AUG 2 5 2008 

Mr. John A. Maim 

Maier Pfcffer & Kim, LLP 

510 16'~ Street, Suite 302 

Oakland, CA 94612 

Re: Request for Approval of Graten Rancheria Gaming Ordinance 

Dear Mr. Maier: 

This letter responds to your request to the NationaI Indian Gaming Commission 

('WIGC'") to review and approve the Graton Rancheria Gaming Ordinance, enacted by 

the Graton Rancheria Tribal Council by Resolution 08-13 on June 13,2008, and received 

by the NlGC on June 19,2008. 

This Ictter constitutes approvaI of the Gaming Ordinance under the Indian Gaming 

Regtllatory Act ("IGRA"). It is important to note, however, that approval is granted for 

gaming only on Indian lands, as defined in IGRA, over which the Graton Rancheria 

exercises j 

e Gaming Ordinance for our review and approval. The 

to working with you and thc Ranchcia on future gaming 

ns or require assistance, please contact Denise Desiderio 

f General Counsel, at 202-632-7003. 

Chairman 

cc: Greg Sarris, TribaI Chairman 

Graton Ranchcria 

NATIOML HEAMTUARTERS 1441 L St. NW, Suite 91W. Washinflon. DC 20005 Tel. 202 632.7003 F& 202.632 7Mtj .www.~tcc-cov 

REGIONAL OFFKES Portland. OR; Sacramento, CA: Phoenix. AZ: St. Paul, MN; Tulsa. OK 
GAMING ORDJNANCE 

OF Trn 

FEDERATED INDTANS OF GRATON IEANCmRlh 

Approved 40 79 

'@!8 

ARTICLE I: PURPOSE 

The Ecdcratcd Indians of Graton Rancheria rTribe"), acting though its Tribal Council, 

pursuant to the Tribe's inherent authority and the Constitution of the Federated Indians of Graton 

Rancheria, adopted December 23,2002, as mended, hereby enacts this Ordinance in order to set 

the terms for dass I1 and class I11 gaming operations on the Tribe's Indian lands. 

ARTICLE II: DEFINITIONS 

Section I. General 

Unless a different meaning is clearly indicated in this Ordinance, the terms used herein 

shaIl have the same meaning as defined in the Indian Gaming Regulatory Act (25 U.S.C. 5 2701 

et seq. $ and its regulations (25 C,F.R 8 500 el seq.). 

Section 2. Special Terns 

Ln this Ordinance: 

$- 

GAMING: "class I gaming" means social games solely for prizes of minimal J forms of Indian gaming engaged in by individuals as a part of, or in 

connection with, tribaI ceremonies or celebrations. 

(b) CLASS I1 GAMING: "class Jl gaming" means: 

(i) the game of chance commonIy known as bingo (whether or not electronic, 

computer. or other technologic aids are used in connection tl~erewith); 

(I) which is played for prizes, including monetary prizcs, with cards bearing 

numbers or othcr designations, 

(11) in which the holder of the card covers such numbers or designations when 

objects, similarly numbered or designated, are dmwn or electronically 

determined, and 

(111) in which the game is won by the first person covering a previously 

designated amngcment of numbers or designations on such cards, 

Gaming Ordinance of thc Fed~mted Indians of Graton Rmcheria 
including (if played in the same location) pull-tabs, lotto. punch boards, tip 

jars, instan1 bingo, and other games similar to bingo, and 

(ii) card games that- 

(1) are expIicitly authorized by the laws of California or 

(11) are not explicitly prohibited by the laws of California and are pIayed at 

any location in California, but only if such card games are pIayed in 

conformity with those laws and regulations (if any) of California regarding 

hours or periods of operation of such card games or limitations on wagers 

or pot sizes in such card games. 

The term "cIass 11 gaming" does not include any banking card games. including baccarat. 

chernin de fer. or blackjack (21)- or electronic or electromechanical facsimiles of any game of 

chancc or slot machines of any kind. 

(c) CLASS 111 GAMING: "class I I1 gaming" means all forms of gaming that are not class I 

gaming (as defined in IGRA) or class TI gaming. 

(dl COMMlSSEON: ''Commission" means the Federated Indians of Graton Rancheria 

Gaming Commission to be established pu~suant to an ordinance d~rly adopted by the 

Tribal CounciI. 

(el COMPACT: "Compact" means a TribaI-State Compact concerning cIass III gaming 

approvcd by the Secretary of the Interior and published in the Federal Register pursuant 

to 35 1J.S.C. 1$ 2710(d). 

If) 1C;RR: "IGRA" means the Indian Gaming Regulatory Act, 25 U.S.C. $270 1 er seq. and 

its regulations. 25 C.F.R. 5 500 ei seqIS) INDIAN LANDS: "Indian Iands" means all lands within the limits of any lndian 

reservation and any lands title to which is either held in trust by the United States for the 

benefit of any Indian tribe or individual or held by any Indian tribe or individual subject 

to restriction by the Wnitcd States against alienation and over which an Indizm tribe 

exercises governmental power. 

(h) KEYEMPLOYEE: "keyemp1oyee"means 

(1) A person w210 perfoms one or more of the following functions: bingo caller: 

counting room supemisor; chief of security: custodian of gaming supplies or cash: 

floor manages: pit boss: dealer: croupier; approver of credit: or custodian of 

gambling devices including persons with access to cash and accounting records 

within such devices: 

(2) If not otl~crwise included, any other person whose total cash compensation is in 

excess of fifty-thousand dollars ($50,000.00) per year; or 

(iaming Ordinance of the Fedcmted Indians oTGrnron Kanchtrin 
(3) If not otherwise included, the four (4) most highly compensated persons in the 

gaming operation. 

