p SUSANVILLE INDIAN

~ I RANCHERIA

:1 .~ 4 2O~

RESOLUTION NO. SU-BC-21-2001

RE: TRIBAL GAMING ORDINANCE OF THE SUSANVILLE INDIAN

RANCHERIA

WHEREAS, the Susanville Indian Rancheria is formally recognized, constituted and

established pursuant to the Indian Re-Organization Act (IRA) of 1934 and is a

recognized Tribal government as defined by the Indian Self-Determination Act,

P.L. 93-638; and

WHEREAS, the Susanville Indian Rancherias General Council at a duly called meeting held

February 8, 1992 vested authority to the Tribal Business Council to enact

resolutions and conduct business on behalf of the General Council, effective

February 8, 1992; and

WHEREAS, the Susanville Indian Rancheria has entered into a Tribal-State Compact with the

State of California; and

WHEREAS, the Susanville Indian Rancheria Tribal Business Council has determined that the

existing gaming ordinances required revision to meet the needs of the Tribe; and

NOW THEREFORE B~ IT RESOLVED, that the Susanville Indian Rancheria Tribal

Business Council hereby adopts the Tribal Gaming Ordinance of the Susanville

Indian Rancheria (Ordinance 2001-004); and

BE IT FURTHER RESOLVED, that this Gaming Ordinance will remain in force until such

time as it~is rescinded by the Tribal Business Council.

CERTIFICATION

We, hereby certify that the above resolution was adopted by the Susanville Indian Rancheria

Tribal Business Council at a duly called meeting held August 13, 2001 with a vote of 6 for,

0 against, 0 abstain.

ATTEST;

owry / Ike Lowry

Secretary/Treasurer / Tribal Chairman

DRAWER U SUSANVILLE, CA 96130 . (530) 257-6264 . FAX 257-7986
TRIBAL GAMING ORDINANCE

OF THE

SUSANVILLE RANCHERIA

Ordinance No. 2001 - 004

TITLE I

REGULATION OF CLASS II AND CLASS III GAMING

A law to authorize, license and regulate the conduct of Class II and Class III Gaming within the

jurisdiction ofthe Susan yule Indian Rancheria California.

SECTION 1. FINDINGS, INTENT AND POLICY

1.1 Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA (Tribe

or Tribal) through the General Council, which is the Governing Body of the

Tribe, finds that:

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

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

Tribe and visitors to the Tribal community.

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

Activity within the jurisdiction of the Tribe.

1.1.3 Properly licensed and regulated Gaming are in conformance with

announced Federal policy promoting Indian self-government and Indian

Tribal economic self-sufficiency.

1.1.4 It is essential that the General Council regulate Gaming in a manner

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

Tribal law and policy.

1 .1.5 The present needs of the Tribe are not adequately addressed by State and

Federal programs including the need for increased employment, training,

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

culture, social services and community and economic development.
1.1.6 Tribal operation and licensing of Gaming is a legitimate means of

geherating revenue to address the aforementioned needs and pursuing the

Tribes goal of self-sufficiency and self-determination.

1.1.7 The State, in recognition of the Tribes sovereign right and need for

Gaming, has entered into a Tribal/State Compact (Compact) pursuant to

the terms and conditions of the Indian Gaming Regulatory Act.

1.1.8 As a result of the foregoing, the adoption of a new and expanded Gaming

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

1.2 Intent. The General Council, on behalf of the Tribe, declares that the intent of

this Code is to:

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

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

revocable privilege, not a right.

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

means of generating Tribal revenue.

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

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

unconscionable and dishonest practices.

1.2.5 Encourage Tribal economic development and employment opportunities.

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

community.

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

of Gaming disputes.

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

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

1.3 Policy.

1.3.1 Tribal Policy of Self-Government The Tribe is firmly committed to the

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

Gaming revenues shall be utilized and expended by the Business Council

by resolution, with approval by the General Council through resolution,

and only for the following purposes:

(1) To fund Tribal government operations or programs.

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

(3) To promote Tribal economic development.

(4) To donate to charitable organizations.

(5) To help to fund operations of local government agencies, general

governmental services, the maintenance of peace and good order,

the establishment of educational systems and programs, and the

promotion and regulation of economic activities within the

sovereign jurisdiction of the Tribe.

1.3.2 Tribal Gaming Policy The establishment, promotion and operation of

Gaming is necessary, provided that such Gaming is regulated and

controlled by the Tribe pursuant to the Tribal/State Compact authorized by

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

are used exclusively for the benefit of the Tribe.

1.3.3 Tribal Ownership of Gaming Facility The Tribe shall have sole

proprietary interest in and responsibility for the conduct of Gaming

Facilities andlor Enterprises authorized by this Code.

1.3.4 Tribal Class II Gaming Authorized Class II Gaming is authorized as

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

regulations promulgated by the NIGC.

1.3.5 Tribal Class ITT Gaming Authorized Class III Gaming is authorized and

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

Tribal/State Compact as approved by the Secretary of the Interior, and

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

100-447, 25 U.S.C. Section 2703(8) and by regulations promulgated by

the NIGC.

SECTION 2. DEFINITIONS

In this Code, except where otherwise specifically provided or the context otherwise

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

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

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

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

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

Licensee.

2.2 Applicant means any Person or entity who has applied for a License under the

provisions of this Code.

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

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

required or permitted under the provisions of this Code.

2.4 Association means representatives from California tribes, the California State

Division of Gaming Control and the California Gambling Control Commission as

established pursuant to Section 2.2 of the Compact.

2.5 Bingo means the game of chance commonly known as bingo (whether or not

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

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

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

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

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

covering a previously designated arrangement of numbers or designations on such

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

2.6 Breakage means the remainder by which the amount payable on each dollar

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

2.7 Business Council means the Elected Officials of the General Council pursuant

to the Susanville Indian Rancheria California Tribal Constitution.

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

which is expected to extend beyond one year.

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

not limited to currency, travelers checks, credit cards, and electronic debit cards.

2.10 Casino means an establishment in which several Gaming activities or

enterprises are operated.

2.11 Charitable Gaming Ticket means any game piece used in the play of a paper

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

2.12 Cheating means a Persons operating or playing in any game in a manner in

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

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

the chance of the game.

2.13 Class II Gaming means those Gaming activities as defined as Class II Gaming

in the IGRA of 1988, P.L. 100-447, 25 U.S.C. Section 2703(7).

2.14 Class III Gaming means those Gaming activities as defined as Class HI

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

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2.15 Code means this Tribal Gaming Ordinance of the Susanville Indian Rancheria

California, as amended.

2.16 Compact means the Gaming compact between the Tribe and the State, as

authorized by the Indian Gaming Regulatory Act.

2.17 Compensation means all wages salaries, perks, bonuses and all other forms of

enumeration for services rendered.

2.18 Contract means any legally binding agreement made between an Licensee and

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

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

operation.

2.19 Council or General Council means the governing body of the Tribe.

2.20 Determination of Suitability means a formal finding by the Tribal

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

obtain andlor maintain the License.

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

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

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

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

requiring licensing, (c) is an employee of the Tribal Gaming Commission with

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

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

public.

2.22 Enrolled Tribal Member means a Person who is enrolled with the Tribe, and

whose name appears on the tribal membership roll.

2.23 Enterprise means the economic entity that is licensed by the Tribal

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

pays the expenses. A gaming enterprise may be operated by the Tribe or a

Management Contractor.

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

2.25 Exclusive License means a license, which precludes the Tribal Commission

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

life of the exclusive license. An Applicant must demonstrate and the Tribal

Commission must find that the issuance of an Exclusive License is in the

economic interest and welfare of the Tribe.

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

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

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

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

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

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

and another Person. Financial Sources must be licensed.

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

definition of Gaming or Gaming Activity.

2.28 Gaming or Gaming Activity means any activity, operation or game of

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

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

valuable prize is awarded to the player so wagering.

2.29 Gaming Device means a slot machine, including an electronic,

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

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

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

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

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

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

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

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

2.30 Gaming Facility or Gaming Establishment means any building in which

Class III Gaming Activities or Gaming operations occur, or in which the business

records, receipts, or other funds of the Gaming operation are maintained (but

excluding offsite facilities primarily dedicated to storage of those records, and

financial institutions), and all rooms, buildings, and areas, including hotels,

ancillary businesses, parking lots and walkways, a principal purpose of which is

to serve the activities of the Gaming operation, provided that nothing herein

prevents the conduct of Class II Gaming (as defined under IGRA) therein.

2.31 Gaming Program means any Tribal program, which oversees one or more

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

Tribal Commission.

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

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

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

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

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

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

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

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2.33 General Manager means the Person or entity, which has management

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

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

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

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

received from the lawful Gaming Enterprise.

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

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

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

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

or half sister, and those residing in the home.

2.36 Indian Gaming Regulatory Act or IGRA means Public Law 100-497, 102

Stat. 2426,25 U.S.C. §~2701, et seq. (1988), as amended.

2.37 Indian Lands means:

2.37.1 Lands within the limits of the Tribes exterior boundaries, whereby it

exercises sovereign jurisdiction over such lands, notwithstanding the

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

lands; and

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

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

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

exercises governmental powers; and

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

U.S.C. Section 2719 et. seq.

2.38 In privity with means a relationship involving one who acts jointly with

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

co-conspirator with the other.

2.39 IRS means the United States Internal Revenue Service.

2.40 Key Employee means:

2.40.1 A Person who performs one or more of the following functions:

(1) Bingo caller;

(2) Counting room supervisor and Personnel;

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

employees engaged in providing security or surveillance services;

(4) Custodian of Gaming supplies or cash;

(5) Floor manager; manager or General Manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

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

ordinarily sought or followed; or

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

cash and accounting records within such devices;

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

is in excess of $50,000 per year; or

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

employees engaged in the control of Gaming assets and revenues and

record keeping, including the recording of cash and evidences in

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

accounts, and reports of transactions; or

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

Gaming Facility; or

2.40.5 Any Applicant or Person the Tribal Commission finds is important or

necessary to the operation of the Gaming Facility.

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

Tribal Commission to an Applicant to conduct Licensed Gaming Activities of

the Tribe.

2.42 Licensee means the Employee, Key Employee, Primary Management Official,

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

2.43 Lotto means a form of Gaming in which the revenues derived from the sale of

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

chance to one or more chance takers or ticket purchasers. The amount of cash

prizes or winnings is determined by the Licensee conducting the lottery, and a

progressive pool is permitted.

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2.44 Management Contract means any Contract for the management of Class II or

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

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

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

IGRA by the NIGC.

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

Class II or Class III Gaming Management Contract or is a Vendor who is

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

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

2.46 National Indian Gaming Commission or NIGC means the National Indian

Gaming Commission established by the IGRA.

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

total Gaming related operating expenses, excluding Management Contractor fees.

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

Public Accountants.

2.49 Participate in any Gaming means operating, directing, financing or in any way

assisting in the establishment of or operation of any class of Gaming or any site at

which such Gaming is being conducted, directly or indirectly, whether at the site

in Person or off the Reservation.

2.50 Person means any individual, partnership, joint venture, corporation, joint

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

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

entity and any owner, director, officer or employee of any such entity or any

group of individuals acting as a unit, whether mutual, cooperative, fraternal,

nonprofit, or otherwise, the government of the Tribe, any governmental entity of

the Tribe or any of the above listed forms of business entities that are wholly

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

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

people.

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

money or other benefit, but does not include an Licensee or any assistant of an

Licensee.

2.52 Primary Management Official means:

2.52.1 The Person having management responsibility for the overall operation of

the Enterprise or Facility, or a management contract; or

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2.5 2.2 Any Person who has authority to:

(1) Hire and fire employees; or

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

2.52.3 The Chief Financial Officer or other Person who has financial

management responsibility.

2.53 Progressive Gaming means any game in which a cash prize which, not being

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

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

next game.

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

preprinted cards utilizing symbols or numbers in random order which are

uncovered by random choice in expectation of cash prizes if prescribed

combinations of symbols and numbers are revealed.

2.55 Rancheria means lands defined as Indian Lands herein.

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

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

include a slot machine.

