+ 

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. I 

COMMISSION 

Valentino Jack, Tribal Chairman 

Big Valley Rancheria of Pomo 1ndians 

P.O. Box 955 

Lakeport, California 95453 

Dear Chairman Jack: 

This letter responds to your request to review and approve the 

tribal gaming ordinance adopted by the Big Valley Rancheria of 

Pomo Indians (the Tribe) on March 12, 1994. This letter 

constitutes such approval under the Indian Gaming Regulatory Act 

(IGRA) . Under the IGRA and the regulations of the National Indian Gaming 

 omm mission (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 under the IGRA 

or the NIGC regulations that may be included in a 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 Tribe's gaming ordinance, the 

Tribe 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. S 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. S 556.5(b). 

Thank you for submitting the ordinance of the Big Valley 

Rancheria of Pomo Indians for review and approval. The NIGC 

staff and I look forward to working with you and the Tribe in 

implementing the IGRA. 

Sincerely yours, 

Anthony J. Hope 

Anthony J. Hope 

Chairman 

C 

1850 M STREET. N W SUITE 250 WASHINGTON. DC 20036 TEL 202.632.7003 FAX 202.632.7066 
BIG VALLEY RANCHERIA 

FINLEY, CALIFORNIA 

RESOLUTION TO ADOPT GAMING ORDINANCE AND REGULATIONS 

Resolution No. 1994- DJWHEREAS: The General Community Council is the duly constituted 

governing body for the BIG VALLEY RANCHERIA, a federally 

recognized Indian tribe, as established in Article Ill of the Tribe's 

Constitution; and 

WHEREAS: The General Community Council has found that gaming on Big 

Valley Rancheria tribal lands is a valuable means of promoting 

tribal economic development, self-sufficiency, employment, job 

training and strong tribal government; and 

WHEREAS: The adoption of a gaming ordinance and regulations and 

procedures for licensing and completing background 

investigations of employees and others associated with such 

gaming activities is necessary for the purposes of developing 

gaming on Big Valley Rancheria tribal lands for tribal 

governmental and charitable purposes, and to operate such 

gaming consistent with and in conformity to the federal lndian 

Gaming Regulatory Act (25 U.S.C. § 2701 a m.) and 

regulations promulgated thereunder, and tribal law. 

NOW THEREFORE BE IT RESOLVED by the General Community Council of the Big 

Valley Rancheria that the gaming ordinance (Big Valley Gaming Act of 1994) and 

the Gaming License Regulations and Background Investigation Procedures 

referenced herein and attached hereto, are hereby adopted. 

DONE THIS 12th DAY OF MARCH, 1994, at a meeting of the General Community 

Council duly convened at the Big Valley Rancheria, with a quorum present, by a 

vote of $(o "for", 0 "against", and 0 "abstentions". 
BIG VALLEY RANCHERIA OF POMO INDIANS 

I Ordinance No. 101 

BIG VALLEY GAMING ACT OF 1994 

The Big Valley Rancheria of Pomo Indians, a federally recognized Indian Tribe 

("Tribe") hereby enacts the following ordinance, to be known as the "BIG VALLEY 

GAMING ACT OF 1994 ("Act"). This Act and any regulations promulgated 

thereunder shall constitute the entire gaming regulations for the Tribe. 

. . Section 1. Emda~s and P-. 

This Act is adopted by the Tribe, pursuant to its authority granted by Article Ill 

of the Tribe's Constitution, for the purpose of establishing the terms for gaming on the 

Reservation for tribal governmental and charitable purposes, and to develop and 

operate such gaming consistent with the findings herein and in conformity with the 

federal Indian Gaming Regulatory Act (25 U.S.C. § 2701 et sea. ("IGRA")) and 

regulations promulgated thereunder. 

The Tribe finds that: 

a. Gaming on its Reservation is a valuable means of generating revenues 

that are needed for economic development, to promote tribal self-sufficiency, 

economic development, employment, job training, and a strong tribal government, and 

to fund and ensure essential social programs and services; 

b. The ~rible desires to conduct certain forms of gaming to provide needed 

revenues to the Tribe, and to regulate and control such gaming in a manner that will 

protect the environment, the Reservation, the health, security and general welfare of 

the Tribe, the players, and the community; and 

c. The Tribe desires to own all gaming on the Reservation, and to manage 

and regulate such gaming in a manner that will adequately address such special 

interests and needs of the Tribe. 

. .. Section 2. Peflnlt~ons. 