(i) NET REVENUES: Wet revenues" means gross revenues of gaming activity less 

amounts paid out as, or paid for, prizes and total operating expenses, excluding 

management fees. 

Cj) MGC: 'WIGC" means the National Indian Gaming Commission established pursuant to 

25 U.S.C. 4 2704. 

(k) PRIMARY MANAGEMENT OFFICIAZ: "Primary Management Official" means 

(1) The person having management responsibility for a management rantract; 

(2) Any person who has authority to: hire and fire employees; or to set up working 

policy for the gaming operation; or 

(3) The chief financial officer or other person who has financial management 

responsibility. 

(I) STATE GMG AGENCY: "'State Gaming Agency" means the entity or entities 

defined in a Compact, if any. 

(m) TRIBAL COUNCIL: "Tribal Comcil'hmeans the Tribal Council of the Federated 

Indians of Graton Ranchm-ia, as defined in the Constitution of the Federated Indians of 

Graton Rancheria. 

(n) TRIBAL MEMBER: "Tribal membef' means any individual who is duly enroIled in the 

Tribe in accordance with the Tribe's Constitution and any enrollment ordinance that may 

be enacted by the %be, as amended fim time to time. 

(o) TRIBE: 'Tribe" means the Federated Indians of Graton Rmcheria, 

Class I1 and class gaming, as defined in 25 U.S.C. (i 2703(7)(A) and 2703(8) and by 

the reguIations promulgated by the NIGC at 25 C.F.R. 502.3 and 502.4, is hereby authorized. 

Any class I11 gaming activities conducted under this Ordinance are Iimited to those gaming 

activities authorizd under a Compact, if any. 

ARTICLE PJ: OWNERSHTP OF GAMING 

The Tribe, acting through the Tribal Council, shdl have the sole proplt-iety interest in and 

responsibility for the conduct of any gaming operation authorized by this Ordinance. 

Gaming Ordinance of the Fedcrated hdim of Gmon Rancheria 
ARTICLE V: USE OF GAMING REVENUES 

Section 1. Use of Net Revenues 

Net revenues ftom class TI and class I11 gaming shall be used only for the following 

purposes: 

(a) to fund ~bal government operations and programs; 

(b) to provide for the general wdfare of the Tribe and its members; 

(c) to promote tribal economic development; 

(d) to donate to charitable organizations; or 

(e) to help Fund operations of local government agencies. 

Section 2. Per Canita Pavments 

If the Tribe elects to make per capita payments to tribal members, it shall authorize such 

payments only upon approval of a plan submitted to the Secretary of the Interior under 25 U.S.C. 

8 271 0@)(3$. 

ARTICLE VE: AUDJT 

Section 1. Annual Audit 

The Commission slrdl cause to be conducted annuaII y an independent audit of gaming 

operations and shall submit the resulting audit reports to the NTGC. The mual audit shall he 

conducted by an independent certified public accountant, in accordance with the auditing and 

accounting standards for audits of casinos of the American Institute of Certified Public 

Accountants, Audits of a gaming operation required under this ARTICLE may be conducted in 

conjunction with any other independent audit of the tribe, provided that the requisments of 25 

C.F.R. $500 et seq. are met. 

Section 2. Gaming Contracts 

All gaming related contracts that result in the purchase of supplies, senjces, or 

concessions in excess of twenty-five thousand dolIars ($25,000,00} annually, excmt contmcts for 

professional legal and accounting services, shall be specifically included within the scope of the 

audit that is described in Section 1 of this Article. 

4 

Garninp 0rdin:incc crf tlic Fcdrwlal Indians of Gram Ranch~ria 
ARTICLE VII: PROTECTION OF THE ENVIRONMEWT, 

PUBLIC HEALTH AND SAFETY 

Class IJ and class lII gaming facilities shall be constructed, maintained and operated in a 

manner that adequately protects the environment and the public health and safety. The Tribal 

CounciI s11aJ.l adapt standards for protecting the environment and the public health and safety that 

assure adequate protection of the environment and the public health and safety. 

ARTICLE KIT: LICENSES 

Section 1. License Requirements 

The following persons and entities are required to be licensed by the Commission: 

(a) All employees, including key employees and primary management officials, empIoyed at 

any class I1 andlor class 111 gaming enterprise operated under this Ordinance; 

(b) Gaming resource suppliers required to be licensed under a Compact, if any; 

(c) Financial sources required to be licensed under a Compact, if any; 

(d) Each place, faciIity, or location where class LI or class ZIl gaming is conducted under this 

Ordinance. 

Section 2. Backmomd Investigations 

The Commission or its agents shall conduct an investigation of license applicants 

sufficient to make a determination under Section 3 of this Article. The Commission and its 

agents may be authorizd to receive state summary criminal history infomation within the 

meaning of subdivision @)(I 2) of section 11 105 of the California Penal Code, or a copy thereof, 

maintained under a person's name by the California Department of Justice and shall not 

knowingly furnish such records or information to a person who is not authorized to receive the 

record or information. In conducting a background investigation, the Commission or its agent 

shall keep confidential the identity of each person inteniewed in the course of the investigation. 