2.57 Reservation means lands defined as Indian Lands herein.

2.58 State means the State of California.

2.59 State Gaming Agency means the entity of the State pursuant to the

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

Code, Chapter 5, Sec. 19800 et. seq.

2.60 State Gaming Facility Compliance Agent means the Person appointed

pursuant to Section 6.4.2(d) of the Compact.

2.61 Tribal Commission means the Tribes Gaming Commission described in

Section 4 of this Code.

2.62 Tribal Court means the Court created in the Tribes Constitution enacted

contemporaneously herewith, and by Title I, Section 4.24 of this Code, as those

provisions are amended from time to time.

2.63 Tribe means the Susanville Indian Rancheria California.

2.64 Wager means the initial bet made in any game.

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SECTION 3. GENERAL PROVISIONS

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

Tribe pursuant to Article VI of the Tribal Constitution and Bylaws and pursuant

to the powers of the Business Council pursuant to Article VI, Section 2(a) of the

Tribal Constitution and Bylaws.

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

the Susanville Indian Rancheria California Gaming Code or Code. This Code

shall be appropriately inserted in the Tribal Code, pursuant to the Tribal

Constitution.

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

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

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

the provisions of this Code are hereby repealed.

3.2.2 Repeal of this Code, or any portion thereof, shall not have the effect of

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

suspended.

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

otherwise requires, the following shall apply:

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

substantial justice.

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

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

number include the singular.

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

genders and the neuter.

3.4 Severability. If any section of this Code is invalidated by a court of competent

jurisdiction, the remaining sections shall not be affected thereby.

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

the Chairman of the NIGC pursuant to the IGRA.

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SECTION 4. TRIBAL GAMING COMMISSION

4.1 Establishment. The General Council hereby charters, creates and establishes the

SusanvillØ Indian Rancheria California Tribal Gaming Commission as a

governmental subdivision of the Tribe.

4.1 .1 The Susanville Indian Rancheria California Tribal Gaming Commission

shall be referred to throughout this Code as the Tribal Commission.

4.1.2 The Business Council of the Susanville Indian Rancheria California shall

serve as the Tribal Commission until the General Council shall appoint the

members of the Tribal Commission pursuant to Section 4.10.4. The

Business Council, as Tribal Commissioners shall comply with the

background check and licensing requirements of the Code, herein.

4.2 Location and Place of Business.

4.2.1 Gaming Facility The Tribal Commission may maintain its headquarters,

principal place of business and office within the Gaming Facility.

4.2.2 Other Locations The Tribal Commission may, however, with a majority

vote from the Business Council ,

establish other places of business in such

other locations as the Tribal Commission may from time to time determine

to be in the best interest of the Tribe.

4.3 Duration. The Tribal Commission shall have perpetual existence and succession

in its own name, unless dissolved by the Business Council pursuant to Tribal law.

4.4 Attributes. As a governmental subdivision of the Tribe, the Tribal Commission

is under the directive and control of the Business Council ,

but it is the purpose

and intent of the Business Council that the operations of the Tribal Commission

be conducted on behalf of the Tribe for the sole benefit and interests of the Tribe,

its members and the residents of the Reservation.

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

Commission shall function as an arm of the Tribe.

4.4.2 Tribe Actions Notwithstanding any authority delegated to the Tribal

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

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

on behalf of the Tribal Commission, whenever the Tribe deems it

necessary to protect the sovereignty, rights and interests of the Tribe or the

Tribal Commission.

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

Tribal Commission, shall take all necessary steps to acquire recognition of the

Tribal Commission as a political subdivision of the Tribe, recognized by all

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branches of the United States Government as having been delegated the right to

exercise one or more substantial governmental functions of the Tribe.

4.6 Sovereign Immunity of the Tribal Commission.

4.6.1 Authority The Tribal Commission is clothed by Federal and Tribal law

with all the privileges and immunities of the Tribe, except as specifically

limited by this Code, including sovereign immunity from suit in the State,

Federal or Tribal Court.

4.6.2 No Waiver Nothing in this Code shall be deemed or construed to be a

waiver of sovereign immunity of the Tribal Commission from suit, which

shall only be waived pursuant to subsection 4.7 below.

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

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

the United States or of any state or of any other tribe with regard to the

business or affairs of the Tribal Commission.

4.7 Waiver of Sovereign Immunity of the Tribal Commission. Sovereign

immunity of the Tribal Commission may be waived upon the recommendation of

the Tribal Commission and only by express resolutions of both the Business

Council and the General Council after consultation with its attorneys.

4.7.1 Resolution Effecting Waiver All waivers of sovereign immunity must be

preserved with the resolutions of the Business Council and the General

Council of continuing force and effect.

4.7.2 Policy on Waiver Waivers of sovereign immunity are disfavored and shall

be granted only when necessary to secure a substantial advantage or

benefit to the Tribal Commission.

4.7.3 Limited Nature to Waiver Waivers of sovereign immunity shall not be

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

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

thereto, court having jurisdiction pursuant thereto and law applicable

thereto.

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

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

resolution of the Business Council and the General Council, shall be

deemed a consent to the levy of any judgment, lien or attachment upon

property of the Tribal Commission other than property specifically

pledged or assigned, or a consent to suit in respect of any land within the

exterior boundaries of the Reservation or a consent to the alienation,

attachment or encumbrance of any such land.

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4.8 Sovereign Immunity of the Tribe. All inherent sovereign rights of the Tribe as

a Federally-recognized Indian Tribe, with respect to the existence and activities of

the Tribal Commission, are hereby expressly reserved, including sovereign

immunity from suit in any state, Federal or Tribal court. Nothing in this Code nor

any action of the Tribal Commission shall be deemed or construed to be a waiver

of sovereign immunity from suit of the Tribe, or to be a consent of the Tribe to the

jurisdiction of the United States or of any state or any other Tribe with regard to

the business or affairs of the Tribal Commission or the Tribe, or to be a consent of

the Tribe to any cause of action, case or controversy, or to the levy of any

judgment, lien or attachment upon any property of the Tribe; or to be a consent to

suit in respect to any land within the exterior boundaries of the Reservation, or to

be a consent to the alienation, attachment or encumbrance of any such land.

4.9 Assets of the Tribal Commission. The Tribal Commission shall have only those

assets specifically assigned to it by the Business Council or acquired in its name

by the Tribe or by it on its own behalf. No activity of the Tribal Commission nor

any indebtedness incurred by it shall implicate or in any way involve any assets of

tribal members or the Tribe not assigned in writing to the Tribal Commission.

4.10 Membership.

4.10.1 Number of Commissioners The Tribal Commission shall be comprised of

five (5) Tribal Gaming Commissioners.

4.10.2 Organization The Tribal Commission will consist of a Chairman, ViceChairman, Secretary and two (2) Commissioners.

(1) The Chairman shall direct Tribal Commission meetings and be the

supervisor and is responsible for the day-to-day operations of the

Tribal Commission.

(2) The Chairman shall be the agent for service of process.

(3) The Vice-Chairman shall direct Tribal Commission meetings, be the

supervisor, be the agent for service of process, and be responsible for

the day-to-day operations of the Tribal Commission, when the

Chairman is unavailable.

(4) The Secretary shall keep minutes of meetings and provide a copy to

the Business Council.

4.10.3 Qualifications for Tribal Commission Positions

(1) Preference shall be given to Enrolled Tribal Members.

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(2) Must pass the scrutiny of a background check pursuant to 4.10.5

below.

(3) Tribal Commissioners shall have expertise, experience, education

or a combination thereof in the following areas: finance,

management, legal, business, governmental regulation, and Tribal

policy and law.

(4) Tribal Commissioners shall be at least twenty-one (21) years of

age.

4.10.4 Date of Appointment The Business Council shall appoint Tribal

Commissioners at their August Meeting.

4.10.5 Background Check Prior to the time that any Tribal Commission member

takes office on the Tribal Commission, the Tribe shall perform or arrange

to have performed a comprehensive background check on each

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

(I) His/Her prior activities, criminal record, if any, or reputation,

habits or associations:

(i) Pose a threat to the public interest; or

(ii) Threaten the effective regulation and control of Gaming; or

(iii) Enhance the dangers of unsuitable, unfair, or illegal

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

or

(2) He/She has been convicted of or entered a plea of nob contendere

to a felony of any jurisdiction or to a misdemeanor involving

dishonesty or moral turpitude in any jurisdiction; or

(3) He/She has a direct monetary or financial interest in the conduct

of any Gaming Enterprise or is in privity with a Management

Contractor; or

4.11 Term of Office. The ~Tribal Commission shall be appointed as follows: the

Chairman shall be appointed for three (3) years; a Tribal Commissioner appointed

for two (2) years; and a Tribal Commissioner appointed for one (1) year. Upon

the expiration of the first terms, each Tribal Commissioner thereafter shall be

appointed for three (3) year staggered terms.

4.12 Ex-OflIcio Members. At the direction of the Business Council, any member of

the General Council, Tribal or Bureau of Indian Affairs employee, or any other

15
Person may be designated to Participate, without vote, in Tribal Commission

meetings.

4.13 Meetings.

4.13.1 Regular Meetings The Tribal Commission shall meet formally weekly.

Nothing in this Code shall prohibit the Commission from authorizing

telephone and off-site meetings.

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

Business Council or the Chairman of the Tribal Commission.

4.13.3 Quorum A quorum for all meetings shall consist of three (3) members.

4.13.4 Voting All questions arising in connection with the action of the Tribal

Commission shall be decided by majority vote.

4.14 Compensation of Commissioners. The compensation of Commissioners shall

be established by the Business Council.

4.15 Removal of Members or Vacancies.

4.15.1 Removal A Tribal Commissioner may be removed by the Business

Council for the following reasons: serious inefficiency, neglect of duty,

malfeasance, misfeasance, nonfeasance, misconduct in office, or for any

conduct which threatens the honesty and integrity of the Tribal

Commission or otherwise violates the letter or intent of this Code.

4.15.2 Due Process Except as provided below, no Tribal Commissioner may be

removed without notice and an opportunity for a hearing before the

Business Council, and then only after the Tribal Commissioner has been

given written notice of the specific charges at least ten (10) days prior to

such hearing. At any such hearing, the Tribal Commissioner shall have

the opportunity to be heard in Person or by counsel and to present

witnesses on his behalf.

4.15.3 Temporary Suspension If the Business Council or Gaming Commission

determines that immediate suspension of a Tribal Commissioner is

necessary to protect the interests of the Tribe, the Business Council may

hold a hearing with the Tribal Commissioner to suspend the Tribal

Commissioner temporarily, and the question of permanent removal shall

be determined thereafter pursuant to Tribal Commission hearing

procedures pursuant to 4.15.2 herein.

4.15.4 Written Record A written record of all removal proceedings together with

the charges and findings thereon shall be kept by the Tribal Secretary.

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4.15.5 Removal Final The decision of the Business Council upon the removal of

a Tribal Commissioner shall be final.

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

any reason be unable to serve as a Tribal Commissioner, the General

Council shall declare his/her position vacant and shall appoint another

Person to fill the position within thirty (30) days of the vacancy. The

terms of office of each Person appointed to replace an initial Tribal

Commissioner shall be for the balance of any un-expired term for such

position provided, however, that any prospective appointee must meet the

qualifications established by this Code.

4.16 Conflict of Interest. No Person shall serve as a Tribal Commissioner if he/she or

any member of his/her Immediate Family has an ownership, partnership or other

direct financial interest, other than a regular salary interest, in any Gaming

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

himiher in a conflict of interest.

4.17 Powers of the Tribal Commission. In furtherance, but not in limitation, of the

Tribal Commissions purposes and responsibilities, and subject to any restrictions

contained in this Code or other applicable law, the Tribal Commission shall have,

and is authorized to exercise by majority vote, the following powers in addition to

all powers already conferred by this Code:

4.17.1 To reasonably inspect and regulate all Gaming within the jurisdiction of

the Tribe, provided that the Commission does not make Management

decisions as to the day-to-day operations of the Gaming Enterprise.

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

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

4.17.3 To act as liaison with the NIGC and the California Division of Gaming

Control Commission.

4.17.4 To publish and distribute copies of this Code and Tribal Commission rules

and regulations and any Business Council, Tribal Commission or Tribal

Court decisions regarding Gaming matters.