Unless specified otherwise, terms used herein shall have the same meaning as 

in IGRA, including but not limited to references to "Net Revenues," "Class I," "Class 

11," and "Class Ill" gaming, except for references to "Commissioners", "Commission", 
or "Gaming Commission" which shall mean the Big Valley Gaming Commission or its 

Commissioners, established and described herein. 

a. "Business Committee" shall mean the committee of the elected tribal 

officers, established under the Tribe's Constitution, to conduct business, investigate 

alternatives and options, make recommendations and carry out the mandate of the 

General Community Council. 

b. "Closely Associated Independent Contractor" shall mean any contractor 

that shares common ownership, officers or directors with any management principal 

or person related thereto. 

c. "Gaming" shall mean an activity in which a person stakes or risks 

something of value on the outcome of a contest of chance or a future contingent 

event, not under his or her control or influence, upon an agreement or understanding 

that the person, or someone else, will receive something of value in the event of a 

certain outcome, but shall not include bona fide business transactions. 

d. "Gaming Activities" shall mean any Class I, Class II, or Class Ill gaming 

activity conducted by or under the jurisdiction of the Tribe. 

e. "Gaming Commission" shall mean the Big Valley Gaming Commission, as 

established herein to monitor the Gaming Activities, investigate wrongdoing, conduct 

background investigations, issue licenses, and perform other duties as required for the 

regulation of gaming on the Reservation. 

f. "Gaming Contractor" shall mean any person or entity that supplies 

gaming devices or other gaming equipment, personnel, or services (including gaming 

management or consulting services) to any gaming activity or enterprise. 

9 "Gaming Enterprise" shall mean any gaming business, event, enterprise 

or activity conducted by or under the jurisdiction of the Tribe. 

h. "General Community Council" shall mean the governing body of the Tribe, 

as established under Article Ill of the Tribe's Constitution. 

i. "Key Employee" shall mean a person who performs one or more of the 

following functions: bingo caller, counting room supervisor, chief of security, 

custodian of gaming supplies or cash, floor manager, pit boss, dealer, croupier, 

approver of credit, or custodian of gaming devices including those persons with access 

to cash and accounting records within such devices. If not otherwise included, any 

other person whose total cash compensation is in excess of $50,000 per year, and 

the four most highly compensated persons in the gaming enterprise are included in the 

definition of Key Employees. At the discretion of the Gaming Commission, other 
positions or persons may be included under and subject to the requirements for Key 

Employees. 

J- "National Indian Gaming Commission" ("NIGC") shall mean the 

commission established under IGRA. 

k. "Person" shall mean any natural person or entity, including but not limited 

to corporations, partnerships and trusts. 

I; "Primary Management Official" shall mean the person who has 

management responsibility for a management contract; any person who has authority 

to hire and fire employees or to set up working policy for the gaming enterprise; or the 

chief financial officer or other person who has financial management responsibility. 

At the discretion of the Gaming Commission, other positions or persons may be 

included under and subject to the requirements for primary management officials. 

m. "Related to" shall refer to persons who are related as a father, mother, 

sister or brother. 

n. "Reservation" shall mean all lands under the jurisdiction and control of the 

Tribe. 

0. "State" shall mean the State of California. 

P. "Tribal Member" shall mean any duly enrolled member of the Tribe. 

q. "Tribal Court" shall mean any court established by the Tribe to hear 

disputes or, if there is none, the General Community Council. 

Section 3. OwnershiDaminq. 

The Tribe shall have the sole proprietary interest in and responsibility for the 

conduct of any gaming operation authorized by this Act, except to the extent the Tribe 

may contract with and license a person or entity to own, operate or manage the 

enterprise pursuant to the provisions of IGRA or as otherwise permitted by law. 

. . Section 4. Gamina Comm~ss~on. 

. . a. of G-. There is established by the Tribe 

hereby a Commission acting under the authority of the Tribe to be known as the Big 

Valley Gaming Commission. The Gaming Commission shall be composed of five (5) 
members of the Tribe, all of whom shall be elected by the same process by which 

officers of the Tribe are elected. 

b. ns for Offk. The following persons may not serve as 

Commissioners: 

(1 ) Employees of any Gaming Enterprise on the Reservation; 

(2) Persons related to any Gaming Contractor (including any 

principal thereof or Closely Associated Independent Contractor). 