Section 3. Eli~bilitv Determination 

The Commission shall review an applicant" prior activities, miminal record, if any, and 

reputation, habits and associations and shall conduct interviews with former employers, 

associates and/or ofher persons familiar with the appIicant sufficient to permit it to make a 

finding concerning an applicant's eligibility for a license. A license may not be issued unless the 

Commission is satisfied the applicant is a person of good character, honesty and integrity. The 

Commission shall not license a person if the Commission determines that the licensing of the 

Gaming Ordinance af the Fedmted Indians oiGmtun Ramheria 
person: poses a threat to the public interest or to the effective remlation of gaming; creates or 

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

conduct of gaming or the canying on of business and financial amgements incidental thereto; 

or wilI undamine public trust that tribal gaming is free from criminal and dishonest elements 

and would he conducted honestly. 

Section 4. Peridic Review 

The Commission shaII review and, if appropriate, renew each license it issues at least 

every two (2) years after issuance. 

Section 5. Reportinq 

To the extent required by IGRA and a Compact, if any, the Commission shaII promptly 

forward applications. background investigation reports and related information to the NIGC and 

the State Gaming Agency and notify the NIGC and the State Gaming Agency of its decisions to 

deny, issue, suspend or revoke licenses. 

Section 6. Additional Requirements 

The Tribal Council shall adopt, and the Commission shall implement, regulations 

providing for such additional licensing and background investigation requirements and 

procedures as it deems appropriate, provided that such additional requirements arc at least as 

stringent as those contained in IGRA (i.e., 25 U.S.C. $271 O(h)(2)(F) and 25 C.F.R. Parts 556 

ad 558) and a Compact, if any. 

ARTICLE IX: LICENSING AM3 

BACKGROUND INVESTIGATION PROCEDURES 

Section 1. Powers and Responsibilities 

The Commission has the following powers and responsibilities: 

(a) To conduct or cause to be conducted background investigations on, at a minimum. 

primary rnanapnerrt officials and key employees; 

(b) To receive, directly or through its agents, state summary criminal history information, as 

defined in Subsection 1 1 E 05(a) of the California Penal Code, as maintained under a 

license applicant's name by the California Department of Justice, and to take such 

measures as are reasonably necessary to prevent the release of such records or 

Gamrnp Ordinnncc oFhc Fcdcmtd Indians of Gntnn Ronchcria 
infomation to persons who are not authorized by Iaw to receive the record or 

information; 

(c} To prepare or cause to be prepared an investigative report in compliance with this 

Ordinance; 

(d) To review and approve the investigative work done; 

[el To obtain and process hgerprints, directly or through its agents; 

(fi To forward license applications and the results of tlae background investigations to the 

National Indian Gaming Commission ('WIGC") and the State Gaming Agency, to the 

extent required by IGRA and a Compact, if any; 

(g} To make eligibility determinations in accordance with Article IX of this Ordinance; 

(h) To issue, deny, suspend, revoke and renew licenses in accordance with the provisions of 

this Ordinance; and 

(i) To maintain records on persons who have been issued or denied a license, as well as 

persons otherwise prohibited from engaging in gaming activities within the Tribe's 

jurisdiction, for a period of three (3) years from the date on which the license expired or 

was revoked or denied. 

Section 2. Ssoae of Background Investimtions 

The Commission shall wnduct or cause to be conducted dl necessv background 

investigations reasonably required to determine that an applicant is eligible for a license in 

accordance with the standard set forth in Article IX of this Ordinance. The minimum procedures 

for conducting background investigations on applicants for licenses are as follows: 

Criminal history check, including a check of records maintained by the Fderal Bureau of 

Investigations and the California Department of Justice; 

Civil history check; 

Financial and credit check; 

Reference check; 

Previous business and empIoyment check; 

ReIative check; 

Business and personal associates check; 

Fingerprint check; and 

Educational verification. 

The above information submitted by the appIicant may be verified by written or otal 

communication. The disposition of all potential problem areas noted and disqudifylng 

information obtained shall be documented by the Commission. 

Gaming Ordimnce nf the Fcdmtwl Indians oiChton Rancheria 
Section 3. Coosseration 

The Commission shall cooperate with the State Gaming Agency in sharing as much 

background information as possible under a Compact, if any, in order to maximize investigative 

efficiency and thoroughness and to minimize investigative costs. 

Section 4. Fingerprinting 

The Commission shaIl be deemed to be the Tribe3 law enforcement agency for the 

purpose of taking fingerprints and conducting criminal history checks under this Ordinance. The 

Commission may elect to process fingerprint cards directly on behalf of the Tribe or to process 

fingerprint cards through the State Gaming Agency or the NIGC and may execute such 

documents as may be necessary to enter into such an arrangement. Fingerpint cards shall be 

submitted to the Federal Bureau of Investigations and the California Department of Justice in 

order to obtain criminal history record information. 

Section 5. Confidentialitv 

The identity of third parties interviewed during the course of background investigations 

shall be kept confidential. 