4.1 7.5 To prepare and submit for Business Council approval proposals, including

budget and monetary proposals related to the operation of the Tribal

Commission, which could enable the Tribe to better cany forth the

policies and intent of this Code.

4.17.6 To work directly, and only with the Business Council with regard to any

Gaming issues.

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

deems necessary to ensure compliance with this Code. In undertaking

such investigations, the Tribal Commission may request the assistance of

Tribal Gaming staff, Federal and local law enforcement officials, legal

counsel and other third parties.

4.17.8 To request the assistance of the Gaming Disputes Court when established,

in conducting Gaming hearings.

4.17.9 To arrange for training of Tribal Commission members and employees in

areas relating to the regulation or operation of Gaming.

4.17.lOUpon prior explicit resolution and approval of the Business Council, to

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

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

and Gaming professionals.

4.17.llTo promulgate rules and regulations, which implement and further the

provisions of this Code; provided such rules andlor regulations are

approved by Business Council resolution or ordinance.

4.17.l2To accept, review, approve or disapprove any Application for a License.

4.17.l3To consult with and make recommendations to the Business Council

regarding changes in Tribal Gaming laws and policies.

4.1 7.1 4To examine under oath, either orally or in writing, in hearings or otherwise

any Person or agent, officer or employee of any Person, or any other

witness with respect to any matters related to this Code, including

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

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

books, records, and papers with respect thereto.

4.17.l5To make, or cause to be made by its agents or employees, an examination

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

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

documents and financial statements of any Gaming operating, or suspected

to be operating, within the jurisdiction of the Tribe.

4.17.l6To delegate to an individual member of the Tribal Commission, or to an

individual member of the Business Council, or Tribal staff, such of its

functions as may be necessary to administer these ordinances efficiently;

provided, that the Tribal Commission may not re-delegate its power to

exercise any of the substantial governmental functions of the Tribe or its

power to promulgate rules and regulations; and provided further that the

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Tribal Commission may not delegate to any Person the power to

permanently revoke a License.

4.17.l7To issue fines and sanctions to the Gaming Facility if it is operating in

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

the State Gaming Agency.

4.17.l8To sue or be sued in courts of competent jurisdiction within the United

States and Canada, subject to Sections 4.6 and 4.7 herein; provided, that

no suit shall be brought by the Tribal Commission without the prior

explicit written approval of the Business Council.

4.17.l9To use the seal of the Tribal Gaming Commission or the seal of the Tribe

with the approval of the Business Council.

4.17.2OTo arbitrate, compromise, negotiate or settle any dispute to which it is a

party relating to the Tribal Commissions authorized activities.

4.17.2lTo exercise the Tribal power to tax, authorized by the Tribal Constitution

in accordance with an Business Council resolution delegating such power

to the Tribal Commission solely for the purpose of allowing it to charge

administrative and License Application fees to Gaming License

Applicants which are reasonably related to the costs of operating the

Commission.

4.17.22To purchase insurance from any stock or mutual company for any

property or against any risk or hazard.

4.17.23With prior approval of the Business Council, to make application and

accept grants and other awards from private and governmental sources in

carrying out or furthering the purposes of the Tribal Commission or the

Tribe.

4.17.24To establish and maintain such bank accounts as may be necessary or

convenient.

4.17.25To require the filing of any records, forms, and reports and all other

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

4.17.26To provide for an internal system of record keeping with adequate

safeguards for preserving confidentiality as deemed necessary by the

Tribal Commission for retaining records, forms and reports at least three

(3) years.

4.17.27To adopt a schedule of fees to be charged for Licenses.

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4.l7.28To adopt a schedule of fees for services rendered relating to transcripts

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

records.

4.17.29To conduct or arrange for background investigations of all Applicants.

4.17.3OTo discipline any Licensee or Person participating in Gaming by ordering

immediate compliance with this Code, and to issue an order of temporary

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

and due process required by Section 4.23 and 4.24 herein.

4.17.3lTo issue an order of temporary closure of a Gaming Facility in the event

the Tribal Commission determines that immediate closure is necessary to

protect assets or interests of the Tribe pursuant to the due process and

hearings required by Section 4.23 and 4.24 herein.

4.17.32To become self-regulating whenever the Tribe becomes eligible for a

certificate of self-regulation under the IGRA.

4.17.33To file with the State Gaming Agency a request to be heard on any denial

of a Determination of Suitability.

4.1 7.34To ask for the assistance of the State Gaming Agency to carry out the

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

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

4.17.35To assist Management in taking all steps necessary and appropriate to

insure the physical safety of all Tribal Gaming Enterprises, their

Licensees, patrons and employees.

4.1 7.36Notwithstanding any authority granted herein, the Tribal Commission

shall endear to follow rules, regulations, standards, specification and

procedures which are consistent with the State Gaming Agencys rules,

regulations, standards, specifications and procedures adopted pursuant to

Sections 6.0- 8.0 of the Compact.

4.17.37To enact and adhere to its own internal controls including a Conflict of

Interest Policy governing Tribal Commissioners and Tribal Gaming

Commission staff.

4.18 Annual Budget. The Tribal Commission shall prepare an annual operating

budget for all Tribal Commission activities and present it to the Business Council

by October 15 of each year.

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4.19 Tribal Commission Regulations.

4.19.1 Tribal Commission regulations necessary to carry out the orderly

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

to, the following:

(1) The Minimum Internal Control Standards (M1CS) as issued by

the NIGC;

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

enforce the Tribal Commissions duties and exercise its powers;

(3) A regulatory system for overseeing Gaming, including accounting,

contracting, management and supervision;

(4) The findings of any reports or other information required by or

necessary to implement this Code; and

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

actions and other powers of the Tribal Commission authorized by

this Code.

4.19.2 No regulation of the Tribal Commission shall be of any force or effect

unless it is adopted by the Tribal Commission by written resolution and

subsequently approved by a resolution of the Business Council and both

resolutions filed for the record in the office of the Tribal Secretary.

4.20 Right of Entrance; Bi-Monthly Inspection. The Tribal Commission and duly

authorized officers and employees of the Tribal Commission, during regular

business hours, may reasonably enter upon any premises of any Licensee or

Gaming Facility for the purpose of making inspections and examining the

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

4.20.1 Aid to Entry The Gaming Facility staff shall facilitate such inspection or

examinations by giving every reasonable aid to the Tribal Commission

and to any properly authorized officer or employee.

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

Commissions staff shall visit each Gaming Facility at least once every

two weeks during normal business hours for the purpose of monitoring its

operation. Such visits shall be unannounced.

4.21 Investigation. The Tribal Commission, upon complaint or upon its own initiative

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

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

any Person or Licensee within its jurisdiction. In conducting such investigation,

21
the Tribal Commission shall make no order or final decisions without affording

any affected party notice and a hearing pursuant to Section 4.23.

4.22 Reserved.

4.23 Due Process; Notice; Hearings; Examiner. The Tribal Commission shall

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

enforcement capabilities in the administration of its powers and duties hereunder.

4.23.1 No Hearing. Voluntary Resolution Whenever it shall appear to the

satisfaction of the Tribal Commission that all of the interested parties

involved in any proposed hearing have agreed concerning the matter at

hand, the Tribal Commission may dismiss the issue without a hearing.

4.23.2 Notice of Hearing The Tribal Commission shall, within five (5) days after

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

with specificity, the issues to be resolved.

4.23.3 Hearing The Tribal Commission shall, within five (5) days after the

notice of hearing pursuant to 4.23.2, provide the affected parties the right

to present oral or written testimony to all people interested therein as

determined by the Tribal Commission.

4.23.4 Examiner The Tribal Commission shall act as examiner for the purpose of

holding any hearing, or the Tribal Commission may appoint a Person

qualified in the law or possessing knowledge or expertise in the subject

matter of the hearing to act as examiner for the purpose of holding any

hearing. Any such appointment shall constitute a delegation to such

examiner of the powers of the Tribal Commission under this Code with

respect to any such hearing.

4.23.5 Decision The Examiner shall render a written opinion within forty-eight

(48) hours of the hearing.

4.23.6 Appeals Affected parties may appeal a Tribal Commission determination

by filing a written appeal to the Gaming Dispute Court within thirty (30)

days of the Tribal Commissions or Examiners final decision.

4.24 Appeals to Gaming Review Board.

4.24.1 Creation of the Gaming Review Board The General Council hereby

establishes the Gaming Review Board, which shall be composed of a Trial

Branch and an Appellate Branch. The Gaming Review Board shall have

jurisdiction over all disputes arising out of or in connection with actions of

the Tribal Gaming Commission or any actions that arise between Tribal

Management and customers pursuant to Section 10.

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4.24.2 Procedures Within Ninety (90) days of the appointment of Judges under

Section 4.24.6 below, the Gaming Review Board shall enact reasonable

rules of procedure, which such rules shall be enacted by the Business

Council (Rules of the Gaming Review Board). At a minimum, these

procedures must provide any claimant in the Gaming Review Board with a

right to a hearing at both the trial and appellate levels, and the rules must

provide each claimant with due process of law under the Tribes

Constitution. In addition, the rules must incorporate and make binding

upon the Judges of the Gaming Review Board a Code of Judicial Ethics,

as that document is from time to time amended.

4.24.3 Governing Law To the extent Tribal law does not otherwise govern a

dispute the Gaming Review Board shall apply relevant provisions of

California or Federal law.

4.24.4 Remedies The Gaming Review Board shall have full jurisdiction and

authority to compel arbitration to enforce any arbitration order or other

dispute resolution mechanism provision.

4.24.5 Findings All findings and orders of the Gaming Review Board shall be in

writing within Ninety (90) days after the dispute is submitted for the

boards consideration.

4.24.6 Appointment of Judges The Business Council shall appoint the Judges

for the Gaming Review Board. The Business Council shall, when

necessity dictates, appoint three (3) Judges for the Gaming Review Board.

Any time the number of judges falls below three, the Business Council

shall, within Thirty (30) days appoint such additional judges as necessary

to restore the number of judges to three. If the Business Council fails to

restore the number ofjudges to three within Thirty (30) days of a vacancy,

the remaining Judges may appoint the judges necessary to restore the

number of Judges to three. All Judges shall be selected with the following

qualifications:

(1) has never been convicted of a felony or any gaming offense;

(2) is not a member of the Business Council;

(3) is of sound mind, trustworthy, and of good moral character;

(4) is able to determine in what cases he or she will be disqualified and

is willing to disqualify himself or herself;

(5) is capable of carrying out the duties of the office, including staff

administration and supervision;

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(6) is willing to commit, upon public oath or affirmation, to uphold

this Code, the Tribal Constitution and to fairly and impartially

adjudicate all matter before the Gaming Review Board;

(7) shall be subject to the same background and Licensing standards as

Commissioners pursuant to Title I, Section 4.10.5 herein;

(8) shall not engage in any Gaming Activity with the Gaming

Enterprise; and

(9) is not employed by the Gaming Enterprise, nor have any

immediate relatives who are employed by the Gaming Enterprise.

4.24.7 Appeals Trial Branch decisions shall only be appealed to the Appellate

Branch. Appeals from any decision of the Trial Branch shall be heard by

the three judges that did not hear the case in the Trial Branch. Decisions

of the Appellate Branch may be appealed to the Tribal Court. There shall

be no right to appeal Appellate Branch decisions to any State or Federal

Court.

4.24.8 Compensation Judges of the Gaming Review Board shall be compensated

by the Business Council in amounts appropriate to the duties and

responsibilities of the office, which compensation shall not be diminished

during a judges continuation in office. The Gaming Review Board shall

have the power to take appropriate action to enforce this subsection.

4.24.9 Recall and Discipline After appointment, Judges of the Gaming Review

Board shall be subject to discipline and removal for cause pursuant to the

Rules of the Gaming Review Board.

4.25 Quarterly Report to the Business Council. The Tribal Commission shall file a

quarterly report to the Business Council summarizing reports received from each

of the Tribes Gaming Facilities and make such comments as it deems necessary

to keep the Business Council fully informed as to the status of the Tribal

Commissions activities.

