SEP 5 1997 

Honorable Gregg Cordova 

Chairperson, Dry Creek Rancheria 

3250 Hwy. 128 East 

P.O. Box 607 

Geyserville, California 9544 1 

Dear Chairperson Cordova: 

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

on April 8, 1997, by the Dry Creek Band of Pomo Indians (Tribe). This letter constitutes 

approval of the ordinance 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 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. 556.5(a) and an investigative report on each 

background investigation before issuing a license to a key employee or primary ~nanagement 

ofticial pursuant to 25 C.F.R. 5 556.5(b). 

Thank you for submitting the ordinance of the Dry Creek Band 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. 

Tadd M. ~ohnso~)/ 

Chairman 

- 1441 L STREET, N.W. 9M ReOR WASHINGTON, D.C. 20005 TEL.: 202-632-7003 FAX: 202-632-7066 
AN ORDINANCE OF THE DRY CREEK BAND OF POMO 

INDIANS AUTHORIZING ZWXl REGULATING GAMING ON 

THE DRY CREEK INDIAN RANCHERIA 

The Dry Creek Band of Pomo Indians, a federally recognized 

Indian Tribe ("Tribe"), as the beneficial owner of the Dry Creek 

Indian Rarxheria, and acting through its Tribal Council in the 

exercise of its inherent sovereign power to enact ordinances and 

otherwise safeguard and provide for the health, safety and welfare 

of the Dry Creek Indian Rancheria ("Reservation") and the members 

of the Tribe, hereby enacts this ordinance which shall hereinafter 

be cited as the Dry Creek Gaming Ordinance of 1996 ("Ordinance"). 

This Ordinance and any regulations promulgated thereunder shall 

constitute the entire gaming regulations for the Tribe. 

section 1. Findinqs and Policy. 

This Ordinance is adopted by the Tribal Council, pursuant to 

its authority granted under 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, 

operate, and regulate such gaming consistent with the findings 

herein and in conformity with the federal Indian Gaming Regulatory 

Act 25 U.S.C. 5 2701 et seq. (MIGRiln) and the regulations prcmulgated ?.hereunder. 

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, employmzni:, 

job training, and a strong tribal government, and to fund and 

ensure essential social programs and services; 

b. The Tribe desires to conduct ccrtain forms of gzs~ing t.o 

proviae needed revenues to the Tribe, and to regulate and control 

such gaming in a manner that will protect the environmen'c, 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 tribal lands, and 

to manage and regulate such gaming in a manner that will adequately 

address such special interests and needs of the Tribe. 

Section 2. Ownership of Gaminq 

The Tribe shall have the sole proprietary interest in and 

responsibility for the conduct of any gaming operation facilities 

and/or enterprise (s) authorized by this Ordinance, except to the 

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March 21. 199'7 
extent the Tribe may contract with and license a person or entity 

to, operate or manage the enterprise pursuant to the provisions of 

IGRA and the regulations promulgated thereunder, or as otherwise 

permitted by law. 

Section 3. Definitions. 

Unless specified otherwise, the 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 111" 

gaming, and except for references to "Commissioners", "Commission", 

or "Gaming Commission" which shall mean the Dry Creek Gaming 

Commission or its Commissioners, established and describ2d herein. 

a. "Closely Associated Independent Contractor" shall mean 

any contractor that shares common ownership, officers or directors 

with any management principal or person related thereto. 

b. "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 transact ions. 

c. "Gaming Activities" shall mean any Class I, Class 11, or 

Class I11 gaming activity conducted by or under the jurisdiction 

of the Tribe. 

d. "Gaming Commission" shall mean the Dry Creek 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. 

e. "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. 

f. "Gaming Enterprise" shall mean any gaming business, 

event, enterprise or activity conducted by or under the jurisdiction of the Tribe. 

g. "Key Employee" shall mean a person who performs one or 

more of the following functions: bingo caller, counting room 

supervisol-, 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 

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March 21, 1997 
otherwise included, any other person whose total cash compensation 

is in excess of $50,000 per year, and the four (4) 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. 

h. "National Indian Gaming Commission" ("NIGC") shall mean 

the commission established under IGRA. 

i. "Net Revenues" shall mean gross gaming revenues from all 

Gaming Activities of a Gaming Enterprise, less amounts paid out as, 

or paid for, prizes and less total gaming-related operating 

expenses, excluding management fees. 