Section 6. Eligibility Determinations 

In making findings concerning the eligibility of license appIicants, the Commission shall 

take into consideration any of the foIlowing ciscumstances: 

(a) If the appIicant knowing1y and intentionally provided false statements or information or 

omitted relevant information on the application, or otherwise misrepresented or failed to 

disclose a material fact to the Commission; 

fi) If the prior activities, miminal record, reputation, habits and associations of the paon 

indicate that the person may be a threat to the public interest or to the effective regulation 

and control of gaming; 

(c) If association with or empIoyent of this applicant creates or enhances the dangers of 

unsuitable, unfair, w illegal practices, rnetlzods, and activities in the conduct of gaming or 

the cmng on of the business and financial arrangements incidental thereto; 

(d) If the applicant has violated, failed, or refused to comply with the provisions, 

~quirements, conditions. Iirni tations, or duties imposed by any provision of a Compact, if 

any. or the Gaming Ordinance, or possesses knowledge that such violation has occurred 

upon any premises occupied or operated by any such person or over which he or she 

hashad substantial control; 

Gaming Qrdinancc of the Fnlm~d Indian?; of Gnton Ranclieria 
(e) If the applicant knowingly caused, aided, abetted, or conspired with another to cause any 

person or entity to violate any of the Iaws of my jurisdiction, the provisions of a 

Compact, if any, or the Gaming Ordinance; 

(f) If the applicant has ever obtained a license by fiaud, misrepresentation, concealment, or 

through inadvertence or mistake; 

(g) g If the applicant has eva been convicted of, or forfeited bond upon a charge of, or 

plead guilty to forgery, larceny, extortion, conspiracy to defraud, willful failure to make 

required payanent or reports to any Tribal, State, or U. S. Government agency at any level, 

or filed false reports therewith, or of any similar offense(s), or of bribing or otherwise 

unlawfully influencing a public official or employee of a Tribe, a State, or the U.S. 

Government, or of any felony or misdemeanor involving any gaming activity, physicaI 

ham to individuals or moral turpitude; 

(3) If the applicant is subject to ment prosecution or pending charges, or a conviction under 

appeal for my of the offeases listed above. Upon request of the applicant, the 

Commission may defer decision on the application pending the results of such 

prosecution or appeal; 

(i) If the applicant has demonstrated a willful disregard for compliance with a gaming 

regulatory authority in any jurisdiction or has ever had a gaming license issued by any 

State, Tribe or foreign gaming regulatory agency suspended, revoked or denied; or 

Cj) If the appEicant has faded to provide any information requested by the CommEssinn 

within fourteen (1 4) days of the request for the information. 

(a) The following notice, or substantiaIly similar wording contained in such standardized 

application foms as may be adopted by Cali'fornia tribes and the State of California 

pursuant to a Compact, if my, shall be placed on the license application form before that 

form is filled out by an applicant: 

In compliance with the Privaq Act of 1974, the following infomation is 

provided: Solicitation qf the infomation on this fom is authorized by 25 

U. S. C. ,f 2 701 et seq. The pu7pose of tlze requested information is to 

determine the eligibility qf individuals to be employed in or do business 

with a gaming operation. TIte irfiormafion will be used fy the Gaming 

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

Commission members and staff who have need for the iqrfomtiorl in the 

perfomance of their oficial duties. The infopmation may be disclosed to 

appropriare Federal, Tribal, State, local, or foreign law eqaforcement and 

regulatory agencies when re Emant to civil, criminal OF- regtlutovy 

invesfigcatiom or prosecutions or when pursuant to a requirement by a 

tribe, the State Gaming Agency, or the National Indian Gaming 

Gaming Ordinance of the Fedcrated Indians af Graton Rancheria 
Commission in connection with the hiring or-fjri~bg of an emplo-vee, tlt e 

issr~ance or rcvocafion q f a gaming Iicense, or investigations qfacri~iti~s 

~'hile ossociared ~~irh a tpibe or a gaming operation. Fai/ure fo con,~ento 

the discfosur~s indicated in this notice will ressrrlr in a ~ribe's being unable 

to hire ,vou or do business will? yoti. The disclostrre qfyour Social 

Secun'tjl N~cmber (SSN) is volrtntaty. IJowever, failure to srlpp/y a SSN 

mqv res wlt in erron in processing ,wur appljcntion. 

(b) Existing licensees shall be notified in writing that they shall either: 

(I) Complete a new application form that contains a Privacy Act ~otice; or 

42) Sign a statement that contains the Privacy Act notice and consent to the routine 

uses described in that notice. 

Section 8. Notice Regarding False Statements 

(a) The following notice, or such substantially similar wording contained in standardized 

application forms as may bc adopted by California tribes and the State of Califmia 

pursuant to a Compact, if any, shalI be placed on the application form before that form is 

filled out by an applicant. 

A .faIse stu!eme~~t on an-v pap? of your application mujr he grounds for 

denial or revocation qf a license. Also, volt mqv he prmisked b.@nc or 

imprisonrnt.nt. 

(U.S. Code, rille 18, section J 001.) 

@) The Commission shall notify in writing existing licensees that they shall either: 

(1 ) Complete a new application form that contains a notice regarding false 

statements; or 

(2) Sign a statement that contains the notice regarding false statements. 

Section 9. Required Information - General 

The Commission shall request From each applicant all of the following information: 

(a) Full name, other names used (oral w written), social security number(s), birth date, place 

of birth, citizenship, gender, all languages (spoken or written); 

(b) Currently and for the previous five (5) years: business and employment positions held. 

ownership interests in those businesses, business and residence addresses. and driver's 

license numbers; 

Gamin9 Odinancc oftkc Fcdcraicrl Indians of Gnton Ranchcria 
The names and current addresses of at least three (3) personal references, including one 

(1 } personal reference who was acquainted with the applicant during each period of 

residence listed under paragraph ('I )@) of this Section; 

Current business and residence telephone numbers; 

A description of any existing and previous business relationships with Indian tribes, 

including ownership interests in those businesses; 

A description of any existing md previous business relationships with the gaming 

industry generally, including ownership interests in those businesses; 