(3) Persons who would not be eligible to be officers of the Tribe 

pursuant to the Tribe's Articles and Bylaws; 

c. Terms of Office. The Commissioners shall serve for two year terms, 

except that immediately after enactment of this Gaming Act two (2) of the 

Commissioners shall serve for two years, and three (3) of the Commissioners shall 

serve for three years. Commissioners may serve for more than one term. 

d. Removal from Office. Commissioners may only be removed from office 

before the expiration of their terms by the Tribe for neglect of duty, malfeasance or 

other good cause shown. The procedure for removing a Commissioner shall be the 

same as for removing an officer of the Tribe. 

e. Quum. Three (3) members of the Gaming Commission shall constitute 

a quorum. 

f. Officers and Duties. The Gaming Commission shall select, by majority 

vote, a Chairman, Vice-Chairman and Secretary. The Chairman shall preside over 

meetings of the Gaming Commission and the Vice-Chairman shall preside in absence 

of the Chairman. The Secretary shall record in writing the minutes of all Gaming 

Commission meetings and all official actions taken by the Gaming Commission. 

g. Voting. All actions of the Gaming Commission shall be taken by majority 

vote. The Commission Chairman may vote on any issue. 

h. Meetings. Meetings shall be held at least once per month, on the second 

Monday of the month at 6:00 p.m. at the Tribe's primary meeting facility. Additional 

meetings shall be held as called by the Chairman or by at least three (3) other 

Commissioners. Notice of meetings shall be given in writing to each Commissioner, 

served by first class mail or personal delivery at least five (5) business days prior to 

such meeting. 
I. lon for Serv~ng Fringe Reneflts:Relmbursement of 

Ex~enses. Commissioners shall be compensated for serving on the Commission at 

rates to be set by the Tribe after review and recommendation by the Business 

Committee. Such rates shall be identical for all Commissioners. Step increases may 

be allowed based on length of service. Commissioners shall be eligible for fringe 

benefits which are available to other employees of the Tribe to the extent the provider 

of such benefits qualifies the Gaming Commission positions for such benefits. Subject 

to approval by the Business Committee and in accordance with procedures to be 

adopted by that Committee, Commissioners shall be reimbursed for expenses incurred 

in connection with the performance of their Gaming Commission duties. 

J. Powers and Duties. 

The Gaming Commission shall have the power and duty to: 

(1) Inspect, examine and monitor Gaming Activities, including the 

power to demand access to and inspect, examine, photocopy and audit all 

papers, books and records respecting such Gaming Activities; 

(2) Investigate any suspicion of wrongdoing in connection with any 

Gaming Activities; 

(3) Conduct or cause to be conducted such investigations as may be 

necessary to determine in connection with any Gaming Activities, compliance 

with law or this Gaming Act or any contracts, agreements, goods, services, 

events, incidents, or other matters related to Gaming Activities; 

(4) Conduct or cause to be conducted background investigations 

regarding any person in any way connected with the Gaming Activities and 

issue licenses to, at minimum, all Key Employees and Primary Management 

Officials according to requirements at least as stringent as those in 25 C.F.R. 

parts 556 and 558; 

(5) Hold such hearings, sit and act at such times and places, summon 

persons on the Reservation to attend and testify at such hearings, take such 

testimony, and receive such evidence as the Gaming Commission deems 

relevant in fulfilling its duties; 

(6) Administer oaths or affirmations to witnesses appearing before the 

Gaming Commission; 

(7) Implement and administer a system for investigating, licensing and 

monitoring employees and others connected with Gaming Activities, as 
described below, including the issuance of licenses to gaming facilities, 

individuals and entities as required under this Act and IGRA; 

(8) Hear disputes against the Gaming Enterprise, in accordance with 

the procedures established in this Act; 

(9) Hire such staff and support services as deemed necessary subject 

to a budget approved by the General Community Council; 

(10) To the extent required, comply with any reporting requirements 

established under a tribal-state compact to which the Tribe is a party and other 

applicable law, including the IGRA; 

(1 1) After consultation with the Business Committee, to issue such 

regulations as it deems appropriate in order to implement the provisions of this 

Act; 

(1 2) Promulgate rules for each Class I, Class II or Class Ill game allowed 

under this Act; to govern the conduct of such games; and 

(1 3) Carry out such other duties with respect to Gaming Activities on 

the Reservation as the Business Committee shall direct. 

k. v. On or before April 30th of each year, the Gaming 

Commission shall provide in writing to the Business Committee an Annual Report 

summarizing its activities during the prior twelve (1 2) month period ending on 

December 31 st, and accounting for all receipts and disbursements. The Business 

Committee shall cause copies of the Annual Report to be made available to the 

membership of the Tribe within thirty (30) days after receipt. Further, the Gaming 

Commission shall provide an oral report of its activities to the Business Committee at 

least quarterly. 