1- "Person" shall mean any natural person or entity, including but not limited to corporations, partnerships and trusts. 

k. "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. 

1. "Related to" shall refer to persons who are related as a 

father, mother, sister or brother. 

m. "Reservationu shall mean all lands under the jurisdiction 

and control of the Tribe. 

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

0. "Tribal Councilu shall mean the governing body of the 

Tribe, as set forth in the Tribe's Constitution. 

P • "Tribal Court" shall mean any court established by the 

Tribe to hear disputes or, if there is none that can exercise 

jurisdiction, then the Tribal Council. 

9 - "Tribal Member" shall mean any duly enrolled member of 

the Tribe. 

Section 4. Gamins Commission. 

a. Establishment of Gamins Commission. There is established 

by the Tribe a Commission, acting under the authority of the Tribe, 

to be known as the Dry Creek Gaming Commission. The Gaming Commis 

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March 21. 1997 
sion shall be composed of three (3) persons who would themsel-les 

qualify for licensing under this Ordinance, and shall be appointed 

by the Dry Creek Tribal Council. 

b. Disaualifications for Office. 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 Constitution; and 

(4) Members of the Tribal Council. 

c. Terms of Off ice. The Tribal Council shall appoint three 

members of the Tribal Gaming Commission for an initial term of 

three (3) years. The remaining members of the Commission shall be 

appointed by the Tribal Council for an initial term of four (4) 

years. Thereafter all terms of the Commissioners shall be four (4) 

years. 

d. Removal from Office. Commissioners may only be removed 

from office before the expiration of their terms by the Tribal 

Council for neglect of duty, misconduct, malfeasance, or other 

acts that would render such persons unqualified for such duties or 

for licensure hereunder. Commissioners may not be removed for 

exercising their discretion or judgment or for how they voted on a 

particular issue. A Commissioner can only be removed from office 

by the Tribal Council in accordance with the procedures established 

in the Tribe's Constitution for removing Tribal Council members 

from office. At the request of the member whose removal is at 

issue, the hearing may be held in executive session. The Tribal 

Council also may be elect to receive in executive session any 

evidence public disclosure of which might compromise any on-going 

law enforcement investigation, land acquisition for the Tribe or 

negotiations by the Tribe with a third party. 

e. Quorum. 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 s.nd 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. 

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March 21, 1997 
g. Votinq. All actions of the Gaming Commission shall be 

taken by majority vote. The Commission Chairman may vote on any 

issue. 

h. Meetinss. Meetings shall be held at least once per 

month, on the first Saturday of the month at the Tribe's primary 

meeting facility. Additional meetings shall be held as called by 

the Chairman or by at least two (2) 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. Meetings may be called at any time, by 

any means, with unanimous consent of the Commissioners. 

i. Compensation for Servinq. The Tribal Council shall 

determine and authorize the compensation to be paid to Commissioners by adoption from time to time of a resolution based on a 

determination of time required to be expended upon Commission 

duties and the qualifications of the appointed Commissioners. 

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 Ordinance 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 

any 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; 

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March 21. 1997 
(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 Ordinance and IGRA; 

(8) Hear patron complaints against the gaming establishment, in accordance with the procedures established in this 

Ordinance; 

(9) Subject to the appropriation of funds by the Tribal 

Council, adopt a budget to finance the operations of the 

Gaming Commission including but not limited to the employment 

of such staff and support services as reasonably required to 

fulfill its responsibilities under this Ordinance; compensation of such employees shall be limited to that which is 

comparable to compensation paid to persons performing similar 

duties in other governmental gaming regulatory agencies; 

(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; 

(11) Promulgate and issue such regulations as it deems 

appropriate, in order to implement and enforce the provisions 

of this Ordinance including, but not limited to, adopting 

rules of procedure governing how its meetings will be conducted; 

(12) Promulgate regulations establishing minimum standards for the operation of any Gaming Activities conducted on 

the Reservation including but not limited to auditing, 

internal fiscal controls, technical standards for electronic 

gaming and describing and establishing rules for each Class I1 

or Class I11 game authorized to be conducted on the Reservation, and no form of such gaming may be conducted on the 