The name and address of any licensing or regulatory agency with which Be person has 

filed an application for a license at permit related to gaming, whether or not such license 

or permit was gmted; 

For each felony for which there is an ongoing prosecution or a conviction, the charge, the 

name md address of the court involved, md the date and disposition if any; 

For each misdemeanor conviction or ongoing misdemeanor prosecutbn (excluding minor 

traffic violations), within ten (1 0) years of the date of the application, the name and 

address of the court invoIved and the date and disposition; 

For each criminal charge (excIuding minor traffic charges), whether or not there is a 

conviction, if such criminal charge is within ten (1 0) years of the date of the appIication 

and is not oth&se Ii sted pursuant to pampph (h) ar (i) of this Section, the criminal 

charge, the name and address of the court involved and fhe date and disposition; 

The name and address of any licensing or regulatory agency with which the person has 

filed an application for an occupational license or permit, whether or not ,such Iicense or 

permit was granted; 

A current photograph; 

Any other information the Commission deems relevant; and 

Fingerprints consistent with procedures adopted by the Commission according to 25 

C.F.R. 3 522.20). 

Section 10. Resuired Infomation - Business Entities 

In addition to the information required under this Ordinance, the Commission shall 

request from an applicant that is a business entity a11 of the following information., provided that 

two (2) or more business entities having a commonality of the characteristics identified in the 

following subparagraphs (a) - (dl, inclusive, may be deemed to be a single business entity: 

{a) Each of its officers and directors; 

(b) Each of its principal management employees, including any chief executi~re officer, chief 

financial officer, chief operating officer, and general manager; 

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

(d) Each of its shareholders who owns more than terr percent f, 10%) of tl~c shares of the 

corporation, if a corporation; 

Gaming Ordinance of thc Fedcrated Indians of Gmton Ranchha 
(e) Each person or entity (other than a financial institution that the Commission has 

determined does not require a license under a Compact, if any) that, alone or in 

combination with others, has provided financing to the business entity in connection with 

my gaming authorized under a Compact, if any, if that person or entity provided more 

than ten percent (1 0%) of: 

(I ) the start-up capital; 

(2) the operating capital over a 12-month pperiod; or 

(3) a combination thereof. 

Section I 1. Reporting to NIGC 

(a) When a key employee or primary management official begins work at a gaming 

operation authorized by this Ordinance, the Commission shall forward to the NIGC a 

completed application for empIoyment and conduct the background investigation and 

make the determination referred to in Section IX of this ReguIation. The Commission 

shall prepare and fonvard to the NIGC, within sixty (60) days after a key employee or 

primary management official begins work or within sixty (60) days of the approval of this 

Ordinance by the Chairman of the NIGC, an investigative report on each backpound 

investigation and a copy of the eligibility determination made under Section 7 of this 

Regulation. The background investigation rvrt shall include all of the following: 

(1 ) Steps taken in conducting a background investigation; 

(2) Results obtained; 

(3) Conclusions reached: and 

(4) The bases for those conclusions. 

(b) The Commission shall respond to a request for additional information from the Chairman 

of the NIGC concerning a key employee or a primary management oficial who is the 

subject of a report. Such a request shall suspend the 30-day period which the WGC has to 

respond to the Commission until the Chairman of the NIGC receives the additional 

infomation. 

(c) Withrespecttokeymployeesmdprimnrymanagmentofficials,ifalicenseisnot 

issued to an applicant, the Commission sha1I noti@ the NIGC and may fonvard copies of 

its eligibility determination and investigative report (if any) to the NIGC for inclusion in 

the Indian Gaming Individuals Records System. 

Id) With respect to key mployees and primary management officiaIs, the Commission shall 

retain applications for employment and rqorts (if any) of background investigations for 

inspection by the Chairman of the NIGC or his or ha designee for no Pess than three (3) 

years from the date of termination of employment, 

Gaming Odinancr oClhc Fdcntd Indian!: of Graton Rnnchcria 
Section 1 2. Reporting to State Gaming A~ency 

(a) With respect ta gaming empIoyees, upon receipt of a completed license application and a 

determination by the Commission that it intends to issue a temporary or permanent 

license, the Commission shall transmit within ten (1 0) days to the State Gaming Agency 

a notice of intent to license the applicant, together with all of the following: 

(1) A copy of the license application materials and informati on received by the 

Commission from the applicant; 

(2) An original set of fingerprint cards; 

(3) A current photograph; and 

(4) Except to she extent waived by the State Gaming Agency, such releases of 

infomation, waivers, and other completed and executed forms as have been 

obtained by the Commission. 

(b) The Commission shall provide the State Gamiag Agency with the name, badge 

identification number (if any), and job title of all gaming employees on a monthly basis, 

within ten (1 0) days of the end of each month. 

(c) Within ten (1 0) days of issuance of a license to a gaming resource supplier or tinancial 

source, the Commission shall transmit to the State Gaming Agency a copy of the license 

and a copy of all tribal Iicense application materials and information received by it from 

the applicant. 

(d) Prior to renewing a license, the Commission shall forward to the State Griming Agency 

copies of the renewal application and related documents. 

(e) Notwithstanding any requirements to the contrary in this Ordinance, if the 'Tribe operates 

a gaming facility which includes only Class I1 gaming and not Class 1EI gaming, its 

reporting and other obligations pursuant to this Ordinance shaIl be limited to those 

required under applicable federal law. In such case, the Commission's ability to issue a 

license shall not be dependent on receiving a determination of suitability from the State 

Gaming Agency unless otherwise required by applicable federal law. 