I. . As required, the Gaming Commission 

shall comply with any reporting requirements established under a tribal-state compact 

to which the Tribe is a party, and other applicable law, including the IGRA and 

regulations promulgated thereunder. 

. . Section 5. Permitted Gamina Act~vit~es. 

. . a. Unauthorized Cianuno Prokutmxi. All Gaming Activities on the Reservation 

(whether Class I, II or Ill) are prohibited except as expressly authorized under this Act. 
(1) Class. Class I Gaming Activities are hereby permitted to the 

extent consistent with tribal custom and practice. The Gaming Commission may 

prohibit and prevent any conduct which is claimed to be Class I gaming pursuant to 

a finding that such conduct is not in accordance with tribal customs or practices or 

violates IGRA or any other law. 

(2) mss II and Class Ill Gaminq. Class II and Class Ill gaming on the 

Reservation is hereby authorized, provided the Tribe has the sole proprietary interest 

in and responsibility for the conduct of any Gaming Enterprise, or to the extent the 

Tribe may contract with and licensed a person or entity to own, operate or manage 

the enterprise pursuant to the provisions of IGRA or as otherwise permitted by law. 

Nothing herein shall prohibit the Tribe from engaging the services of non-tribal persons 

as employees thereof or engaging any person or entity to provide consulting or other 

technical assistance or to assist the Tribe in the management of Gaming Activities 

pursuant to a management agreement entered into under the provisions of IGRA. 

Class Ill gaming shall be conducted in accordance with any tribal-state compact 

between the Tribe and the State, or any alternative thereto as provided by IGRA. 

Section 

a. 

6. 

lj~bal 

v. 

Property. Except as provided for under the terms of an agreement 

pursuant to the provisions of IGRA or as otherwise permitted by law, all revenues 

generated from any Class II or Class Ill Gaming Activities are the property of the Tribe. 

Any profits or net revenues from Gaming Activities shall be deposited into the Tribe's 

general treasury or such other tribal account as the Tribe shall determine. Once 

becoming part of the treasury such funds shall lose any identity as gaming revenues 

except to the extent necessary to identify them as such in order to comply with 

applicable law. No Tribal Member shall be deemed to have any interest in such profits 

or net revenues; provided that the Business Committee, after consultation with the 

General Community Council, may adopt rules for distributing gaming proceeds to Tribal 

Members on a per capita basis provided such plan meets the requirements of IGRA, 

25 U.S.C. § 271 0 (b) (3). Payments from the general treasury funds to Tribal 

Members under other tribal programs, including those related to health, welfare, 

education, elderly care, and housing, shall not be deemed to be per capita payments. 

b. Use of Net Revenues. Net revenues from Gaming Activities shall not be 

used for purposes other than: 

(1) To fund tribal government operations or programs; 

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

(3) To promote economic development for the Tribe; 
(4) To donate to charitable organizations; or 

(5) To help fund operations of local government agencies. 

Section 7. Operation of Gamina Establishments. 

a. Ciami.ng Per- as I ice-. Except to the extent authorized by an 

agreement pursuant to the provisions of IGRA or as otherwise permitted by law, 

Gaming Activities shall only be conducted in tribally owned, operated and licensed 

facilities pursuant to the provisions of this Act. Such activities shall be conducted in 

accordance with the terms and conditions of any license issued by the Tribe for such 

purposes as to each facility before any Gaming Activities may occur therein. Such 

licenses shall specify the hours of operation, type and scope of Gaming Activities 

allowed therein, permitted uses of the facility for other activities, rules of conduct for 

employees and patrons, regulation of alcoholic beverages, food handling and 

entertainment, and such other matters as the Gaming Commission or the Business 

Committee may deem necessary to the conduct of Gaming Activities therein. 

b. prowion of Environment and Public. Any construction or maintenance 

of any gaming facility, and the operation of gaming therein, shall be conducted in a 

manner which adequately protects the environment and the public health and safety. 

c. Ute Resolution. Patrons who have complaints against the gaming 

establishment shall have as their sole remedy the right to file a petition for relief with 

the Gaming Commission. For such purposes, disputes with any management 

contractor or its employees shall be made to the Gaming Commission, and such shall 

be the exclusive remedy for patron complaints. Complaints shall be submitted in 

writing and, at the discretion of the Gaming Commission, the petitioner may be 

allowed to present evidence. The Gaming Commission will render a decision in a 

timely fashion and all such decisions will be final when issued. Any patron having a 

claim against the Gaming Enterprise or a management contractor or its employees 

must submit such claim to the Gaming Commission within thirty (30) days of its 

occurrence. All claims by patrons shall be limited to a maximum recovery of $10,000 

per occurrence, and a cumulative limit of $20,000 per patron in any twelve (12) 

month period. 