SECTION 5. GAMING LICENSES

5.1 Applicability.

5.1.1 Every Employee, Key Employee, Primary Management Official, Gaming

Enterprise, and Gaming Facility that aids, participates or is related to

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

Tribal Commission.

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

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

24
period from the Enterprise is required to have a current and valid License

as issued by the Tribal Commission.

5.1.3 Every Person extending financing, directly or indirectly, to the Facility or

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

Tribal Conmiission, provided that any Person extending the financing

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

5.2 Application Procedure.

5.2.1 Submission to Tribal Commission An Applicant seeking a License shall

submit an Application to the Tribal Commission on such form as the

Tribal Commission may require.

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

following notices:

5.2.2.1. Privacy Act

In compliance with the Privacy Act of 1974, the solicitation

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

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

determine the eligibility of individuals to be employed in a

gaming operation. The 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 investigation of activities while

associated with a tribe or a gaming operation. Failure to

consent to the disclosures indicated in this notice will result

in a tribes 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 my result in

errors in processing your application.

5.2.2.2. False Statement

A false statement on any part of your application may be

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

work. Also, you may be punished by fine or imprisonment

(U.S. Code, title 18, section 1001).

25
5.2.3 Submission to State Gaming Agency The Applicant shall also submit an

application for a Determination of Suitability along with required releases

to the State Gaming Agency.

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

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

the following information:

(1) The full name (and other names ever used), address, telephone

number, age, birth date and place, citizenship, gender, and social

security number or business identification number of the

Applicant.

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

(5) years, his previous address; and if the Applicant has been

issued more than one (1) drivers license number within the last

five (5) years, each drivers license number.

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

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

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

will provide.

(4) The names and addresses of the Applicants Immediate Family.

(5) The Applicants criminal and civil record, if any, and an

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

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

contendere.

(6) A disclosure of any judgment rendered against the Applicant.

(7) The names, addresses and telephone numbers of three (3)

references who are not related to the Applicant, including one (1)

personal reference acquainted with the Applicant for the last five

years.

(8) A list of the Applicants previous jobs over the preceding five (5)

years and his present business affiliations.

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

ventures.

(10) The disclosure of whether there is a previous contractual

relationship with an Indian tribe.

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(11) A sworn statement whether the Applicant or any member of his/her

Immediate Family has a past or current financial interest in any

Gaming-related enterprise anywhere.

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

for, whether or not they were granted such license.

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

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

such license.

(14) A statement of all languages written or spoken.

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

Agency and NIGC or its designees the right to the Applicants

background, including his criminal record.

(16) A complete disclosure of any pending or anticipated civil or

criminal action against the Applicant.

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

Applicant will submit to the jurisdiction of the Tribe and the Tribal

Court.

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

Tribal and Federal laws, regulations and policies.

(19) Two (2) photographs of the Applicant taken within the past year.

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

Application is true and correct to the best of Applicants

knowledge.

5.2.5 Business Entities In addition to the relevant information requested in

5.2.4, business entities shall also submit the following:

(1) Each of its officers and directors;

(2) Each of its principle management employees, including any chief

executive officer, chief financial officer, chief operating officer,

and general manager;

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

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

shares of the corporation; and

27
(5) Each person or entity that, alone or in combination with others, has

provided financing in connection with Gaming authorized under

this Compact.

5.3 Review of License Application. The Tribal Commission shall thoroughly review

and conduct a background investigation for each Tribal Gaming License

Application sufficient to make a determination of eligibility as required under this

Code. The Tribal Commissions review and background investigation shall

include, but is not limited to the following:

5.3.1 The Tribal Commission shall enter into an agreement with the Lassen

County Sheriffs Office, located in Lassen County, State of California, to

take the applicants fingerprints. Each applicant shall submit the

completed fingerprint card along with his/her application to the Tribal

Commission.

5.3.2 The Tribal Commission shall review diligently, the information provided

in the Tribal Gaming License Application, including, but not limited to,

contacting and investigating all resources identified in the Tribal Gaming

License Application. An authorized Tribal official, identified by the

Tribal Commission, shall review an Applicants prior activities, criminal

record (if any), reputation, habits, and associations in order to make an

eligibility determination for key employees and primary management

officials.

5.3.3 The Tribal Commission shall provide a written report as to findings and

conclusions of the foregoing background investigation, including, but not

limited to:

5.3.3.1 Steps taken in conducting diligence.

5.3.3.2 Results of the conducted diligence.

5.3.3.3 Conclusions from review of conducted diligence.

5.3.3.4 The basis for those conclusions.

5.3.4 The Tribal Commission shall transmit the Applicants Application, file,

and eligibility determination report to the NIGC and the State Gaming

Agency.

5.3.5 The Tribal Commission shall maintain the Applicants file, including

applications, background investigation reports, and eligibility

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

(3) years from the date of termination of employment.

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

notify the NIGC and forward copies of the Tribal Commissions eligibility

determination report and the investigative report (if any).

5.4 Authorized Entity for Fingerprint Cards. The Tribal Commission shall enter

into an agreement with the Lassen County Sheriffs Office to receive and process

fingerprint cards for background investigation purposes. Such background

investigation shall, at a minimum, include a check of State and local criminal

history records as well as records maintained by the Federal Bureau of

Investigation. The Tribal Commission may also designate the NIGC as its

authorized entity for receiving and processing fingerprint cards for background

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

includes a check of criminal history records information maintained by the

Federal Bureau of Investigation.

5.5 Notification and MOU with NIGC. If the Tribal Commission chooses to utilize

the NIGC pursuant to Section 5.4 above, The Tribal Commission, with consent of

the Tribal Council, shall notify the NIGC of the forwarding of Tribal Gaming

License applications to NIGC. Before obtaining and processing fingerprint cards

for background investigation purposes, the Tribal Commission shall enter into a

Memorandum Of Understanding (MOU) with the NIGC providing that any and

all criminal result obtained from the fingerprint cards for background

investigation purposes shall be viewed by Tribal government officials only.

5.6 Scope and Types of License.

5.6.1 Gaming Employee License Employee Gaming Licenses are for those

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

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

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

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

Management Official or Key Employee from simultaneously performing

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

that the Primary Management Official or Key Employee is performing a

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

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

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

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

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

specifically licensed for those positions.

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

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

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

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

29
in :the Application. These Licenses will not require the same level of

background scrutiny required for Gaming Licenses.

5.6.3 Part-Time or Full-Time Licenses The Employees License shall state

clearly whether the Employee is a part-time or full-time Employee.

5.6.4 Transferring Licenses A Licensee shall apply to have his/her license

transferred to a new location by requesting that transfer in writing to the

Tribal Commission in a manner, which details the new job and location.

5.7 Temporary Licensing. Notwithstanding anything herein to the contrary, if the

Applicant has completed a License Application, the Tribal Commission may

immediately issue a temporary License if:

5.7.1 The Tribal Commission has conducted a preliminary, local, background

investigation; and

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

that the Applicant has a criminal history.

5.7.3 Temporary licenses may last no longer than 90 days.

5.8 License Issuance, Term and Substance.

5.8.1 Issuance Upon completion of the necessary background investigation, and

after the Tribe has complied with the Thirty (30) day NIGC review

requirements found in 25 C.F.R. §558.3 and §558.4, the Tribal

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

If the NIGC objects to an Applicant, the Tribe shall reconsider the

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

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

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

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

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

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

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

license number. It shall also include a photograph of Licensee.

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

Commission, after an adequate review, determines the Application is incomplete

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

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

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

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gaming,. If the foregoing determinations about the Applicant are made, no

management contractor or Tribal gaming operation shall employ the Applicant.

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

the Tribal Commission for a renewal before the License expires. Applicants may

be required to provide updated material as requested.

5.11 Requirement to Produce License Upon Request. Licensees must carry the

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

the License upon the request of any Person.

5.11.1 Proper display shall be the upper left shirt pocket area.

5.12 License Suspension or Revocation of License.

5.12.1 Temporary Suspension or Revocation The Tribal Commission may

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

pursuant to Section 4.23 herein, for any of the following reasons:

(1) The Licensee withheld pertinent information on the Application;

(2) The Licensee made false statements on the Application;

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

any Gaming License or regulatory approvals, and therefore

deemed illegal;

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

Commissioner or other Person, in an attempt to avoid or

circumvent Tribal law;

(5) The Licensee offered something of value to a Tribal Commission

member;

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

Gaming operated in violation of Tribal or Federal law;

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

records which relate to a transaction connected with the operation

of Gaming;

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

Tribal Commission;

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

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

embezzlement.

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

or directive of the Tribal Commission, the Business Council, the

Federal Govenmient or any court of competent jurisdiction;

(11) The Licensee has been convicted of, or entered a plea of nob

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

controlled substances;

5.12.2 Procedure for Suspension

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

Tribal Commission or its designee may either undertake an

investigation of the Licensee, or serve upon such Licensee an order to

show cause why the Licensees License should not be revoked, or why

the Licensee should not be enjoined from conducting Gaming.

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

information indicating that a key employee or primary management

official is not eligible for employment under 25 C.F.R. §558.2, the

Tribal Commission or its designee shall suspend such license and

notify the licensee in writing that his/her license has been suspended

and may be revoked.

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

the time and place for the hearing before the Tribal Commission

pursuant to Section 4.23 herein.

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

why a revocation order or injunction should not be issued.

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

seven (7) days from the date of the notice. The hearing shall be

governed in all respects in accordance with Tribal law and Tribal

Commission regulations. Any suspension decision of the Tribal

Commission after hearing shall be reviewable in the Gaming Disputes

Court pursuant to the requirements of Section 4.23 and 4.24. The

Tribe shall notify NIGC of its decision.

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

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

automatically issue a License if the following threshold criteria are met:

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

a settlement of a claim.

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

IGRA.

5.13.3 The Gaming is authorized by a Business Council resolution.

5.13.4 The Tribe has the sole proprietary interest and the Management Contract

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

Chairman of the NIGC.

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

shall be licensed by the Tribal Gaming Commission.

5.14.1 Facility License shall be issued if the following criteria are met:

(1) The Tribal Commission has determined, based on the reports of

qualified inspectors and a review by the Tribal Commission of all

relevant contracts and operational policies and procedures, including

safety manuals and intergovernmental agreements relating to

environmental protection, health, safety and emergency services, that

the Gaming Facility has been constructed and shall be maintained and

operated in a manner that adequately protects the environment and the

public health and safety.

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

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

(3) The construction, expansion or modification of the Facility shall meet

the standards of the federal American with Disabilities Act pursuant to

Title IV of this Code.

(4) Upon the inspection of the health and safety of the building, and upon

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

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

shall issue to the Facility a Certificate of Occupancy, which shall be

reissued upon similar inspections every two years.

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

shall forward the License to the State Gaming Agency within ten (10) days

of issuance.

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

the Facility at all times.

5.15 State Gaming Agency Licensing.

5.15.1 Except as provided in Sections 5.15.2 and 5.15.3 below, the Tribe will not

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

Agency for a determination of suitability has been denied.

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

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

if:

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

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

antedate the filing of the Persons initial application to the State

Gaming Agency;

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

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

the Tribe prior to the effective date of the Compact.

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

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

if:

(1) The Person is an Enrolled Member of the Tribe;

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

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

antedate the filing of the Persons initial application to the State

Gaming Agency;

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

5.16 Miscellaneous Licensing Provisions.

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

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

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

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5.16.3 The Tribe shall monthly provide the State Gaming Agency with the name,

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

Employees.

SECTION 6. BANK ACCOUNTS AND RECORDKEEPING

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

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

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

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

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

for not less than three (3) years:

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

which Class II and Class III Gaming is conducted.

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

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

bank.

6.2.3 All markers, IOUs, returned checks, hold checks or other similar credit

instruments.

6.2.4 Individual and statistical game records to reflect statistical drop and

statistical win for electronic, computer, or other technologically assisted

games.

6.2.5 Contracts, correspondence and other transaction documents relating to all

Gaming Vendors.

6.2.6 Records of all customer complaints and Tribal Gaming enforcement

activities.

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

its subdivisions.

6.3 Audit Requirements.

6.3.1 The Enterprise shall provide a copy of an annual independent audit to the

Tribal Commission, the Business Council, the State Gaming Agency, and

the National Indian Gaming Commission.