Section 13. Granting a Gaming Limse 

(a) Key Employees and Primary Management Officials. If, within a 3 0-day period after the 

NIGC receives a report, the NlGC notifies the Commission that it has no objection to the 

issuance of a license pursuant to a license application filed by a key employee or a 

primary management &cia1 for whom the Commission has provided an application and 

investigative report to the NIGC, the Commission may issue a license to such applicant. 

The Commission shall rer;pond to a request for additional information from the Chairman 

of the NlGC concerning a key employee or a primary management official who is the 

subject of a report. Such a request shall suspend the 30-day period until the Chaiman of 

Gaming Ordimme. of the Fcdcrated Indians of Graton Rawheria 
the NIGC receives the additional information. If, within the 30-day period described 

above, the NIGC provides the Commission with a statement itemizing objections to the 

issuance of a license to a key employee or to a primary management official for whom 

the Commission has provided m application and investigative report to the NIGC, the 

Commission shall reconsider the application, taking into account the objections itemized 

by the NIGC. Tl~e Comrnission shall make the final decision whether to issue a license to 

such applicant. 

(b) All EmpIoyees, Including Primary Management Officials. If an applicant has completed 

a license application to the satisfaction of the Commission, and the Commission has 

conducted a preliminary backgmund investigation, the Commission may issue a 

temporary license and impose such conditions thmeon as it deems appropriate pending 

completion of the licensing process, provided that the Comrnission has no information 

suggesting the applicant would either be automaticaIly disqualified from obtaining a 

license or that would cause a reasonable person to investigate further before issuing a 

license. The Comrnission may issue a regular license to a person who meets the 

eligibility standards set out in this Ordinance after receiving a determination of the 

applicant's suitability from the State Gaming Agency. In the event the State Gaming 

Agency denies an applicant a determination of suitability or refuses to renew a 

determination of suitability, the Commission shall revoke any temporary license issued to 

the applicant and deny the applicant a license, except that the Comrnission shall have 

discretion to renew a license if the person is an entolled member of the Ttihe or has been 

continuously employed by the Tribe for at least three (3) years prior to the effective date 

of a Compact, if any, and also meets the following criteria: 

(I) The person hdds a vaIid and current license issued by the Commission; 

(2) The person is not an employee or agent of any ~ther gaming operation; and 

(3) The State Gaming Agency's denial of the person's application for a determination 

of suitability is based solely on activities, conduct or associations that antedate the 

filing of the pason's initial application to the State Gaming Agency for a 

determination of suitability. 

fc) The Commission shall be respnsible for issuing licenses and for deIivering them, hy 

certifid mail, return receipt requested, or in person, to applicants once they are issued. 

Section 14. Limitation 

The gaming operation shall not employ or continue to do business with a person who 

docs not have a license that is not a temporary license after ninety (90) days. 
Section 15. Identification Cuds 

All pernoas who are required to be licensed pursuant to the Gaming Ordinance shall be 

required to wear, in plain view at all times while in a gming facility licensed by the 

Commission, identification badges issued by the Commission. Tbe identification badges must 

display the person's photograph, identification number, name, and expiration date of his or her 

license. 

Section 16. Gaming Facility 

(a) The Commission shall issue a separate license to each facility on Indian Imds where dass 

I1 andlor class IlI gaming is conducted under this Ordinance. 

(b) The Conmission shall issue a separate license to each place, facility, or location on 

Indian lands where clms I1 mdor cI ass I11 gaming is conducted under this Ordinance 

once very two years. The Commission shall specify the form, conditions and content for 

the application for such licenses, which shall be submitted by the chief management 

officid of the facility, and the initial application shall include a legal description of the 

lands whereon the facility is located, and a certification that said premises constitute 

"Indian lands'" specified in the IGRA, and shdI identify the environmental, health, and 

public safety stmdards with which the facility must comply, and a certification that the 

faciIity is incompIiance therewith. Each subsequent application for the renewal of such 

facility Eimse shall identify any changes or additions to said legal description and 

applicable environmental, health and safety standards, and include current certifications 

of compliance therewith. The Commission shall ody issue such limes if the 

applications therefore indude the required infomation and certifications and such further 

conditions as the Commission shall have specified. 

Section 17. Gaming Resource Sunpliers 

Any gaming resource supplier who, directly or indirectly, provides, has provided, or is 

deemed likely to provide at least twenty-five thousand dollars ($25,000.00) in gaming resources 

in any 1 2-month period, or who has received at Ieast twenty- five thousand dollars (S25,000.00) 

in any consecutive 12-month period within the 24-month period immediately preceding 

appIication, shall be licensed by the Commission prior to the sale, lease, or distribution, or 

Curther sale, lease, or distribution, of any such gaming resources to or in connection with the 

Tribe's gamjng operation of gaming facilities. Any agreement between the Tribe and a gaming 

resource supplier shall be deemed to include a provision for its termination without furher 

Ei ability on the part of the Tribe, except for the bona fide payment of a11 outstanding sums 

(exclusive of interest) owed as of, or payment for services or materials received up to, the date of 

termination, upon revocation or non-renewal of the supplier's license by the Commission based 

on a determination of unsui tability by the State Gaming Agency. Except as set forth above, the 

Gaming Otttinancc of the Federated Indians of Gmtm Rantheria 
Tribe shall not enter into, or continue to make payments to a gaming resource supplier pursuant 

to, any contract or agreement for the provision of gaming resources with any person or entity 

whose application to the State Gaming Agency for a determination of suitability has been denied 

or revoked or whose determination of suitability has expired without renewaI. 