Section 8. Audits. 

AnnualAudits. Annual outside auditing by a recognized independent accounting 

firm shall be conducted of the Gaming Activities and the results thereof reported to 

the Business Committee and, to the extent required by law, the Bureau of Indian 

Affairs ("BIA") and the National Indian Gaming Commission ("NIGC"). 
Section 9. Contracts. 

a. l3uUn.g. Contracts relating to Gaming or any gaming facility over $25,000 

or for more than five (5) years (except contracts for professional legal or accounting 

services) shall be subjected to a formal, sealed bidding process prior to submission to 

the Business Committee for approval. All reasonable attempts shall be made to obtain 

and consider at least three responsible bids; provided, the Gaming Commission may 

waive the requirement for three (3) bids upon good cause shown. 

b. Audit Requirements. All contracts for supplies, services, or concessions for 

a contract amount in excess of $25,000 annually (except contracts for professional 

legal or accounting services) relating to Class II or Class Ill gaming on the Reservation 

shall be subject to independent audits, and such contracts shall so specify. 

Section 10. Licenses. 

a. I icensina. Reqlairements. It is the declared policy of the Tribe that all 

Gaming Activities be licensed and controlled so as to protect the morals, good order 

and welfare of Tribal Members and other persons on the Reservation and to preserve 

the honesty, fairness and integrity of such Gaming Activities. Accordingly, no person 

shall engage in any Class II or Class Ill Gaming Activities on the Reservation without 

an appropriate and valid independent Class II or Class Ill license issued by the Gaming 

Commission. Any gaming license which is issued, or finding of suitability or approval 

by the Gaming Commission, shall be deemed a privilege subject to suspension or 

revocation. No license shall be issued that would place the Tribe in violation of any 

tribal-state compact to which the Tribe is a party, or of any applicable law. 

b. Purden on A-U. The burden of proving an applicant's qualification 

to receive any license hereunder is at all times on the applicant. Applicants must 

accept any risk of adverse public notice, embarrassment or other action which may 

result from the application process and expressly waive any claim for damages as a 

result thereof. 

c. nt Cla~m of Privileaa. An applicant may claim any privilege 

afforded by law in connection with a gaming license application or investigation, but 

a claim of privilege with respect to any testimony or evidence pertaining thereto may 

constitute sufficient grounds for denial, suspension or revocation. 

d. Release of Information. All persons applying for a license shall agree 

to release all information necessary in order for the Gaming Commission to achieve its 

goals under this Act, and to furnish such information to the Bureau of Indian Affairs, 

the NIGC, or such other governmental agency as may be required by law. 
e. of I ~cew. Three classes of licenses (Class A, Class B, and Class 

C) shall be issued to persons and entities associated with Gaming Activities or the 

gaming facility. 

(1 1 s A I Ice-. Before permitting any person to become 

permanently associated with the Gaming Activities as an investor, management entity, 

or other person owning or controlling ten percent (1 0%) or more of any interest in any 

management entity, or any Primary Management Official, Key Employee, Closely 

Associated Independent Contractor, or other individual or entity with influence over 

the management or operation of the gaming, or a Class II or Ill gaming employee, 

supplier, manufacturer or distributor, such person shall obtain a Class A license. 

Persons who do not meet the qualifications established below shall be denied a Class 

A license. The Gaming Commission shall conduct or cause to be conducted a 

background investigation to determine if such person has: 

(a) Any criminal record or any reputation, prior 

activities, habits or associations which might pose a threat 

to the public interest or to the effective regulation of 

gaming. 

(b) Anything else in their background which might 

create or enhance the dangers of unsuitable, unfair, or 

illegal practices and methods and activities in the conduct 

of gaming. 

(2) s B I lcew. Persons who are not among those identified in 

subsection (1) above, but are to be employed at a gaming facility on the Reservation 

in some other capacity, such as in non-gaming related activities, shall be required to 

obtain a Class B license from the Gaming Commission. Such persons must establish 

that they have not been convicted of a crime, or engaged in any activity, which the 

Gaming Commission in its sole discretion deems would render such person a danger 

to the safety or integrity of the Gaming Activities or the safety or property of the 

Tribe, any Tribal Member, any gaming employee or patron, or the public. 