Reservation without the prior approval of the Gaming Commission; 

(13) Carry out such other duties with respect to Gaming 

Activities on the Reservation as the Tribal Council shall 

direct from time to time by amendment to this Ordinance or 

adoption of a written policy resolution; 

(14) Levy a tax or fee on Gaming Activities and applicants for gaming licenses to cover the cost of conducting ' 

background investigations, issuing gaming licenses to persons 

engaged or wishing to engage in Gaming Activities on the 

Reservation, and funding the operation of the Commission; and 

(15) Levy fines for violations of this Ordinance or the 

Gaming Commissions regulations. 
k. Annual Re~orts. On or before April 30th of each year, 

the Gaming Commission shall provide to the Tribal Council an Annual 

Report summarizing its activities during the prior twelve (12) 

month period ending on December 31st, and accounting for all 

receipts and disbursements. The Tribal Council shall cause copies 

of the Annual Report to be made available to Tribal Members within 

thirty (30) days after receipt. 

1. Other Re~ortins Reauirements. 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 Gamins Activities. 

a. Unauthorized Gamins Prohibited. All Gaming Activities on 

the Reservation (whether Class I, I1 or 111) are prohibited except 

as expressly authorized under this Ordinance. 

(1) Class I Gaininq. 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 if the 

Tribal Council finds that such conduct is not in accordance 

with tribal customs or practices or violates IGRA or any other 

law. 

(2) Class I1 and Class I11 Gaming. Class I1 and Class 

I11 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 I11 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 6. Gamins Revenues. 

a. Tribal Pro~ertv. 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 I1 or Class 

I11 Gaming Activities are the property of the Tribe. Any profits or 

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March 21, 1997 
net revences 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 Tribal 

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. § 2710 (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; 

(5) To help fund operations of local government agencies; or 

(6) To make per capita distributions to Tribal Members 

in accordance with Section 6(a) above. 

Section 7. Operation of Gamins Establishments. 

a. Gamins Permitted as Licensed. 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 Ordinance. Such activities 

shall be conducted in accordance with the terms and conditions of 

any license issued by the Tribe or Gaming Commission 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 Tribal Council may deem necessary to the conduct of Gaming 

Activities therein. 

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March 21, 1997 
b. Protection of Environment and Public. ?my construction 

or maintenance of any gaming facility, and the ope.cation of gaming 

therein, shall be in accordance with the Uniform Building Codes and 

conducted in a manner which adequately protects the environment and 

the public health and safety. 

c. Dispute 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 Con~mission 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 establishment or a management contractor 

or its employees must submit such claim to the Gaming Commission 

within thirty (30) days of its occurrence or within such time 

periods as the Commission shall establish by regulation. 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 Audits. 

Annual Audits. Annual outside auditing by a recognized 

independent accounting firm shall. be conducted of each gaming 

activity and the results thereof reported Lo the Tribal Council, 

and, to the extent required by law, the Eureau of Indian Affairs 

and the NIGC. 

Section 9. Contracts. 

a. Biddinq. Contracts relating to Gaming Activities over 

$25,000 or for more than five (5) years (except contracts for 

professional legal or accounting services) shall be subject to a 

formal, sealed bidding process prior to submission to the Tribal 

Council for approval. All reasonable attempts shall be made to 

obtain and consider at least three (3) responsible bids; provided, 

the Gaming Commission may waive the requirement for three 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 I1 or Class I11 gaming on the Reservation shall 

be subject to independent audits, and such contracts shall so 

specify. 

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March 21. 1997 
Section 10. Licenses. 

a. Licensinq Requirements. 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 I1 or Class I11 Gaming Activities 

on the Reservation without an appropriate and valid independent 

Class I1 or Class I11 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 the IGRA and regulations 

promulgated thereunder and, as applicable, provisions of a tribalstate compact, or of any applicable law. The Gaming Commission 

shall promulgate regulations establishing minimum standards for the 

issuance of all gaming licenses required under this Ordinance. 

b. Awwlicant Claim of Privileqe. 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. 

c. Release of Information. All persons applying for a 

license shall agree to release the information necessary in order 

for the Gaming Commission to achieve its goals under this Crdinance, and to furnish such information to the Bureau of Indian 

Affairs, the NIGC, or su,h other governmental agency as may be 

required by law. 

d. Tmes of Licenses. Three classes of licenses (Class A, 

Class B, and Class C) shall be issued to persons and entities 

associated with Gaming Activities. 