Section 18, Financial Sources 

Any person or entity who, directly or indirectly, extends financing to thc Tribe's gaming 

facilities or gaming operations shall be Iicensed by the Commission prim to extending that 

financing except that the Commission may, at its discretion, exclude a limited number of 

financial sources in certain circumstances, but only as provided in a Compact, if any. Any 

agreement between the Tribe and a financial source shall be deemed to include a provision for its 

termination without further liability on the part of the Tribe, except for the payment of a11 bona 

fide obligations (including accrued interest) which remain unpaid as of the date of termination, 

upon revocation or non-renewal of the financial source's license by the Commission based on a 

determination of unsuitability by the State Gaming Agency. Except as provided above, the Tribe 

shall not enta into, or continue to make payments pursuant to, any contract or agreement for the 

provision of financing with any person whose application to the State Gaming Agency for a 

determination of suitability has been denied or has expired without renewal. A gaming resource 

supplier who provides financing exclusively in connection with the sale or lease of gaming 

resources obtained hm that supplier may he licensed soIely in accordance with licensing 

procedures applicable. if at all, to gaming resource suppliers. 

Section 1 9. Denial, Revocation and Sumension of License 

The Commission shaIl suspend, revoke or deny a license upon the occurrence of any of 

the foIlowing: 

(a) Notification by the NIGC, or by any other reliable source, that the licensee is not eligible 

for a license under this Ordinance; 

(b) Notification by the State Gaming Agency that it intends to deny an applica~ion for a 

determination of suitability or a renewal of determination of suitability; 

(c) The Commission has probable cause to believe that the licensee has, by act or omission, 

violated provisions of a Compact, if any, the Gaming Ordinance. the Tribe's Gaming 

Regulations, any condition of a Conditional Gaming License. or my other Federal, State 

or Tribal laws or regulations; 

(d) The Commission has reason to believe that the continued licensing of a person constitutes 

an immediate threat to the public health. safety or weIfare; 

(e) The Commission has reason to beIieve that the licensee is involved in any Ihefi, 

misappropriation, misuse or abuse of Tribal assets; 

Gaming Onlinnncc of ll~c Fodcratd Indians nf Gntrrn Rancl~eria 
(fl The licensee engages in any conduct that brings discredit or embarrassment to the Tribe's 

gaming operations or the Tribe, or interferes with the normal operation of the Tribe's 

gaming facilities; 

(g) The licensee fails to disclose any required infomation on any State or Tribal gaming 

license application; 

(h) The licensee fails to respond to a request from the Commission within fourteen (1 4) days 

of the date of the initial request; or 

(i) The licensee's employment with the Tribe's gaming operations is terminated, voluntariIy 

0s hvoluntarily. 

Section 20. Notification of Receipt of Information bv NIGC 

If the Commission receives notification from the NIGC that the NIGC ha!; received 

teIiable information indicating that a key employee or a primary management official is not 

eligible for employment under applicable federal regulations, the Commission shall suspend such 

Iime and shall notify in writing the licensee of the suspension and the proposecl revocation, 

and shall notify tbe licensee of a time and a place for a hearing on the proposed revocation of the 

person's license. After such revocation hearing, the Commissi~n shall decide to revoke or to 

reinstate a gaming license. The Commission shall notify the NIGC of its decision. 

Section 2 1. Due Process 

The denial, suspension or revocation of a license pursuant to Article XXIJ of this 

Ordinance shall require: 

(a) Written, certified, return receipt request4 or personally handdelivered notification of the 

denial, suspension or pending revocation be given to the licensee ten (1 0) days in 

advance of the proposed action; 

@) Such written notification shaII include information concerning the licensee's right to a 

hearing, shall specify the date, time and place for the hearing, and shaIl also advise the 

licensee that failure to appear for a scheduled hearing shall forfeit any further right to 

appeal; 

(c) The Commission shall make a ruling within three (3) days, and the licensee shall be 

notified in writing, within three (3) days of the ruling, of the ruling and the lieensee's 

right to file a petition with the C~ssion for a rehearing within fifteen (1 5) days of the 

receipt of the written notification; 

(d) If the licensee files a petition for a rehearing within fifteen (1 5) days of receipt of the 

written notification described in the preceding paragraph, the Commissior~ shaIl review 

any additional infomatien submitted by the licensee with the petition and notify the 

licensee in writing of its decision, which shall be a final decision. 

Gaming Ordinance of the Fodmtcd Indians of Graton Rwcheria 
(e) Notwithstanding subparagraph A above, the Commission may suspend or revoke a 

license without advance notice if, in the opinion of the Commission. the continued 

licensing of the person: 

(1) falsified a license application; 

(2) poses an immediate threat to the integrity of the Tribes gaming operations; 

(3) poses a threat to public health or safety; or 

(4) may violate the Commission's licensing or other standards. 

Section 22. Duration and RenewaI 

All regular licenses shall be issued for a specified paid not to exceed two (2) years from 

the date of issue, Renewal applications must be received by the Commission at lwst thirty (30) 

days prior to the expiration of the license. Upon receiving a renewal application, the 

Commission shall inform the applicant of his or her obligation to apply to the State Gaming 

Agency fox renewal of his or ha determination of suitability. Any licensee applying for renewal 

may continue to be employd or engaged under the expired license until &e Comnlission takes 

action on the renewal application. Applicants for renewal shall provide updated material as 

requested by the Commission on the appropriate renewaI forms but, at the discretion of the 

Commission. may not be required to resubmit information already available to the Commission. 