(3) Qass C Licenses. Minors (persons under 18 years of age) 

employed at a gaming facility on the Reservation may be issued a Class C license, 

which will entitle them to work in any position for which a Class B license is required 

for adults and not otherwise prohibited by law, provided such minors are not deemed 

by the Gaming Commission to pose any threat to the safety or integrity of the Gaming 

Activities or the safety or property of the Tribe, any Tribal Member, any gaming 

employee or patron, or the public. Such licenses shall be valid for no more than six 

(6) months before renewal, and shall be revoked upon the minor's reaching the age 

of 18, at which time a Class A or B license, as may be appropriate, will be required. 

Minors shall not be employed as dealers or otherwise to operate or supervise the 

operations of games. 
f. J ice~newal. Class A and Class B licenses shall be subject to 

renewal at least every two (2) years, and may be revoked or suspended upon the 

occurrence of any act which, if known during the application process, would have 

tended to disqualify such person for such a license. 

9. Temporary Licenses. Pending completion of an investigation for a license, 

temporary licenses of no more than ninety (90) days duration may be issued by the 

Gaming Commission if in its sole discretion it deems it appropriate to do so. Such 

licenses shall permit the licensee to engage in such activities and pursuant to such 

terms and conditions as may be specified by the Gaming Commission. Such 

temporary licenses shall expire ninety (90) days from date of issuance, upon issuance 

of a regular license, or until an earlier specified expiration date, whichever occurs first. 

h. License lnvest~galmm . . . The Gaming Commission may employ all 

reasonable means, including the engagement of outside services and investigators and 

the holding of hearings, to acquire the information necessary to determine whether or 

not a license should be issued. Applicants shall also agree to release all information 

necessary in order for the Gaming Commission to achieve its goals under this section 

and to furnish such information to the Bureau of Indian Affairs, the NIGC, or such 

other agency as may be required by law. 

I. I icense Fees. Unless specifically waived by the Gaming Commission, all 

persons applying for a Class A, B or C license shall be required to pay all applicable 

license fees and costs when due, including the reasonable cost for regulation and 

monitoring of licensees, and including a reasonable deposit for costs incurred in 

obtaining information in connection with the license application. Estimates of licensing 

costs shall be provided to applicants upon reasonable request. Payment for all fees 

and costs must be received by the Gaming Commission prior to issuance of the 

license. 

J. ,Slmdm&. All persons engaged by or associated with any Gaming 

Activity on the Reservation shall conduct themselves with honesty, integrity, and with 

such decorum and manners as may be necessary to reflect positively on the Tribe, its 

members and the Gaming Activities involved. Any failure to abide by such standards, 

or any violation of any rule, ordinance, custom or tradition of the Tribe, the 

Reservation or the Gaming Activities, or the terms or conditions of the license, may 

be grounds for immediate suspension or revocation of any license issued hereunder. 

k. Appeals. All decisions of the Gaming Commission regarding the issuance 

or revocation of licenses shall be final and effective when issued; provided, within 

fifteen (1 5) days of the receipt of the written decision regarding denial or revocation 

of the license, the applicant may file a petition for reconsideration with the Gaming 

Commission. Any Tribal Member who is denied a license by the Gaming Commission 

may, within thirty (30) days of written notice of such denial, appeal the denial to the 
Gaming Commission, which shall have the power to reverse its prior decision and 

order that such license be issued. Licenses issued by the Gaming Commission as a 

result of such appeal shall be issued for more than one year, and are subject to the 

renewal procedures set forth herein. No decision of the Gaming Commission that a 

license be issued shall be valid if such issuance would place the Tribe in violation of 

any tribal-state compact to which the Tribe is a party, or of any applicable law. 

(1) The Gaming Commission shall request from each Primary Management 

Official and each Key Employee all of the information specified in subsections (a) 

through (n) below. Further, each other applicant for a Class A license, except as 

provided otherwise by the Gaming Commission, shall also submit the information 

specified in (a) through (n) below. The Gaming Commission reserves the right, at any 

time, to request additional information either prior to, during, or subsequent to any 

background investigation. 

