancheria 

P.O. Drawer 630 

Trinidad, California 95570 

Dear Ms. Ervin: 

This letter responds to your request to review and approve the tribal gaming ordinance, 

Ordinance No. 98-02, adopted on August 15, 1998, by the Community Council of the 

Cher-Ae Heights Indian Community of the Trinidad Rancheria (Rancheria). This letter 

constitutes such approval under the Indian Gaming Regulatory Act (IGRA). 

Under the IGRA and the regulations of the National Indian Gaming Commission (NIGC), 

the Chairman is directed to review ordinances with respect to the requirements of the IGRA 

and the implementing regulations. Thus, the scope of the Chairman's review and approval is 

limited to the requirements of the IGRA and the NIGC regulations. Provisions other than those 

required in the tribal ordinance are not subject to review and approval. Also such approval 

does not constitute approval of specific games. It is important to note that the gaming 

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

With the Chairman's approval of the Rancheria's gaming ordinance, the Rancheria is now 

required to conduct background investigations on its key employees and primary management 

officials. The NIGC expects to receive a completed application for each key employee and 

primary management official pursuant to 25 C.F.R. §556.5(a) and an investigative report on 

each background investigation before issuing a license to a key employee or primary 

management official pursuant to 25 C. F.R. §556.5(b). 

Thank you for submitting the ordinance of the Cher-Ae Heights Indian Community of the 

Trinidad Rancheria for review and approval. The NIGC staff and I look forward to working 

with you and the Rancheria in implementing the IGRA. 

Sincerely yours, 

Montie R. Deer 

Chairman 

1441 L STREET, N.W. 9Tt4 FLOOR WASHINGTON, D.C. 20005 TEL: 202-632-7003 FAX. 202-632-7066 
ORDINANCE NO. 98-02 

TRIBAL CLASS I11 GAMING ORDINANCE 

,>;'-:. , 

.' 2 - 

I. Purpose 

The Community Council of the Cher-Ae Heights Indian Community 

of the Trinidad Rancheria of California (hereinafter I1Tribe"), 

empowered by the Tribe's Articles of Association to enact 

ordinances, hereby enacts this ordinance in order to set the terms 

for Class I11 Gaming activities on tribal lands. 

11. Gamins Authorized 

All forms of Class I11 Gaming as defined in the Indian Gaming 

Regulatory Act, P.L. 100-447, 25 U.S.C. Section 2703 (8) (I1IGRAn) 

and authorized by the tribal-state compact between the Tribe and 

the State of California executed on July 13, 1998 (hereinafter 

"tribal-state compactn), including Indian Lottery Games, are hereby 

authorized. 

111. Ownership of Gaminq 

The Tribe shall maintain the sole propriety interest in and 

responsibility for the conduct of all Class I11 Gaming activities 

authorized by this ordinance. 

IV. Use of Gamins Revenue 

A. Net revenues from the Tribe's share of Class I11 Gaming 

activities authorized herein shall be used only for the following 

purposes: to fund tribal government operations and programs; 

provide for general welfare of the Tribe and its members; promote 

tribal economic development; donate to charitable organizations; or 

help fund operations of local government agencies. 

B. If the Tribe elects to make per capita payments, it shall 

authorize such payments only pursuant to its Plan for the 

Allocation of Gaming Revenue, approved by the Secretary of the 

Interior under §2710(b)(3) of IGRA. 

V. Audit 

A. The Tribe shall cause to be conducted annually an 

independent audit of gaming operations and shall submit the 

resulting audit reports to the Commission. 

B. All gaming related contracts that result in the purchase 

of supplies, services, or concessions in excess of $25,000.00 

annually, except for contracts for professional legal and 
accounting services, shall be specifically included within the 

scope of the audit that is described in Subsection (A) above. 

C. The Tribe shall cause to be conducted all requisite 

auditing procedures set forth in Article 6 of the tribal-state 

compact. 

VI. Environmental Protection 

The construction, maintenance and operation of Class I11 

Gaming facilities and Class I11 games shall be conducted in a 

manner which adequately protects the environment and the public 

health and safety. The Tribe shall ensure that Class I11 Gaming is 

conducted in compliance with Article 12 of the tribal-state 

compact. 

VII. Licenses for Key Employees and Primary Manaqement Officials 

The Tribe shall ensure that the policies and procedures set 

out in this section, as well as those set forth in Article 5 of the 

tribal-state compact, are implemented with respect to key employees 

and primary management officials employed at any Class I11 Gaming 

enterprise operated on tribal lands and associated with Class I11 

Gaming activity: 

A. Definitions 

For the purposes of this section, the following 

definitions apply: 

1. Key employee. 

(a) A person who performs one or more of the 

following functions associated with Class I11 Gaming 

activity: 

(1) counting room supervisor; 

(2) Chief of security; 

(3) Custodian of gaming supplies or cash; 

(4) Floor manager; 

(5) Croupier; 

(6) Approver of credit; or 

(7) Custodian of gambling devices including 

persons with access to cash and accounting records 

within such devices; 
(b) If not otherwise included, any other person 

employed by the gaming operation and associated with 

Class I11 Gaming activity whose total cash compensation 

is in excess of $50,000 per year; 

(c) If not otherwise included, the four most highly 

compensated persons employed by gaming operation and 

associated with Class I11 gaming activity; or 

(d) If not otherwise included, any other person who 

is a designated as a key employee under the tribal-state 

compact. 