Additional background investigations may be performed at the discretion of the Commission. 

Updated criminal history checks are required. 

Prior to renewing a license, the Commission shall forward to the State Gaming Agency 

copies of the renewal application and related documents. With rcspect to gaming facilities, the 

Commission shall provide verification to the State Gaming Agency that it has reviewed and, if 

apprnp~ate, renewed a gaming facility's license. 

The Gaming Committee shall establish a fee schedule for licenses. Application fees shall 

be nonrefundable, regardless of whether or not a license is issued. Such fees shall be made 

payable to the Federated Indians of Graton Rancheria. 

ARTICLE X: ENFORCEMENT 

The Tribal Council shall promulgate regulations authorizing the Commission or otlier 

agent of the Tribe to investigate reported violations of this Ordinance, other tribal sming 

ordinances or regulations, IGRA or a Compact, f f any, and to impose fines or other sanctions 

Canting Ordinance of thc Fcdimr~d Indians ofGmton Ranchmiria 
within the Tribe's jurisdiction against petsons who interfere with the Tribe's obligations under 

this Ordinance, other tribal gaming ordinances or regulations, IGRA or a Compact, if any. 

ARTICLE XI: RESOLUTION OF PATRON DISPUTES 

The Commission shall promulgate regulations governing patron disputes over the play or 

operation of any game, including any refusal to pay to a patron any alleged winnings from any 

gaming activities, which at least meet the minimum standards set forth in a Compact, if any. 

ARTICLE XII: SERVICE OF PROCESS 

The Tribe designates the Tribe's Chairperson as its agent for service of any official 

determination, order, or notice of violation. 

ARTICLE XTH: REPEAL 

AU prior gaming ordinances are hereby repealed. 

ARTICLE XIV: SEVERABILITY 

If any provision of this Ordinance shall in the future be declared invalid by a cow of 

competmt jurisdi ction, the invalid provision w provisions shall be severed and the remaining 

provisions shall continue in full force and effect. 

ARTICLE XV: AMENDMENT OF ORDINANCE 

This Ordinance may be amended or repealed upon approval by the Tribal Council. 

ARTICLE XVXT EFFECTIVE DATE 

This Ordinance shalI be submitted to the Chairman of the NlGC for approval pursuant to 

IGRA and 25 CFR part 522, and shall become effective immediately upon its approval by the 

Chairman of the NIGC or ninety (90) days after the date of its submission to the C%airman of the 

NIGC if he or she fails to approve or disapprove this Ordinance within those ninety (90) days. 

19 

Gaming Ordinance of the Fedmtd Indians of Gratw Ranchcria 
This is to certify that the foregoing Ordinance was duly approved by the Tribal Council ofthe 

Federated Indians of Graton Rmcheria at a duly noticed Tribal Council Meeting held on June 

2 3 2008, by a vote of For, (a Opposed and < Abstaining, with a qum present, 

and that this Resolution has not been changed, rescinded, or mended in my way. 

/ 

,-, 

.;t,l-if<: (i : L/ /i I Jeannette Anglin t 

Tribal Secretary 

-7 

: J.d/;+a-- /T a ZP<&P 

Date ' 

g,&.LF /3,2@Y 1 Date 

20 

Gaming Ordinance ofrhe Fdcratcd Indians of Graton Rancherin 
FEDERATED INDIATVS OF GRATON RANCHERIA 

RESOLmON AUTHORIZING 'FHE TRIBE'S LEGAL COUNSEL TO SLBMTI' THE 

TRIBE'S DULY ENACTED GAMING ORDINANCE TO THE CHAIRMAN OF THE 

NATIONAL INDIAN GAMING COMMISSTON FOR APPROVAL. 

TRIBALCOUNCILRESOLUnONNO.: 08-a 

DATE APPROVED: June u, 2008 

WHEREAS, the Federated Indians of Graton Rancheria ("Tribe") is a federally 

recognized Indian tribe which is organized pursuant to the Constitution of the Federated 

Indians of Graton Rancheria, appmved by the Secretary of the Interior on December 23, 

2002, (Tonstitution"); and 

WFLEREAS, the governing body of the Tribe is the Tribal Council pmmt to 

Article III, Section 1 of the Tribe" Constitution with the power to promulgate and 

enforce resoIutions and statutes; and 

WHERIEAS, on June 12,2008, the Tribal Council duly enacted a gaming 

ordinance ("Gaming Ordinances') which sets the terms for class II and class III gaming 

operations on the Tribe's Indian lands; and 

WHERF,AS, the Gaming Ordinance must be approved by the Chainnm of the 

National Indian Gaming Commission (TIN") pursuant to the Indian Gaming 

Regulatory Act, 25 U.S.C. $5 2701 er seq. 

NOW THEREFORE, BE IT RESOLVED that the Tribal Council hereby auihorizes 

the Tribe's legal counsel, Mai er Pfeffer & Kim, LLP, to submit the Tribe's duly enacted 

Gaming Ordinance to the Chairman of the NIGC for approval. 

We the undmigned to hereby certify that the foregoing resolution was ddy adopted by 

the TribaI Council of the Federated Indians of Graton Rancheria at a duly notical Tribal 

Council Meeting held on June &, 2008, by a vote of 5 ~or,i3_ Opposed and Q 

Abstaining, with a quorum present, and that this Resolution has not been changed, 

rescinded, or amended in my way.