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

number(s), date of birth, place of birth, citizenship, gender, all languages (spoken or 

written); 

(b) Currently and for at least the previous five (5) years: 

business and employment positions held, ownership interests in those businesses, 

business and residence addresses and drivers license number(s); 

(c) Names and current addresses of at least three (3) personal 

references, including one personal reference who was acquainted with the applicant 

during each period of residence as listed under subsection (b) above; 

(d) Current business and residence telephone numbers; 

(e) Description of any existing and previous business 

relationships with the gaming industry generally, including ownership interests in those 

businesses; 

(f) A description of any existing and previous business 

relationships with Indian tribes, including ownership interests in those businesses; 

(g) Name and address of any licensing or regulatory agency with 

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

gaming, whether or not such license or permit was granted; 
(h) For each felony for which there is an on-going prosecution 

or a conviction: the charge, the name and address of the court involved, and the date 

and disposition, if any, of the case; 

(i) For each misdemeanor conviction or on-going misdemeanor 

prosecution (excluding minor traffic violations) within ten (I 0) years of the date of the 

application: the name and address of the court involved, and the date and disposition, 

if any, of the case; 

(j) For each criminal charge (excluding minor traffic charges), 

whether or not there is or was a conviction, if such criminal charge is within ten (1 0) 

years of the date of the application and is not otherwise listed above pursuant to 

subsections (h) or (i) above: the criminal charge, the name and address of the court 

involved and the date and disposition, if any, of the case; 

(k) Name and address of any licensing or regulatory agency 

(federal, tribal, state, local or foreign) with which the person has filed an application 

for an occupational license or permit, whether or not such license or permit was 

granted; 

(I) Current photographs; 

(m) Any other information the Tribe or the Gaming Commission 

deems relevant; and 

(n) Fingerprints consistent with procedures adopted by the 

Gaming Commission according to 25 C.F.R. 5 522.2(h). 

(2) The Tribe shall conduct or cause to be conducted an investigation, 

through the Gaming Commission, sufficient to make a determination of eligibility as 

required under this Gaming Act. In conducting the background investigation, the 

Gaming Commission and its agents shall promise to keep confidential the identity of 

each person interviewed in the course of the investigation. 

m. v De termination. The Gaming Commission 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 Primary Management Official 

for employment in a gaming operation. If the Gaming Commission 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, the Gaming Enterprise 

shall not employ that person in a Key Employee or Primary Management Official 
position or in any other position for which a Class A license is required, except as 

specifically established by the Gaming Commission. 

(1) On or before the date any Key Employee or Primary Management 

Official is employed by a Gaming Enterprise authorized under this Act, the Gaming 

Commission, acting on behalf of the Tribe, shall forward to the NlGC the person's 

completed application for employment containing the information required above under 

section 10.1. of this Act. 

(2) Prior to issuing a license to a Primary Management Official or Key 

Employee, the Gaming Commission, acting on behalf of the Tribe, shall forward to the 

NIGC, together with a copy of the eligibility determination made under subsection 

1 O.m. above, an investigative report on each background investigation. The 

investigative report on each background investigation shall be forwarded to the NlGC 

within sixty (60) days after the employee begins work, or within sixty (60) days of the 

approval of this Act by the NIGC. The Gaming Enterprise shall not employ or continue 

to employ any person as a Key Employee or Primary Management Official who does 

not have a license within ninety (90) days of beginning work. 

The investigative report shall include the following information: 

(a) Steps taken in conducting a background investigation; 

(b) Results obtained; 

(c) Conclusions reached; and 

(dl The bases for those conclusions. 

(3) The Gaming Commission, acting on behalf of the Tribe, shall 

provide to the NlGC or other agency, any other reports and information required by 

IGRA and regulations promulgated thereunder. Further, with respect to Key 

Employees and Primary Management Officials, the Gaming Commission shall retain 

applications for employment and reports (if any) of background investigations for 

inspection by the NlGC for no less than three (3) years from the date of termination 

of employment. 

(4) If a license is not issued to an applicant, the Gaming Commission 

shall notify the NlGC and may forward copies of its eligibility determination and 

investigative report (if any) to the NlGC for inclusion in the Indian Gaming Individuals 

Records System. 
(1) If, within a thirty (30) day period after the NlGC receives a report 

as required under subsection 10.n. above, the NlGC notifies the Tribe that it has no 

objection to the issuance of a license pursuant to the license application filed for a Key 

Employee or Primary Management Official for whom the Gaming Commission has 

provided an application and investigative report, the Gaming Commission may issue 

the license. 

(2) The Gaming Commission shall provide any additional information 

requested by the NIGC concerning a Key Employee or Primary Management Official 

who is the subject of a report as required under this subsection. An NlGC request for 

additional information shall suspend the thirty (30) day period established under this 

subsection until the NlGC receives the additional information. 

(3) If, within the thirty (30) day period established under this 

subsection, the NlGC provides a statement itemizing objections to issuance of a 

license to a Key Employee or Primary Management Official, the Gaming Commission 

shall reconsider the application, taking into account such objections. The Gaming 

Commission retains the right to make the final determination whether to issue the 

license to such applicant. 