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

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

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

35
audit. Such audit shall be solely limited to a monthly printout from the

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

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

Business Council, State Gaming Agency and the National Indian Gaming

Commission.

6.4 Notices to the Public.

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

inspection by any Person at each Gaming Facility.

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

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

otherwise provide the public with such an explanation.

SECTION 7. GAMING ENTERPRISE RESTRICTIONS AND COMPLIANCE

7.1 Number of Facilities.

7.1.1 The Tribe may establish and operate not more than two Gaming Facilities,

and only on those lands on which Gaming may lawfully be conducted

under IGRA.

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

and kinds of Gaming permitted under the Compact, IGRA and this Code.

7.2 Gaming Device Restrictions.

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

Gaming Devices combined for all Facilities.

7.2.2 Transferability of Devices The Gaming Enterprise, or any Licensee, is

prohibited from selling, renting or lending Gaming Devices to any Person

without prior written approval of the Tribal Commission.

7.2.3 Transportation of Devices Transportation of a Gaming Device to or from

the Gaming Facility within California is permissible only if:

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

Device; and

(2) The Tribal Commission has provided at least ten (10) days notice

to the local County Sheriff, and

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

in California with a Tribal/State Compact; or

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

otherwise legal; or

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

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

Gaming Agency.

7.3 Gaming Device Technical Standards. The technical standards for Gaming

Devices shall adhere to the Gaming Laboratories International, Incorporated

standards.

7.4 Age Restrictions.

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

Gaming Facility, Management Contractor or the Tribal Commission.

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

service of alcoholic beverages at the Gaming Facility.

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

where Gaming is occurring and alcoholic beverages are being consumed.

7.4.4 No Person under the age of Twenty-one (21) shall be permitted to place

any wager, directly or indirectly, in any Gaming Activity.

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

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

a non-gaming area of the Gaming Facility.

7.4 Methods of Payment.

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

Enterprise and only for full value.

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

of consideration shall be allowed unless the Tribal Commission gives prior

written approval.

7.5 Compliance requirements.

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

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

Service.

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

the time prescribed.

7.5.3 The Enterprise shall respond immediately to all inquiries, subpoenas, or

orders of the Tribal Commission, the State Gaming Agency, the Business

Council, or the NIGC.

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

inspection during normal business hours by the Tribal Commission, the

State Gaming Agency, the National Indian Gaming Commission and

members of the Business Council or their designee.

7.6 Miscellaneous.

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

during, and after Gaming.

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

creed in its employment practices related to Gaming.

SECTION 8. ENFORCEMENT

8.1 Jurisdiction. Except as provided in this Code or the Compact, the Tribal

Commission and Tribal Court shall have jurisdiction over all violations of this

Code.

8.2 Prohibited Acts. In addition to other civil and criminal offenses provided for in

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

violator to the civil or criminal penalties specified herein:

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

8.2.2 Knowingly making a false statement in connection with any Contract to

participate in any Gaming Activity.

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

8.2.4 Offering or accepting a loan, financing or other thing of value between a

Tribal Commission member or employee and any Person participating in

any Gaming Activity.

8.2.5 Promoting or participating in any illegal Gaming Activity.

8.2.6 Failing to keep sufficient books and records to substantiate receipts,

disbursements and expenses incurred or paid from any Gaming Activity

authorized pursuant to this Code.

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

with any Gaming Activity pursuant to this Code.

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

Cheating.

8.2.9 Allowing participation in Gaming Activity by or with an intoxicated or

disorderly Player.

8.2.10 Allowing or participating in the sale of liquor when such sale is prohibited

by Tribal law.

8.2.11 Accepting consideration other than money, tokens or chips for

participation in any Gaming Activity.

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

substitute or use any cards, charitable Gaming tickets or Gaming

equipment that has been marked or tampered with.

8.2.13 Employing or possessing any cheating device or to facilitate cheating in

any Gaming Activity.

8.2.14 Willfully using any fraudulent scheme or technique to change the odds of

any game of chance.

8.2.15 Soliciting, directly or indirectly, or using inside information on the nature

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

8.2.16 Tampering with a Gaming Device, attempting to conspire to manipulate

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

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

8.2.17 Alter or counterfeiting a Gaming license.

8.2.18 Aiding, abetting, or conspiring with another Person knowingly or

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

any rules and regulations adopted hereunder.

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

Device, apparatus, material or equipment.

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

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

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8.2.2 1 Assisting or allowing a Person who is under the age of Twenty-one (21) to

participate in a Gaming activity.

8.2.22 Possessing any illegal narcotics or controlled substances on any licensed

Gaming site.

8.2.23 Stealing or attempting to steal funds or other items of value from any

Gaming Facility or from the Tribal Commission.

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

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

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

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

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

Section 4.23 herein. If such Indian is found to be guilty of a crime, he may be

required to pay a fine not to exceed Five Thousand Dollars ($5,000) or be

incarcerated for not to exceed two (2) years. Each day during which any such

violation or failure to comply continues shall constitute a separate violation of this

Code.

8.4 Civil Violation. Any non-Indian who violates or fails to comply with any

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

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

Section 4.23 herein. If the non-Indian is found liable, he may pay a civil fine not

to exceed Five Thousand Dollars ($5,000) for each violation thereof. Each day

during which any such violation or failure to comply continues shall constitute a

separate violation of this Code. The amount of any such civil fine may be

recovered in a civil action in the Tribal Court.

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

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

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

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

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

8.6 Purpose of Civil Penalties. The civil fines imposed under this Code are intended

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

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

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

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

all people into complying with this Code and Tribal Commission regulations and

not to punish such people for violation of such laws and regulations.

8.7 Civil Action for Penalties. In enforcing the civil infraction provisions of this

Code, the Tribal Commission shall proceed, in the name of the Tribe, against a

40
Person for violation of such provision by civil complaint in the Gaming Disputes

Court pursuant to the provisions of this Code. The Tribal Commission in such

action shall have the burden of showing, by the preponderance of the evidence,

that such Person violated the applicable provision of this Code.

8.8 Seizure and Forfeiture of Property. Property utilized in violation of this Code

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

pursuant to such procedures and rules as the Tribal Commission shall promulgate.

8.9 Reporting of Offenders. The Tribal Commission, upon final conviction of any

Person under this subsection, shall report the name of the Person convicted to the

Business Council , State Gaming Board and NIGC.

SECTION 9. GAMING MANAGEMENT

9.1 Management by a Management Contractor.

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

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

Gaming Enterprise. The General Manager appointed shall undergo a

background check by the Tribal Commission and shall obtain a License

before commencing work.

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

Facility in accordance with the limitations defined in Section 2.30.

9.1.3 The General Manager shall present a written monthly report to the Tribal

Commission which estimates the number of patrons served, the amount of

income generated, the numbers of employees working at the

establishment, a detailed description of any patron complaints and other

problems experienced at the establishment, a written statement of any

changes in Primary Management Officials and all bills which are thirty

(30) days or more past due.

9.2 Rules and Regulations for Management. The Tribal Commission shall, with

the input and suggestions of Primary Management Officials, promulgate rules and

regulations or specifications governing the following subjects:

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

Operation and the Facility;

9.2.2 Ensuring the physical safety of Enterprise patrons and Employees;

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

Gaming Facility;

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9.2.4 The prevention of illegal activity from occurring within the Gaming

Facility including employee procedures and surveillance;

9.2.5 The recording of occurrences that deviate from normal operating policies

including the following procedure for reporting incidents:

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

immateriality;

(2) Require the assignment of a sequential number to each report;

(3) Provide for permanent reporting in indelible ink in a bound

notebook;

(4) Require that each report include the following:

(i) The record number.

(ii) The date.

(iii) The time.

(iv) The location of the incident.

(v) A detailed description of the incident.

(vi) The persons involved in the incident.

(vii) The security personnel assigned to the incident.

9.2.6 The establishment of employee procedures designed to permit detection of

any irregularities, theft, cheating, fraud, or the like;

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

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

subdivision 8.4.1(d) of the Compact, no State Gaming Agency regulation

shall be effective with respect to the Tribes Gaming Operation unless it

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

an opportunity to review and comment on the proposed regulations.

9.3 Insurance Requirements. Pursuant to the Tribal/State Compact, the Gaming

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

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

accident.

9.4 IRS Requirements. The General Manager shall be responsible for seeing that

Gaming Activity is managed in accordance with Tribal and Federal law and that

such Gaming Activity complies with all IRS reporting requirements.

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9.5 Audit Requirements.

9.5.1 Annual Enterprise Audit The Tribal Commission and the General

Manager of the Enterprise shall obtain an annual independent audit of

such Enterprise by a certified public accountant using the accounting

standards for audits of casinos of the American Institute of Certified

Public Accountants.

9.5.2 Contract Audits Each contract between the Management Contractor and

another Person for supplies, services (other than legal and accounting

services) or concessions for a contract amount in excess of Twenty-five

Thousand Dollars ($25,000) annually shall be subject to an independent

audit. For the purposes of the previous sentence, the term services does

not include contracts the purpose of which is to extend financing to the

Management Contractor, the Tribe, or the Enterprise.

9.5.3 Copies A copy of all such audits shall be provided to the Tribal

Commission, the Business Council, State Gaming Agency and the NIGC.

9.6 Annual Reports from Management Contractor. Management Contractors

must file an annual report with the Tribal Commission and the Business Council

between the 15th and the last day of the 12th month duration of each such License

period. The report include, at a minimum, the following information:

9.6.1 The name, address and telephone number of the Licensee;

9.6.2 The names, addresses and titles of all of its current managers of the

Licensee;

9.6.3 A description of the Gaming operated and Gross Revenue;

9.6.4 The name and address of the Person who will be designated as Primary

Management Official, or new Key Employees over the next License Term;

9.6.5 Written proof that the Licensee has paid to the National Indian Gaming

Commission such fees as Federal and Tribal law may require it to pay;

9.6.6 A sworn statement that the Licensee has complied with the IRS including

written notice of customer winning;

9.6.7 The number of full-time equivalent people, on an annualized basis,

employed by the operation during the past twelve (12) months, together

with a projection of the number of full-time equivalent people who are

expected to be employed during the next license period;

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9.6.8 A sworn statement that the Licensee will continue to comply with all

Tribal and Federal laws applicable to Gaming;

9.6.9 The name, address and signature of the agent who will accept service of

process on behalf of the Licensee, who must reside on the Reservation;

and

9.6.10 If the Licensee is a corporation, a copy of any amendment to its articles of

incorporation, properly certified by the incorporating government, unless a

current copy has already been filed with the Tribal Commission.

9.7 Management Contracts.

9.7.1 Each Management Contract is subject to the prior approval of the National

Indian Gaming Commission.

9.7.2 Each Management Contract shall be approved by the Business Council. In

making its selection, the Business Council shall review the following:

(1) Background information on the proposed Management Contractor

including: its name, its address, the names and addresses of each

Person or entity having a direct financial interest or management

responsibility for the proposed management contractor, and in the

case of a corporation the names and addresses of each member of

its board of directors and all stockholders who hold directly or

indirectly ten percent (10%) or more of its issued or outstanding

stock.

(2) A description of any previous experience that each Person listed in

subsection above has had with other Gaming contracts with Indian

Tribes or with the Gaming industry generally, including the name

and address of any tribal government or licensing agency with

which such Person has had a contract relating to Gaming.

(3) A complete financial statement of each Person listed in subsection

9.7.2(1).

(4) The Business Council shall undertake any additional steps it can to

determine the character and reputation of each proposed

management contractor.

(5) If the Business Council, after reviewing the above described

information, still desires to enter into a management contract with

the proposed management contractor, such management contract

shall be placed in writing and submitted to legal counsel for review

before the Business Council approves it.

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9.7.3 Any Management Contract approved by the Business Council must

contain at a minimum the following with respect to the Gaming Enterprise

to which the contract is applicable:

(1) A provision requiring a monthly financial accounting of the

Gaming Enterprises income and expenses. Such reports shall be

prepared by an independent auditor who is mutually acceptable to

the Tribe and the Management Contractor.

(2) A provision guaranteeing the Tribe a minimum guaranteed

payment that shall always take precedence over the Management

Contractors right to recoup development and construction costs.