(1) Class A Licenses. 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 (10%) 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 I1 or 111 gaming employee, 

supplier, manufacturer or distributor, such person shall 

obtain a Class A license. The Gaming Commission shall conduct 

or cause to be conducted a background investigation to 

determine if such person has: 

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March 21. 1997 
(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) Class B Licenses. 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) Class 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. The Class C license 

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, or 

to serve liquor. 

e. License Renewal. 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. 

f. Temrsorarv 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 

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March 21. 1997 
Commission. Such temporary licenses, unless they are renewed or 

extended by the Commission, 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. 

g. License Investisations. 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 the 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. 

h. License Fees. Unless specifically waived by the Gaming 

Commission, all license applicants shall be required to pay all 

applicable license fees and costs when due, 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 

reasonable fees and costs must be received by the Gaming Commission 

prior to issuance of the license. 

i. A~weals. All decisions of the Gaming Commission 

regarding the issuance or revocation of licenses shall be effective 

when issued. An applicant or licensee whose license is denied, 

revoked or suspended may, within thirty (30) days after the date of 

receipt of a written decision of the Gaming Commission, file a 

petition with the Gaming Commission requesting a hearing to 

reconsider the decision, and shall have the right to appeal such 

decision to the Tribal Court in accordance with such rules and 

regulations as may be promulgated by the Tribal Court for that 

purpose . Any Tribal Member who is denied a license by the Gaining 

Co~nmission may, within sixty (60) 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, and shall have the right to appeal such decision 

to the Tribal Court, provided that no such license shall be issued 

for more than one (1) year, subject to the renewal procedures set 

forth herein, and ~rovided further that no order of the Gaming 

Commission or Tribal Court that a license be issued shall be valid 

if such issuance would place the Tribe in violation of any tribalstate compact to which the Tribe is a party, or of any applicable 

law. The standard of review by the Tribal Court of all Gaming 

Commission decisions shall be "clearly contrary to the law" or 

"abuse of discretion." 

j. Backsround Investisations. 

(1) The Gaming Commission shall request from each 

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March 21. 1997 
Primary Management Official and each Key Employee all of the 

in£ ormat ion 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 inforination 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 ten 

(10) 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 ; 

(el 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 (10) 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; 

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March 21. 1997 
(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 (10) 

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; 

(1) Current photographs; 

(m) Any other information the Tribe or Gaming 

Commission deems relevant; and 

(n) Fingerprints consistent withprocedures adopted 

by the Gaming Commission according to 25 C.F.R. § 

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 

Ordinance. 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. 

(3) The Gaming Commission sW-e for a city o 

county law enforcement aqency, located in Sonoma ~oun-or 

the' state of Calltornia, to take the applicant's fingerprints, 

and forward those fingerprints directly to the NIGC, to be 

forwarded to the Federal Bureau of Investigation, National 

Criminal Information Center, for review of the applicant's 

criminal history, and perform or arrange to have performed the 

necessary background investigation of the applicant required I .4 

by this Ordinance. Such investigation shall include contacting each reference provided in the application and taking all 

appropriate steps necessary to verify the accuracy of the 

information contained in the application. There shall be a 

written investigation report of the findings and conclusions 

of each investigation. The investigative report shall include 

(1) the steps taken in conducting a background investigation; 

(2) the results obtained; (3) the conclusions reached; and (4) 

the basis for the conclusions. The Gaming Commission shall 

review the findings and conclusions of the report for the 

purpose of determining whether to grant or deny the license 

applied for. 

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March 21, 1997 
k. Elisibilitv Determination. 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. Forwardins Licensins A~~lications and Re~orts to NIGC. 