2. Primary Manaqement Official. 

(a) The person having management responsibility for 

a management contract associated with Class I11 gaming 

activity ; 

(b) Any person who has authority: 

(1) To hire and fire employees associated 

with Class I11 gaming activity; or 

(2) To set up working policy for the Class 

I11 gaming operation; or 

(c) The chief financial officer or other person who 

has financial management responsibility associated with 

Class I11 gaming activity. 

B. ADDlication Forms 

1. The following notice shall be placed on the 

application form for a key employee or a primary management 

official before that form is filled out by an applicant: 

In compliance with the Privacy Act of 1974, the 

following information is provided: Solicitation of 

the 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 information 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 regulatory 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 investigations 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 Social Security Number (SSN) 

is voluntary. However, failure to supply a SSN may 

result in errors in processing your application. 

2. xis sting key employees and primary management 

officials shall be notified in writing that they shall either: 

(a) Complete a new application form that contains 

a Privacy Act notice; or 

(b) Sign a statement that contains the Privacy Act 

notice and consent to the routine uses 

described in that notice. 

3. The following notice shall be placed on the 

application form for a key employee or a primary management 

official before that form is filled out by an applicant: 

A false statement on any part of your application 

may be 'grounds for not hiring you, or for firing 

you after you begin work. Also, you may be 

punished by fine or imprisonment. (U.S. Code, 

title 18, section 1001.) 

4. The Tribe and/or Tribal Gaming Agency shall notify 

in writing existing key employees 'and primary management 

officials that they shall either: 

(a) Complete a new application form that contains 

a notice regarding false statements; or 

(b) Sign a statement that contains the notice 

regarding false statements. 

C. Backqround Investiqations: 

1. The Tribe and/or Tribal Gaming Agency shall request 

from each primary management official and from each key 

employee all of the following information: 

(a) Full name, other names used (oral or written), 

social security number (s) , birth date, place 

of birth, citizenship, gender, all languages 

(spoken or written) ; 

(b) Currently and for the previous 5 years: 

business and employment positions held, 

ownership interests in those businesses, 
business and residence addresses, and drivers 

license numbers; 

The names and current addresses of at least 

three personal references, including one 

personal reference who was acquainted with the 

applicant during each period of residence 

listed under paragraph (i) (b) of this section; 

Current business and residence telephone 

numbers; 

A description of any existing and previous 

business relationships with Indian tribes, 

including ownership interests in those 

businesses; 

A description of any existing and previous 

business relationships with the gaming 

industry generally, including ownership 

interests in those businesses; 

The name and address of any licensing or 

regulatory agency with which the person has 

filed an application for a license or permit 

related to gaming, whether or not such license 

or permit was granted; 

For each felony 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; 

For each misdemeanor conviction or ongoing 

misdemeanor prosecution (excluding minor 

traffic violations) within 10 years of the 

date of the application, the name and address 

of the court involved and the date and 

disposition; 

For each criminal charge (excluding minor 

traffic charges), whether or not there is a 

conviction, if such criminal charge is within 

10 years of the date of the application and is 

not otherwise listed pursuant to paragraphs 

(i) (h) and (i) (i) of this section, the 

criminal charge, the name and address of the 

court involved and the date and disposition; 

The name and address of any licensing or 

regulatory agency with which the person has 

filed an application for an occupational 

license or permit, whether or not such license 

or permit was granted; 
(1) A current photograph; 

(m) Any other information the Tribe and/or Tribal 

Gaming Agency deems relevant; and 

(n) Fingerprints consistent with procedures 

adopted by a tribe according to 25 C.F.R. § 

522.2(h). 

2. The Tribe and/or Tribal Gaming Agency shall conduct 

an investigation sufficient to make a determination under 

subsection D below. In conducting a background investigation, 

the Tribe shall promise to keep confidential the identity of 

each person interviewed in the course of the investigation. 

D. Elisibility Determination 

1. The Tribal Gaming Agency shall review a person's 

prior activities, criminal record, if any, and reputation, 

habits and associations to make a finding concerning the 

eligibility of a key employee or a primary management official 

for employment in a gaming operation. If the Tribal Gaming 

Agency determines that employment of the person poses a threat 

to the public interest or to the effective regulation of 

gaming, or creates or enhances dangers of unsuitable, unfair, 

or illegal practices and methods and activities in the conduct 

of gaming, a tribal gaming operation shall not employ that 

person in a key employee or primary management official 

position. 

2. The Tribe's gaming operation shall not employ in a 

key employee or primary management official position a person 

who has supplied materially false or misleading information 

with respect to the required information for that person's 

background investigation under subsection C above. 