(3) An agreed upon ceiling for the Management Contractors

development and construction costs.

(4) A provision that the contract shall not exceed seven (7) years or

40% of Net Revenues.

(5) A provision for termination of the contract and the grounds for

termination.

9.7.4 If the Business Council is satisfied with the information it receives it shall

submit its proposed contract along with all of the above-described

information to the Tribal Commission, State Gaming Agency and to the

Chairman of the National Indian Gaming Commission for Licensure

approval.

SECTION 10. PROCEDURES FOR RESOLVING DISPUTES BETWEEN THE

GAMING PUBLIC AND GAMING MANAGEMENT

10.1 General Principles. The Tribe values its customers and intends, at all times, to

see that questions, concerns, issues, andlor disputes raised by the gaming public

are addressed in a fair and orderly manner. However, nothing in these procedures

shall be construed as a waiver of the Tribes sovereign immunity, or any of the

rights and privileges attendant thereto.

10.2 Initial Dispute Resolution Procedure.

10.2.1 Members of the gaming public who, in the course of their otherwise

lawful and proper use of the Tribes gaming facilities, have questions or

concerns about the condition or operation of any part of the gaming

facilities, or who otherwise believe themselves to be aggrieved by some

aspect of the condition or operation of any part of the gaming facilities,

shall direct their questions, concerns, or disputes (hereinafter collectively

45
disputes) in the first instance to gaming management at the gaming

facility, either orally or in writing.

10.2.2 Concerns or disputes shall be raised as soon as reasonably possible after

the events giving rise to the dispute occur; however, no dispute may be

raised more than 10 calendar days after said events take place.

10.2.3 Gaming management shall develop formal administrative procedures for

the processing of patron complaints and disputes, such procedures shall be

finalized only after Tribal Council review and approval. The final

procedures shall include the following minimum requirements.

(1) Upon learning about a dispute, gaming management shall

expediently and informally gather sufficient facts to make an initial

determination about the dispute (i.e. whether the dispute has any

merit, whether further investigation is required, whether to take

any corrective action, etc.).

(2) Gaming management shall conduct an investigation, if appropriate

and inform the complainant, either orally or in writing, about its

initial determination as soon as is reasonably practicable. At that

time, if the complainant indicates that he or she has additional

concerns or is not satisfied, gaming management shall schedule an

informal hearing, if practical and appropriate, and thereafter inform

the complainant of its final determination and inform the

complainant that if they are dissatisfied with the final

determination they may request a review of the initial

determination by the Tribal Commission.

10.3 Formal Dispute Resolution Procedure.

1 0.3.1 Complainants who have followed the initial dispute resolution procedure,

and who are unsatisfied with gaming managements initial determination,

may request a review of the initial determination by the Tribal

Commission in writing no later than 5 days after being informed about the

initial determination.

10.3.2 The Tribal Commission may review the initial determination and

investigate the dispute in any manner it chooses. The Tribal Commission,

if it accepts to review the initial determination, may offer the complainant

a fair opportunity to be heard in person or through counsel about the

dispute, either before or after the Tribal Commission makes its own

inquiries. The complainants opportunity to be heard, if granted, shall take

place within thirty (30) days after the Commission receives the

complainants written request.

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10.3.3 After reviewing andlor investigating (if the Tribal Commission chooses),

and within thirty (30) days after affording the complainant an opportunity

to be heard (if the Tribal Commission chooses), the Tribal Commission

shall issue a written opinion on the complainants written request for

review, and shall mail a copy of the opinion to the complainant at his/her

last known address. The decision of the Tribal Commission is final.

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TITLE II

REGULATION OF THE ENVIRONMENT

FOR CLASS III GAMING

SECTION 1. INTRODUCTION

1.1 Title. This Title shall be known as THE SUSANVILLE INDIAN RANCHERIA

CALIFORNIA ENVIRONMENT OFF-RESERVATION IMPACT CODE.

1.2 Authority. This Title is enacted pursuant to the inherent sovereign powers of the

Tribe pursuant to Article VI of the Constitution, and pursuant to the powers of the

Business Council pursuant to Article VI, Section 2.a, of the Constitution.

1.3 Purpose. The basic purposes of this Code are to:

1.3.1 Inform Inform the Tribe and the public about the potential significant offreservation environmental impacts of any (1) expansion or significant

renovation or modification of an existing Tribal Gaming Facility andlor

(2) significant excavation, construction, or development associated with a

Tribal Gaming Facility or proposed Tribal Gaming Facility.

1.3.2 Identify Identify ways that environmental impacts of the aforementioned

activities can be avoided or significantly reduced through the use of

reasonable alternative or mitigation measures such as changes in the

construction plans.

1.3.3 Disclosure Disclose to the public the reasons why the Business Council

approved a Gaming Facility construction plan if significant off-reservation

environmental impacts are likely to occur.

1.4 Scope or Coverage of This Ordinance. This ordinance shall apply solely to

studies of and decisions related to the potential off-reservation impacts of any:

1.4.1 Expansion or significant renovation or modification of an existing Tribal

Gaming Facility; and

1.4.2 Significant excavation, construction, or development associated with a

Tribal Gaming Facility or proposed Tribal Gaming Facility.

1.5 Repeal of Prior Laws, and Effect of Repeal. All titles, chapters and sections of

the Tribal Code which pertain to the environment and are in effect as of the date

that this Code becomes operative, are hereby repealed as to Gaming Activities

only, and all other laws, or parts thereof, inconsistent with the provisions of this

48
Code with regard to Gaming Activities are hereby repealed.

1.6 Construction. In construing the provisions of this Code, unless the context

otherwise requires, the following shall apply:

1 .6.1 This Code shall be liberally construed to effect its purpose and to promote

substantial justice.

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

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

number include the singular.

1.6.4 Words of the masculine gender or neuter include masculine and feminine

genders and the neuter.

1.7 Severability. If any section of this Code is invalidated by a court of competent

jurisdiction, the remaining sections shall not be affected thereby.

1.8 Effective Date. This Code shall be effective upon certification by the Business

Council under the Tribal Constitution.

SECTION 2. DEFINITIONS

2.1 Cumulative Impacts means two or more individual effects which, when

considered together, are considerable or which compound or increase other

environmental impacts.

2.2 Environmental Assessment means an initial study of the environmental

impacts of a proposed Project.

2.3 Environmental Reports means any environmental assessment, environmental

report, or environmental statement, as the case may be.

2.4 Impact means the direct or primary environmental effects which are caused by

the Project and occur at the same time and place.

2.5 Mitigation means avoiding an impact altogether by not taking a certain action

or parts of an action; minimizing impacts by limiting the degree or magnitude of

the action and its implementation; rectifying the impact by repairing,

rehabilitating or restoring the impacted environment; reducing or eliminating the

impact over time by preservation and maintenance operations during the life of

the action; compensating for the impact by replacing or providing substitute

resources or environments.

49
2.6 Project means any: (1) expansion or significant renovation or modification of

an existing Tribal Gaming Facility and/or (2) significant excavation, construction,

or development associated with a the Tribes Gaming Facility or proposed Tribal

Gaming Facility.

SECTION 3. BASIC REQUIREMENTS

3.1 Environment Assessment or Finding of No Significant Impact. Before

commencing any expansion or significant renovation or modification of an

existing Tribal Gaming Facility, or any significant excavation, construction, or

development associated with a Tribal Gaming Facility or proposed Tribal Gaming

Facility, the Tribe shall require the development of an Environmental Assessment

which the Business Council shall use to determine if there is substantial evidence

that the proposed Project will have a significant off-reservation environmental

impact. If the Business Council finds that it will not, it shall follow the

procedures detailed in this Code for the issuance of a Finding of No Significant

Impact (FONS1).

3.2 Off-Reservation Impact. If, however, the Business Council finds that there is

substantial evidence that the proposed Project will have a significant offreservation environmental impact, defined as a substantial adverse impact in the

physical conditions of the off-reservation areas as they existed at the time of the

study, the Business Council shall follow the procedures detailed in this Code for

the preparation of an Environmental Report (ER).

3.3 Response to Adverse Findings. When an Environmental Assessment shows that

an expansion or significant renovation or modification of an exiting Tribal

Gaming Facility or any significant excavation, construction, or development

associated with a Tribal Gaming Facility or proposed Tribal Gaming Facility

would cause substantial adverse changes in the off-reservation environment, the

Business Council shall respond to the finding by one or more of the following

methods:

3.3.1 Change the proposed Project.

3.3.2 Impose conditions on the approval of the Project.

3.3.3. Adopt plans or ordinances to control the adverse impact.

3.3.4. Choose an alternative way to meet the same need.

3.3.5. Disapprove the Project.

3.3.6. Find that changes in or alternatives to the Project are not feasible.

50
3.3.7. Find that the unavoidable, significant environmental damage is acceptable,

because the Tribes economic, legal, social, technological or other benefits

of the proposed Project outweigh its unavoidable off-reservation

environmental impacts.

SECTION 4. POLICIES GOVERNING ENVIRONMENTAL ASSESSMENTS AND

REPORTS

It shall be the policy of the Tribe that:

4.1 Review of Off-Reservation Impacts. These studies shall serve not only to

protect the environment but also to demonstrate to the off-reservation community

that it is being protected and that the Tribe has, in fact, analyzed and considered

the off-reservation impacts of its actions.

4.2 Notice to Public. These studies shall inform the Tribal and local governments

and the public of the anticipated off-reservation environmental impacts of the

Project.

4.3 Decision-Making. These studies shall allow the Tribal government to make

decisions regarding these proposed Projects with the off-reservation

environmental consequences in mind.

4.4 No Delay of Projects. These studies shall be undertaken in a manner which is

designed to allow the Tribe to make informed and balanced decisions, not to

prevent, delay or preclude the advancement of Gaming.

4.5 Off-Reservation Influence. These studies shall be prepared early enough to

allow off-reservation environmental concerns to influence the Projects design

and construction, yet late enough to allow for a real and honest assessment of the

Projects off-reservation environmental impact.

4.6 Tribal/Federal Cooperation. These studies shall be prepared in a manner which

eliminates duplication of federal efforts by providing for joint Tribal/federal

preparation of environmental documents.

4.7 Simple Writing. These studies shall be analytic, rather than lengthy, and shall be

written in plain language. They shall also mention, only briefly, issues other than

significant off-reservation environmental impacts in the Environmental Report

text.

4.8 Weighing Negative Projects. The Tribe shall give serious consideration to

preventing off-reservation environmental damage and should not approve a

Project as proposed if there are feasible alternatives or mitigation measures

available that would substantially lesson any significant adverse off-reservation

impacts that the Project would create. In deciding whether to approve a Project

51
that has negative off-reservation economic impact, the Tribe shall consider the

specific economic, environmental, legal social and technological factors involved.

4.9 Public Comment. The Tribe shall assure adequate opportunity and time for

public review and comment on all Environmental Assessments, an Environmental

Report, and a Finding of No Significant Impact, and it shall review, evaluate and

respond to comments received on each of these environmental studies.

4.10 Approving Projects. The Tribe may approve a Project which would cause

significant effect on the off-reservation environment if it finds that:

4.10.1 There is no feasible way to lesson or avoid the significant off-reservation

environmental impact.

4.10.2 The specifically identified expected benefits of the Project outweigh the

policy of reducing or avoid significant off-reservation environmental

impacts of the Project.

4.11 Assignment of Responsibilities. Where a Project is under the requirements of

the National Environmental Protection Act, the Business Council may delegate

the responsibilities assigned to it under this Code in whole or in part to the United

States government agency which is serving as the lead agency on the NEPA

review. Provided, however, that the Business Council asks that federal agency to

study andrender findings on the off-reservation impact of the Project and perform

the local consultation required by this Code.

4.12 Time. The Tribe shall allow adequate time to review an Environmental

Assessment or ENVIRONMENTAL REPORT for completeness. Acceptance of

an Environmental Assessment or ENVIRONMENTAL REPORT as complete

shall not prohibit the Tribe from requiring additional information during its

review of the findings.

4.13 Consultation. The Tribe shall make an effort to consult with the planning and

design team on the potential off-reservation environmental impacts of any such

Project during the planning and design stage.