P- License Suspension. 

(1) If, after issuance of a gaming license, the Tribe receives reliable 

information from the NlGC or other reliable source indicating that a Key Employee or 

a Primary Management Official is not eligible for employment under the eligibility 

criteria established in section 10. above, the Gaming Commission shall suspend the 

license and shall notify the licensee in writing of the license suspension and proposed 

revocation. 

(2) The Gaming Commission shall notify the licensee of a time and 

place for a hearing on the proposed revocation of a license. 

(3) After the revocation hearing, the Gaming Commission shall 

determine whether to revoke or to reinstate the gaming license. For actions taken in 

response to information provided by the NIGC, the Gaming Commission shall notify 

the NlGC of its decision. 

.. . 9. acrhesbiceoses. Before Gaming Activities can be conducted therein, 

the Gaming Commission shall inspect and license each such facility in accordance with 

this Act and any requirements under IGRA. 
. . Section 1 1. &&catlon. 

a. Each application form for a Key Employee or a Primary Management 

Official, as well as for all other Class A license applicants, unless otherwise 

specifically exempted by the Gaming Commission, shall contain the notices set forth 

in subsections (1) and (2) below: 

(1 cv Act Notic= 

In compliance with the Privacy Act of 7974, the following 

information is provided: Solicitation of the information on this form is authorized by 

25 U.S. C. 52 70 7 et w. 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 lndian 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 lndian 

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) ce Re-se Statements. 

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 78, 4 7 00 7) 

b. Any existing Key Employee or Primary Management Official or other Class 

A licensee unless otherwise specifically exempted by the Gaming Commission, that 

has not completed an application form containing the language set forth in Section 

I1 .a.(l) and (2) above, shall be notified that they must either: 

(1) Complete a new application form that contains the Privacy Act 

Notice and the Notice Regarding False Statements; or 

(2) Sign a statement that contains the Privacy Act Notice and consent 

to the routine uses described in that notice, and sign a statement that contains the 

Notice Regarding False Statements. 
Section 12. Class Ill Gamina: Tribal-State Compacts. 

Class Ill gaming on the Reservation shall be under the provisions of a tribal-state 

compact, or other alternative as provided under the IGRA and applicable regulations. 

All negotiations for such compacts shall be conducted through the Chairperson of the 

Tribe, with the advice and suggestion of the Gaming Commission, and shall be 

finalized only upon the majority vote of the General Community Council after 

consideration of the terms of such compact. In the event the Tribe approves a tribalstate compact, the provisions of such compact, once approved under IGRA, shall 

govern over the provisions herein, to the extent the compact is inconsistent herewith. 

Section 13. Interest in Manaaement Contracts by Tribal Officials. 

No elected official of the Tribe, including the Gaming Commission or any other 

committee or agency of the Tribe, shall have a financial interest in or management 

responsibility for, any management agreement entered into pursuant to IGRA, nor shall 

such elected official serve on the board of directors or hold (directly or indirectly) ten 

percent (1 0%) or more of the issued and outstanding stock of any corporation, or ten 

percent (10%) or more of the beneficial interest in any partnership, trust, or other 

entity, in any such corporation, partnership, trust or other entity, having a financial 

interest in, or management responsibility for, such contract. 

Section 14. Service of Process. 

The Tribe designates as its agent for the service of any official determination, 

order, or notice of violation in any gaming related matter, the Chairperson of the 

Gaming Commission. 

Section 15. Tribal Garnina Corporation. 

Nothing in this Act shall prevent the Tribe from delegating the authority to 

conduct gaming to one or more tribal corporations, so long as the tribal Gaming 

Enterprises to which such authority is delegated agree to meet all criteria and 

requirements established under this Act. 

Section 16. Entire C-ns: Prior Ordinances Renealed: Fffective Date. 

This Act and the regulations promulgated thereunder shall constitute the entire 

gaming regulations of the Tribe. All prior gaming ordinances of the Tribe are repealed, 
and this Act shall become effective upon its adoption by the General Community 

Council. 

Section 17. Amendments. 

All provisions of this Act are subject to revision, repeal, or amendment by the 

Tribe. Regulations promulgated by the Gaming Commission under this Act are subject 

to revision, repeal or amendment by the Gaming Commission. 

Section 18. Sovereian lmmu~~resed. 

Nothing in this Act is intended or shall be construed as a waiver of the 

sovereign immunity of the Tribe; and no manager, officer or employee of the Gaming 

Commission or the Tribe shall be authorized, nor shall they attempt, to waive the 

immunity of the Tribe.