(1) On or before the date a Key Employee or Primary 

Management Official is employed by a Gaming Enterprise 

authorized under this Ordinance, the Gaming Commission, acting 

on behalf of the Tribe, shall forward to the NIGC the person's 

completed application for employment containing the information required above under Section 10. of this Ordinance. 

(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 

10.1. above, an investigative report on each background 

.investigation. The investigative report on each background 

investigation shall be forwarded to the NIGC within sixty (60) 

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

of the approval of this Ordinance 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 informat ion : 

(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 NIGC or other agency, any other 

reports and information required by IGRA and regulations 

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promulgated thereunder. Further, with respect to Key ~m~lb~- 

ees and Primary Management Officials, the Gaming Commission 

shall retain applications for employment and reports (if any) 

of background investigations for inspection by the NIGC 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 NIGC and may forward copies 

of its eligibility determination and investigative report (if 

any) to the NIGC for inclusion in the Indian Gaming Individuals Records System. 

m. Grantinq a Gamins License. 

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

receives a report as required under subsection 10.1. above, 

the NIGC 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 NIGC request for additional information shall suspend the thirty (30) day period 

established under this subsection until the NIGC receives the 

additional information. 

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

under this subsection, the NIGC 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. 

n. License Suswension. 

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

receives reliable information from the NIGC 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. 

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March 21. 1997 
(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 

NIGC of its decision. 

o. Facilities Licenses. A separate license shall be 

required for each place, facility, or location on any land where 

Class I1 and/or Class I11 gaming is to be conducted on the 

Reservation. Before Class I1 or Class I11 Gaming Activities can be 

conducted therein, the Gaming Commission shall inspect and license 

each such facility in accordance with this Ordinance and any 

requirements of IGRA. 

Section 11. A~~lication Forms. 

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: 

Privacy Ordinance Notice: 

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. 52701 g& sea. 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. 

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March 21, 1997 
(2) Notice Reqardinq False 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 18, 5 1001) 

b. Any existing Key Employee or Primary Management Official, 

or any 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 

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

(1) Complete a new application form that contains the 

Privacy Ordinance Notice and the Notice Regarding False 

Statements; or 

(2) Sign a statement that contains the Privacy Ordinance 

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 I11 Gaminq; Tribal-State Com~acts. 

In addition to the provisions set forth above, no Class I11 

gaming shall be engaged in on the Reservation unless a tribal-state 

compact has first been obtained in accordance with the IGRA. All 

negotiations for such compacts shall be conducted through the 

Tribal Council, with the advice and suggestion of the Gaming 

Commission, and shall be finalized i.n accordance with tribal law. 

To the extent any provision of a tribal-state compact is inconsistent with the provisions of this Ordinance, such compact shall 

prevail and shall be deemed incorporated by reference herein. 

Section 13. Interest in Manaqement 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 (10%) 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. 

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March 21. 1997 
Section 14. Service of Process. 

The Tribe designates as its agent for the service of any 

official determination, order, or notice of violation, the 

Chairperson of the Tribe. 

Section 15. Tribal Gamins Cor~oration. 

Nothing in this Ordinance shall prevent the Tribe, through its 

Tribal Council, 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 Ordinance. 

Section 16. Repeal of Prior Gamins Ordinance; Effective Date. 

This Ordinance, and the regulations promulgated thereunder 

shall constitute the entire gaming regulations of the Tribe. All 

prior gaming acts and ordinances of the Tribe are repealed, and 

this Ordinance shall become effective upon its approval by the 

NIGC. 

Section 17. Severability. 

If any provision or application of this Ordinance is determined by review to be invalid, such determination shall not be held 

to render such provision inapplicable to other persons or circumstances, nor shall such determination render invalid any other 

provision of this Ordinance. 

Section 18. Amendments. 

All provisions of this Ordinance are subject to revision, 

repeal, or amendment by the Tribal Council at any time. Regulations promulgated by the Gaming Commission under this Ordinance are 

subject to revision, repeal or amendment by the Gaming Commission 

at any time. 

CERTIFICATION 

The foregoing Ordinance was adopted at a regular meeting of 

the Tribal Council held on the 8 day of April , 1997, by 

the following vote: 

AYES: 3 

NOES : 1 

ABSTAIN : 0 

ABSENT: 0 

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ATTESTED : 

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March 21, 1997