3. The Tribe's gaming operation shall not employ in a 

key employee position any applicant who fails to meet any 

necessary suitability requirements under the tribal-state 

compact. 

E. Procedures for Forwardins Ap~lications and Re~orts for 

Key Em~loyees and Primary Manasement Officials to the 

Commission 

1. When a key employee or primary management official 

begins work, the Tribe and/or Tribal Gaming Agency shall 

forward to the Commission a completed application for 

employment and conduct the background investigation and 

determination referred to in subsections A, B, C and D of this 

section. 

2. Upon completion, the Tribe and/or Tribal Gaming 

Agency shall forward the report referred to in subsection F of 

this section to the Commission within 60 days after an 
employee begins work or within 60 days of the Chairman's 

approval of this ordinance. 

3. The gaming operation shall not employ a key employee 

or primary management official who does not have a license 

after 90 days. 

F. Re~0rt to Commission 

1. Pursuant to the procedures set out in subsection E 

of this section, the Tribe and/or Tribal Gaming Agency shall 

prepare and forward to the Commission an investigative report 

on each background investigation. An investigative report 

shall include all of the following: 

(a) Steps taken in conducting a background 

investigation; 

(b) Results obtained; 

(c) Conclusions reached; and 

(d) The bases for those conclusions. 

(e) The Tribe and/or Tribal Gaming Agency shall 

include in its report a copy of the 

eligibility determination made under section D 

of this section. 

2. If a license is not issued to an applicant: 

(a) The Tribe and/or Tribal Gaming Agency shall 

notify the Commission; and 

(b) Forward copies of its eligibility 

determination and investigative report (if 

any) to the Commission for inclusion in the 

Indian Gaming Individuals Records System. 

3. With respect to key employees and primary management 

officials, the Tribe and/or Tribal Gaming Agency shall retain 

applications for employment and reports (if any) of background 

investigations for inspection by the Chairman of the 

Commission or his or her designee for no less than three (3) 

years from the date of termination of employment. 

G. Grantins a Gamins License 

1. If, within a thirty (30) day period after the 

Commission receives a report, the Commission notifies the 

Tribe and/or the Tribal Gaming Agency that it has no objection 

to the issuance of a license pursuant to a license application 

filed by a key employee or a primary management official for 

whom the Tribe has provided an application and investigative 
report to the Commission, the Tribe may go forward and issue 

a license tosuch applicant. 

2. The Tribe and/or the Tribal ~aming Agency shall 

respond to a request for additional information from the 

Chairman of the Commission concerning a key employee or a 

primary management official who is the subject of a report. 

Such a request shall suspend the thirty (30) day period under 

paragraph (G) (1) of this section until the Chairman of the 

Commission receives the additional information. 

3. If, within the thirty (30) day period described 

above, the Commission provides the Tribe and/or Tribal ~aming 

Agency with a statement itemizing objections to the issuance 

of a license to a key employee or to a primary management 

official for whom the Tribe and/or Tribal Gaming Agency has 

provided an application and investigative report to the 

Commission, the Tribe and/or Tribal Gaming Agency shall 

reconsider the application, taking into account the objections 

itemized by the Commission. 

4. The Tribe shall ensure compliance with any other 

procedures regarding licensure which may be required under the 

tribal-state compact. 

H. License Suspension 

1. If, after the issuance of a gaming license, the 

Commission receives reliable information indicating that a key 

employee or a primary management official is not eligible for 

employment under subsection D above, the Tribe and/or Tribal 

Gaming Agency shall suspend such license and shall notify in 

writing the licensee of the suspension and the proposed 

revocation. 

2. The Tribe and/or Tribal Gaming Agency shall notify 

the licensee of a time and a place for a hearing on the 

proposed revocation of a license. 

3. After a revocation hearing, the Tribe and/or Tribal 

Gaming Agency shall decide to revoke or to reinstate a gaming 

license. The Tribe and/or Tribal Gaming Agency shall notify 

the Commission of its decision. 

4. The Tribe and/or Tribal Gaming Agency shall also 

suspend and revoke the license of a key employee when such 

person is deemed unsuitable under the tribal-state compact. 

VIII. License Locations 

The Tribe and/or Tribal Gaming Agency shall issue a separate 

license to each place, facility, or location on Indian lands where 

Class I11 Gaming is conducted under this ordinance. 
IX. Patron and Third Party Dispute Resolution Procedure 

Customer and third party disputes shall be resolved pursuant 

to Article 10 and ~rticle 11 of the tribal-state compact. 

X. Comvliance with IGRA and Tribal-State Compact 

The Tribe shall ensure that Class 111 Gaming is conducted in 

compliance with IGRA and the tribal-state compact. 

XI. Reveal 

To the extent that they are inconsistent with this ordinance, 

all prior gaming ordinances are hereby repealed. 

CERTIFICATION 

The foregoing ordinance was adopted by a vote of for, and 

against and - abstentions, at a duly called meeting of the 

Community Council, at which a quorum was present, on this 15th day 

of August, 1998.