SECTION 5. INITIAL ENVIRONMENTAL ASSESSMENT REQUIRED

5.1 Applicability. When the Tribe commences any expansion or significant

modification of an existing Tribal Gaming Facility or any significant excavation,

construction or development associated with a new or proposed Tribal Gaming

Facility, the Business Council shall require an initial Environmental Assessment

to determine if the Project may have a significant effect on the environment. This

initial study may rely on expert opinion supported by facts, technical studies or

other substantial evidence to documents its findings.

52
5.2 Process for Significant Effects. If, when reviewing this Environment

Assessment, the Business Council determines that there is substantial evidence

that any aspect of the Project, either individually or cumulatively, may cause a

significant effect on the off-reservation environment, regardless of whether the

overall effect of the Project is adverse or beneficial, it shall do one of the

following:

5.2.1. Require an expanded Environmental Assessment,

5.2.2. Require the preparation of an Environmental Report, or

5.2.3. Use a previously prepared Environmental Assessment or Environmental

Report, which it determines would adequately analyze the Project at hand

or require an expanded study of one or more aspects of the proposed

Project.

5.3 Purposes of Environmental Assessments. The purpose of an Environmental

Assessment shall be for, but not limited to, the following:

5.3.1 To assist the Tribe in determining when a Finding of No Significant

Impact is appropriate.

5.3.2 To enable the Tribe to modify or amend the Project to minimize the offreservation impact.

5.3.3 To focus attention on those off-reservation impacts that are significant and

identify those off off-reservation environmental impacts that are not

significant.

5.3.4 To explain the reasons for determining that potentially significant offreservation environmental impacts would not be significant.

5.3.5 To eliminate the need for unnecessary Environmental Impact Studies.

5.4 Substance of Environmental Assessments. The substance of an Environmental

Assessment shall contain, at a minimum, but not limited to, the following:

5.4.1 A description of the Project, including its location.

5.4.2 An identification of the environmental setting surrounding the Project.

5.4.3 A listing or chart of environmental impacts covered by the study, along

with a narrative report that discusses those impacts.

5.4.4 A discussion of the ways that negative off-reservation impacts can, or

have been, addressed.

53
5.4.5 An examination of how the Project fits into local land use patterns.

5.4.6 The name of the person or persons who prepared the report.

SECTION 6. BUSINESS COUNCIL REVIEW OF AN ENVIRONMENTAL

ASSESSMENT

6.1 Review. Following the completion of an Environmental Assessment, the

Business Council shall review its findings and determine whether the entire

record, including that study, justifies the issuance of a proposed Finding of No

Significant Impact or the development of an expanded Environmental Assessment

or an Environmental Report. In so doing, the Business Council shall utilize the

criteria set forth in Sections 7 through 9 below.

6.2 Expanded Environmental Assessments. The Business Council shall call for the

production of an expanded Environmental Assessment when it determines that the

proposed Project will have an impact on the off-reservation environment, but such

impact is limited enough that it can be addressed in a shorter more concise study.

6.3 Limited Environmental Assessments. The Tribe may require an ER on only

those aspects of the Project that present a significant adverse impact offreservation.

6.4 Urban and Rural Distinctions. A determination of whether a Project may have

a significant off-reservation impact on the environment calls for careful judgment

on the part of the Business Council, based to the extent possible on scientific and

factual data. An impact that may not be significant in an urban area may be

significant in a rural area.

6.5 Mitigating Effects. If the Tribe determines that a Project will have offreservation impacts, but this impact is mitigated to the point that the impact is no

longer significant and the whole record taken together shows no significant

impact, a FONSI shall be issued.

6.6 Evidentiary Requirements. The existence of a public controversy over the offreservation impact will not require an ER, if the evidence in the report does not

show that significant impact. Substantial evidence shall not be found from

opinion or narrative but only from facts, reasonable assumptions predicted on

facts and expert opinions supported by facts.

6.7 Archeological or Historical Resource. A Project which alters, in an advanced

manner, those physical characteristics of an Archeological or Historical Resource

(those listed in or eligible for listing in the California Register of Historical

Resources or which are otherwise of historical significance) shall require

mitigation.

54
6.8 Biological Species. A Project which endangers the overall health of a biological

species shall require mitigation.

SECTION 7. FINDINGS OF NO SIGNIFICANT IMPACT (FONSI)

The Business Council shall issue a proposed FONSI when:

7.1 It finds that in view of the entire records before it, including the Environmental

Assessment, there is no substantial evidence that the Project will have a

significant impact on the off-reservation environment.

7.2 The mitigation steps agreed to by the developer clearly mitigate the offreservation impacts to the point that no significant impacts would occur.

7.3 The Project, as modified, would have no significant impacts on the off-reservation

environment.

SECTION 8. FONSI ELEMENTS

8.1 A brief description of the Project.

8.2 The Projects location, preferably shown on a map.

8.3 A proposed finding that the Project will not have a significant effect on the offreservation equipment.

8.4 An attached copy of the Environmental Assessment.

8.5 A description of mitigation measures taken.

SECTION 9. PROCEDURE FOR APPROVAL OF A FONSI

9.1 Notice. If the Business Council determines that it is prepared to approve a

FONSI, it shall prepare a notice which includes each of the following items and

forward that notice to the Clearinghouse of the State Office of Planning and

Research, the Board of Supervisors and the County Clerk of the county in which

the Project will be located.

9.2 Contents of Notice. This notice required under Section 9.1 shall contain, at a

minimum:

9.2.1 Identification of the Project and a brief description of it.

9.2.2 The date on which the Business Council approved the Project.

55
9.2.3 A determination by the Business Council that the Project will not have a

significant effect on the off-reservation environment.

9.2.4 A statement that a FONSI has been prepared pursuant to this ordinance.

9.2.5 The address where a copy of the FONSI may be examined.

SECTION 10. DECISION TO PREPARE AN ENVIRONMENTAL REPORT

10.1 An Environmental Report shall be prepared when the Business Council finds that

there is substantial evidence that the proposed Project will have a substantial

impact on the off-reservation environment.

SECTION 11. DETERMINING THE SCOPE OF THE ENVIRONMENTAL REPORT

11.1 Consultation with State and Local Agencies. Before determining when to

commence an Environmental Report, the Business Council shall arrange for

consultation with state and local agencies, including the Board of Supervisors of

the county in which the Project will be located, that have an interest in the specific

environmental concerns raised by the Project and seek to have input on the nature

and scope of the Environmental Report. Nothing herein shall require the Business

Council to provide these agencies with more than 30 days to submit the

Environmental Report concerns.

11.2 Consultation with Other Persons or Organizations. Prior to completing the

Environmental Report, the Business Council may arrange for consultation with

any person or organization believed to be concerned with the off-reservation

environmental impact of the proposed Project. Any person may submit

information or comments to the Business Council to assist it in preparing and

evaluating the Environmental Report.

SECTION 12. CONDUCTING AND PREPARING THE ENVIRONMENTAL REPORT

12.1 The Business Council may arrange for the Environmental Report to be prepared

by its staff, enter a contract with a third party to prepare the study, accept an

Environmental Report prepared by the federal government or an Environmental

Report prepared by the state on the Project. In determining the scope of an

Environmental Report, the Business Council shall meet with and consider the

views of the Board of Supervisors of the county in which the Project is to be

located. It may also use a previously prepared Environmental Report.

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SECTION 13. PREPARATION AND CERTIFICATION OF ENVIRONMENTAL

REPORT

13.1 The Business Council shall prepare or arrange to have prepared an Environmental

Report, which shall be circulated for public comment before the Project is

approved.

13.2 Contents of Environmental Report. The Environmental Report shall contain:

13.2.1 The Environmental Report and all revisions made to it.

13.2.2 A summary of the comments and recommendations received on the

proposed draft.

13.2.3 A list of persons and organizations wishing to commenting on the draft.

13.2.4 The response of the Business Council to those comments.

13.2.5 Any additional information the Business Council deems relevant.

13.3 Notice of the Final Environmental Report.

13.3.1 Notice of Completion The Business Council shall provide notice of

completion of the Environmental Report of the public, the State

Clearinghouse Office of Planning and Research, and the Board of

Supervisors and County Clerk of the county in which the Project will be

located. The notice to the County Clerk shall ask the clerk to post that

notice in the county office within 24 hours of receipt and keep it posted for

a minimum of 20 days.

13.3.2 Contents of Notice This notice shall contain, at a minimum:

(1) A brief description of the Project.

(2) Starting and ending dates for the receipt of public comments and

information on where and how those comments can be submitted.

(3) The date, time and place of any scheduled public meetings or

hearings to be held by the Tribe on the proposed Project.

(4) The address or addresses where copies of the final Environmental

Report can be viewed and/or obtained.

(5) All comment periods shall be for a minimum of 20 days.

57
SECTION 14. BUSINESS COUNCIL FINDINGS FOLLOWING A FINAL

ENVIRONMENTAL REPORT

After reviewing the public comments received on a final Business Council certified

Environmental Report, the Business Council shall issue one or more of the following

findings:

14.1 That changes and alterations have been required in or incorporated into the

Project which avoid or substantially lessen the significant environmental effect as

identified in the Environmental Report.

14.2 Such changes or alterations are within the responsibility or jurisdiction of an

entity other than the Tribe, and the Tribe recommends that they be made.

14.3 Specific economic, legal, social, technological or other considerations, including

provision of employment opportunities for highly trained workers, make

infeasible the mitigation measures or Project alternatives identified in the final

Environmental Report.

SECTION 15. NOTICE OF DETERMINATION

15.1 Upon final review and approval of the Project, the Business Council shall publish

a notice in a newspaper of general circulation, with the State clearinghouse Office

of Planning and Research, and with the Board of Supervisors and County Clerk of

the county in which the Project will be located, a notice of approval or rejection of

the Project. That notice shall contain at a minimum:

15.1.1 The name and description of the Project and its locations.

15.1.2 The date upon which the Business Council approved the Project.

15.1.3 The determination of the Business Council that the Project will or will not

have a significant effect on the off-reservation environment. If it will have

such an effect, this notice shall be accompanied by a statement of

overriding considerations which shall state that the Projects economic,

legal, social, technological or other benefits override the unavoidable

environmental risks associated with the Project.

15.1.4 A statement that the Environmental Report was prepared.

15.1.5 A description of the mitigation measures required.

15.1.6 The address where a copy of the final Environmental Report can be

examined.

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SECTION 16. LIMITED WAIVER FOR ACTIONS IN GAMING DISPUTES COURT

With the passage of this Code, the Business Council expressly waives its immunity from

suit to allow actions by a Management Contractor to bring disputes with respect to

Business Council determinations made under this Title. Such disputes shall be brought

solely under the Gaming Review Board under Title I, Section 4.24 of this Code.

59
TITLE III

ADOPTION OF FEDERAL OCCUPATIONAL SAFETY AND

HEALTH STANDARDS FOR

THE CLASS III GAMING FACILITY

The adoption of 29 C.F.R. part 1910 Occupational Safety and Health Standards and part 1926

Safety and Health Regulations for Construction, together will serve to regulate the safety and

inspection of retail sale, wholesale/commercial and light industrial labor practices, along with the

standard of tribal labor force protections from hazardous workforce environments and exposure

to potential contaminants within each of these areas, establishment of contract work hours and

other labor safety standards as deemed necessary by the tribal government, along with the

enforcement of these codes including the setting of penalties.

SECTION 1. ADOPTION BY REFERENCE

1.1 Findings. The SUSANVILLE 1~NDIAN RANCHERTA CALIFORNIA (Tribe

or Tribal) finds that:

1.1.1 A certain document, three copies of which are on file in the office of the

Tribal Secretary, being marked and designated as 29 C.F.R. part 1910

Occupational Safety and Health Standards and part 1926 Safety and

Health Regulations for Construction, published by the U.S. Department of

Labor, Occupational Safety and Health Administration, is hereby adopted

as the Tribal OSHA Standards, for regulating the safety and inspection of

retail sale, wholesale/commercial and light industrial labor practices, along

with the standard of tribal labor force protections from hazardous

workforce environments and exposure to potential contaminants within

each of these areas, establishment of contract work hours and other labor

safety standards as deemed necessary by the tribal government, along with

provisions for submission of labor contracts, building plans and hazardous

activity permits for tribal government approval, collection of fees, and

enforcement of these codes including the setting of penalties, where

necessary.

1.2 Inconsistent Codes Repealed. All articles, titles, chapters, or other codes or

portions thereof, in conflict herewith are hereby repealed in that respect only.

1.3 Certification of Adoption and Publishing. The Tribal Secretary shall certify the

adoption of this Tribal Ordinance and cause the same to be published as required

by law.

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1.4 Effective Date. This Tribal Ordinance and the rules, regulations, provisions,

requirements, orders, and matters established and adopted hereby shall take effect

and be in full force and effect from and after the date of its final passage and

approval.

61
TITLE IV

ADOPTION OF AMERICANS WITH DISABILITIES ACT

STANDARDS FOR CLASS III GAMING FACILITY

The adoption of 28 C.F.R. part 35, the Nondiscrimination on the Basis of Disability in State and

Local Government Services, will serve to effectuate subtitle A of Title II of the Americans with

Disabilities Act of 1990 (104 Stat. 327, Pub. L. 101-336, as amended), which prohibits

discrimination on the basis of disability by public entities.

SECTION 1. ADOPTION BY REFERENCE

1.1 Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA (Tribe

or Tribal) finds that:

.1.1 A certain document, three copies of which are on file in the office of the

Tribal Secretary, being marked and designated as 28 C.F.R. part 35

Nondiscrimination on the Basis of Disability in State and Local

Government Services, is hereby adopted as the Tribal ADA Standards,

which prohibits discrimination on the basis of handicap in tribally assisted

programs and activities.

1.2 Inconsistent Codes Repealed. All articles, titles, chapters, or other codes or

portions thereof, in conflict herewith are hereby repealed in that respect only.

1.4 Certification of Adoption and Publishing. The Tribal Secretary shall certify the

adoption of this Tribal Ordinance and cause the same to be published as required

by law.

1.5 Effective Date. This Tribal Ordinance and the rules, regulations, provisions,

requirements, orders, and matters established and adopted hereby shall take effect

and be in full force and effect from and after the date of its final passage and

approval.

62
TITLE V

ADOPTION OF THE FDA 1999 FOOD CODE FOR

A CLASS III GAMING FACILITY

The adoption of the 1999 edition of the Food Code regulating the retail sale, commercial and

institutional service, and vending of food; defining permit holder, person in charge, employee,

food, potentially hazardous food, food establishment, safe material, sanitation, and other terms;

and providing standards for employee food safety knowledge, health, and practices; food

sources, preparation, holding temperatures, and protection; equipment design, construction,

installation, cleaning, and sanitation; water, and liquid and solid wastes; facilities construction

and maintenance, and storage and use of poisonous and toxic materials; requiring a permit to

operate a food establishment; and providing for the restriction or exclusion of employees, the

examination and condemnation of food, and the enforcement of this code including the setting of

penalties.

SECTION 1. ADOPTION BY REFERENCE

1.1 Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA (Tribe

or Tribal) finds that:

1.1.1 A certain document, three copies of which are on file in the office of the

Tribal Secretary, being marked and designated as the Food Code, 1999

Recommendations of the United States Public Health Service/Food and

Drug Administration as published by the U.S. Department of Health and

Human Services, Public Health Service, Food and Drug Administration

be, and is hereby adopted as, the Food Code of the Tribe, located in the

State of California; for regulating the design, construction, management

and operation of food establishments, and providing for plans submission

and approval and the issuance of permits and collection of fees therefore.

1.2 Insertions and Changes. That the following provisions are hereby revised as

follows:

Paragraph 8-811.10(B) Insert (as provided by California law) Paragraph 8-

8 13.10(B) Insert (as provided by California law) Subparagraph 8-811 .10(B)(2)

Insert (as provided by California law)

1.3 Inconsistent Codes Repealed. All articles, titles, chapters, or other codes or

portions thereof, in conflict herewith are hereby repealed in that respect only.

1.4 Certification of Adoption and Publishing. The Tribal Secretary shall certify the

adoption of this Tribal Ordinance and cause the same to be published as required

by law.

63
1.5 Effective Date. This Tribal Ordinance and the rules, regulations, provisions,

requirements, orders, and matters established and adopted hereby shall take effect

and be in full force and effect for the period of 36 months from and after the date

of its finalpassage and approval.

64
TITLE VI

ADOPTION OF FEDERAL SAFE DRINKING WATER

STANDARDS

The adoption of 40 C.F.R. part 141 National Primary Drinking Water Regulations and part 142

National Primary Drinking Water Regulations Implementation, together will serve to regulate

the safety and inspection of ground and surface water aquifers arid public drinking water systems

on tribal lands.

SECTION 1. ADOPTION BY REFERENCE

1.1 Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA (Tribe

or Tribal) finds that:

1.1.1 A certain document, three copies of which are on file in the office of the

Tribal Secretary, being marked and designated as 40 C.F.R. part 141

National Primary Drinking Water Regulations and part 142 National

Primary Drinking Water Regulations Implementation, published by the

U.S. Environmental Protection Agency, is hereby adopted as the Tribal

Safe Drinking Water Standards, for regulating the safety and inspection of

ground and surface water aquifers and public drinking water systems on

tribal lands.

1.2 Inconsistent Codes Repealed. All articles, titles, chapters, or other codes or

portions thereof, in conflict herewith are hereby repealed in that respect only.

1.3 Certification of Adoption and Publishing. The Tribal Secretary shall certify the

adoption of this Tribal Ordinance and cause the same to be published as required

bylaw.

1.4 Effective Date. This Tribal Ordinance and the rules, regulations, provisions,

requirements, orders, and matters established aiid adopted hereby shall take effect

and be in full force and effect from and after the date of its final passage and

approval.

65
TITLE VII

ADOPTION OF THE UNIFORM BUILDING CODE, UNIFORM

MECHANICAL CODE, UNIFORM PLUMBING CODE,

NATIONAL ELECTRICAL CODE AND OTHER RELEVANT

FEDERAL BUILDING AND CONSTRUCTION STANDARDS

The adoption of 24 C.F.R. part 200.925c -- Model Codes, including the Uniform Building Code,

Uniform Mechanical Code, Uniform Plumbing Code, National Electrical Code and others,

together will serve to regulate the operational safety and inspection of all relevant building and

construction activities conducted on tribal lands.

SECTION 1. ADOPTION BY REFERENCE

1.1 Findings. The SUSANVILLE iNDIAN RANCHERIA CALIFORNIA (Tribe

or Tribal) finds that:

1.1.1 A certain document, three copies of which are on file in the office of the

Tribal Secretary, being marked and designated as 5 U.S.C. 552(a) and I

CFR part 51 is hereby adopted as the Tribal Uniform Building Code,

Tribal Uniform Mechanical Code, Tribal Uniform Plumbing Code, Tribal

Electrical Code and Tribal Building and Construction Standards, for

regulating the construction of buildings on tribal lands. The

aforementioned documents are:

(A) Model Building Codes

(i) The BOCA National Building Code, 1993 Edition, The

BOCA National Plumbing Code, 1993 Edition, and the

BOCA National Mechanical Code, 1993 Edition,

excluding Chapter I, Administration, for the Building,

Plumbing and Mechanical Codes and the references to

fire retardant treated wood and a distance of 4 feet

(1219 mm) from the wall in exception number I of

paragraph 705.6 and 707.5.2 number 2 (Chapter 7) of

the Building Code, but including the Appendices of the

Code. Available from Building Officials and Code

Administrators International, Inc., 4051 West

Flossmoor Road, Country Club Hills, Illinois 60478.

(ii) Standard Building Code, 1991 Edition, including

1992/1993 revisions. Standard Plumbing Code, 1991

Edition, Standard Mechanical Code, 1991 Edition,

including 1992 revisions, and Standard Gas Code, 1991

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Edition, including the 1992 revisions, but excluding

Chapter I--Administration from each standard code and

the phrase or fire retardant treated wood in reference

note (a) of table 600 (Chapter 6) of the Standard

Building Code, but including Appendices A, C, E, J, K,

M, and R. Available from the Southern Building Code

Congress International, Inc., 900 Montclair Road,

Birmingham, Alabama 35213.

(iii) Uniform Building Code, 1991 Edition, including the

1993 Accumulative Supplement, but excluding Part I--

Administrative, and the reference to fire retardant

treated plywood in section 2504(c)3 and to fire

retardant treated wood in I -J-IR type III and V

construction referenced in paragraph 4203.2., but

including the Appendix of the Code. Uniform Plumbing

Code, 1991 Edition, including the 1992 Code Changes

but excluding Part I--Administration, but including the

Appendices of the Code. Uniform Mechanical Code,

1991 Edition, including the 1993 Accumulative

Supplement but excluding Part I--Administrative, but

including the Appendices of the Code. All available

from the International Conference of Building Officials,

5360 South Workman Mill Road, Whittier, California

90601.

(B)National Electrical Code, NFPA 70, 1993 Edition, including

appendices. Available from the National Fire Protection

Association, Batterymarch Park, Quincy, Massachusetts 02269.

(C) National Standard Plumbing Code, 1993 Edition. Available from the

National Association of Plumbing-Heating-Cooling Contractors,

P.O. Box 6808, Falls Church, Virginia 22046.

1.1.2 Model Code Compliance Requirements

(A) When a multifamily or care-type property is to comply with one of the

model building codes set forth in paragraph 1.1.1 (A) of this

section, the following requirements of those model codes shall not

apply to those properties:

(i) Those provisions of the model codes that do not pertain

to residential or institutional buildings;

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(ii) Those provisions of the model codes that establish

energy requirements for multifamily or care-type

structures; and

(iii) Those provisions of the model codes that require or

allow the issuance of permits of any sort.

1.1.3 Where the model codes set forth in paragraph 1.1.1 (A) of his section

designate a building, fire, mechanical, plumbing or other official, the

Secretarys designee in the -UD Field Office serving the jurisdiction in

which the property is to be constructed shall act as such official.

1.1.4 Designation of Model Codes When a multifamily or care-type property is

to comply with a model code, it shall comply with one of the model codes

designated in paragraphs 1.1.3 (A-C) of this section, and with any other

code or codes identified in the same paragraph. However, seismic design

is a mandatory requirement. In addition, the property shall comply with all

of the standards that are incorporated into the code or codes by reference.

By the time of application for insurance or other benefits, the developer or

other interested party shall notify the Department of the code or group of

codes to which the developer intends to comply.

(A) The BOCA National Building Code, The BOCA National

Plumbing and The BOCA National Mechanical Code, 1993

Editions.

(B) Standard Building Code, Standard Plumbing Code, Standard

Mechanical Code and Standard Gas Code, 1991 Editions,

including the revisions specified in paragraph 1.1.1 (A)(ii) of this

section, and the National Electrical Code, 1993 Edition.

(C) Uniform Building Code, Uniform Plumbing Code and Uniform

Mechanical Code, 1991 Editions, including the 1993 Accumulative

Supplements to the Building and Mechanical Codes, and the 1992

Code Changes to the Uniform Plumbing Code, and the National

Electrical Code, NFPA 70, 1993 Edition.

(D) The National Electrical Code, NFPA 70, 1993 Edition.

1.2 Inconsistent Codes Repealed. All articles, titles, chapters, or other codes or

portions thereof in conflict herewith are hereby repealed in that respect only.

1.3 Certification of Adoption and Publishing. The Tribal Secretary shall certify the

adoption of this Tribal Ordinance and cause the same to be published as required

by law.

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.

1.4 Effective Date. This Tribal Ordinance and the rules, regulations, provisions,

requirements, orders, and matters established and adopted hereby shall take effect

and be in full force and effect from and after the date of its final passage and

approval.

CERTIFICATION

We, hereby certif~y that the Tribal Gaming Ordinance was adopted by the

Susanville Indian Rancheria Tribal Business Council at a duly called meeting

held August 13, 2001 with a vote of 6 for, 0 against, 0 abstain.

ATTEST;

D9y.VLowry Ike Lowry

Secretary/Treasure Tribal Chairman

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