March 19, 2020 

VIA FIRST CLASS MAIL AND E-MAIL 

Leo J. Sisco, Chairman 

Santa Rosa Rancheria Tachi Tribe 

16835 Alkali Drive, 

P.O. Box 8 

Lemoore, CA 93245 

Re: Santa Rosa Rancheria Tachi Tribe 

 Amended Gaming Ordinance 

Dear Chairman Sisco: 

This letter responds to your request for the National Indian Gaming Commission 

Chairman to review and approve an amended gaming ordinance. The Santa Rosa Rancheria 

Tribal Council amended the Nation’s gaming ordinance on March 18, 2020 by Resolution 2020-

252. 

Thank you for bringing the amended ordinance to our attention and for providing us with 

a copy. The amended ordinance is approved as it is consistent with the Indian Gaming 

Regulatory Act and NIGC regulations. If you have any questions, please contact Sharon M. 

Avery, Associate General Counsel at (202) 632-6955. 

Sincerely, 

 E. Sequoyah Simermeyer 

Chairman 

Cc: Richard J. Armstrong, Attorney for Santa Rosa Rancheria Tachi Tribe 


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TRIBAL GAMING ORDINANCE

OF THE

SANTA ROSA RANCHERIA

TACHI-YOKUT TRIBE

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 of the SANTA ROSA RANCHERIA TACHI-YOKUT TRIBE.

SECTION 1. FINDINGS, INTENT AND POLICY

1.1 Findings The SANTA ROSA RANCHERIA TACHI-YOKUT TRIBE 

(“Tribe” or Tribal”) on behalf of the General Council 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 Property 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 Tribal 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 

generating revenue to address the aforementioned needs and 

pursuing the Tribe’s goal of self-sufficiency and selfdetermination.

1.1.7 The State, in recognition of the Tribe’s sovereign right and need 

for Gaming, has entered into a Tribal/State Compact (“Compact”) 
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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 Tribal 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 enforces 

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 

Tribal Council by resolution and only for the following purposes:

(1) To fund Tribal government operations or programs.

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

members.
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(3) To promote Tribal economic development.

(4) To donate to charitable organizations.

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

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 Ownership of Gaming The Tribe shall have the sole proprietary 

interest in and responsibility for the conduct of any gaming 

operation authorized by this Ordinance, except as expressly 

provided in this Ordinance.

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 III Gaming Authorized Class III Gaming is 

authorized and permitted only to the games identified pursuant to 

the 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 Licensee

under the provisions of this Code.
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2.3

2.4

2.5

2.6

2.7

2.8

2.9

“Application” means a request for the issuance of a License for 

employment by a gaming facility, or approval of any act or transaction for 

which approval is required or permitted under the provisions of this Code. 

“Association” means an association of California tribal and state gaming 

regulators as established in the Compact 

Reserved

“Breakage” means the remainder by which the amount payable on each 

dollar wagered exceeds a multiple of ten cents, and in a minus pool, five 

cents. 

“Capital Cost” means any disbursement for Personal property, the useful 

life of which is expected to extend beyond one year. 

“Casino” means an establishment in which several Gaming activities or 

enterprises are operated. 

Reserved

2.10 “Cheating” means a Person’s 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.

2.11 “Class I Gaming” means those Gaming activities as defined as Class I 

Gaming in the IGRA of 1988, P.L. 100-447, 25 U.S.C. Section 2703(6).

“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).

2.12 “Class III Gaming” means those Gaming activities as defined as Class III 

Gaming in the IGRA of 1988, P.L. 100-447, 25 U.S.C. Section 2703(8).
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2.13 “Code” means this Tribal Gaming Ordinance of the Santa Rosa Rancheria 

Tachi-Yokut Tribe, as amended.

2.14 “Compact” means a Class III Gaming compact between the Tribe and the 

State, as authorized by the Indian Gaming Regulatory Act.

2.15 “Compensation” means all wages salaries, perks, bonuses and all other 

forms of enumeration for services rendered.

2.16 “Contract” means any legally binding agreement made between a

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.

2.17 “Council” or “Tribal Council” means the governing body of the Tribe

established through the inherent sovereign powers of the Tribe pursuant to 

Article VI of the Constitution, and Tribal Resolution 83-13.

2.18 “Determination of Suitability” means a formal finding by the Tribal 

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

suitable to obtain and/or maintain the License.

2.19 “Employee” means any person who (a) operated, maintains, repairs,

assists in any Gaming Activity, works in, or is in any way responsible for 

supervising such Gaming Activities or persons who conduct, operated, 

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 Commission with access to confidential information, or (d) is 

a person whose employment duties require or authorize to areas of the 

gaming facility that are not open to the public. 

2.20 “Enrolled Tribal Member” means a Person who is enrolled with the 

Tribe, and whose name appears on the tribal membership roll.

2.21 “Enterprise” means the economic entity that is licensed by the Tribal 

Commission, operated 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.

2.22 “Exclusive License” means a license, which precluded 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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2.23 “Games of Chance” means any game or activity, which falls within the 

broad definition of Gaming or Gaming Activity.

2.24 “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 

which any valuable prize is awarded to the player so wagering.

2.25 “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.

2.26 Reserved

2.27 “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.

2.28 “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 or Class III Gaming resources to the gaming facility, provided 

that the Tribal Commission may interpret this definition to excluded 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. 

2.29 “General Manager” means the Person or entity, which had 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. 
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2.30 “Gross Revenues” means all gaming and non-gaming revenues collected 

or received from the lawful Gaming Enterprise.

2.31 “Immediate Family” means, with respect to the Person under 

consideration, husband, wife, mother, son, daughter, brother, sister, fatherin-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sisterin-law, stepfather, stepson, stepdaughter, stepbrother, stepsister, halfbrother or half-sister.

2.32 “Indian Gaming Regulatory Act” or “IGRA” means Public Law 100-

497, 102 Stat. 2426, 25 U.S.C. §§2701, et seq. (1988), as amended.

2.33 Reserved

2.34 “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.

2.35 “IRS” means the Unites States Internal Revenue Service.

2.36 (Reserved)

2.37 “Key Employee” means:

2.37.1 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 creditor 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;

2.37.2 If not otherwise included, any other Person whose total cash 

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

2.37.3 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

2.37.4 If not otherwise included, the four most highly compensated 

Persons in the gaming facility; or 

2.37.5 Any Applicant or Person the Tribal Commission finds is important 

or necessary to the operation of the gaming facility. 

2.38 “License” means the official, legal and revocable permission granted by 

the Tribal Commission to an Applicant to conduct “Licensed” Gaming 

Activities of the Tribe.

2.39 “Licensee” means the Employee, Key Employee, Primary Management 

Official, Vendor, Enterprise or Facility that has legitimately obtained a 

valid License.

2.40 Reserved
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2.41 “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. 

2.42 “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 NIGC. 

2.43 “National Indian Gaming Commission” or “NIGC” means the 

National Indian Gaming Commission established by IGRA.

2.44 “Net Revenues” means Gross Revenues less amounts paid out as prizes 

and less total Gaming related openings expenses, excluding Management 

Contractor fees.

2.45 “Net Win” means the “net win” as defined by the American Institute of 

Certified Public Accountants.

2.46 “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. 

2.47 “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, and 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.”

2.48 “Player” means a Person participating in a game with the hope of winning 

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

a Licensee.
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2.49 “Primary Management Official” means:

2.49.1 The Person having management responsibility for the overall 

operation of the Enterprise or Facility, or a management contract; 

or

2.49.2 Any Person who has authority to:

(1) Hire and fire employees; or

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

2.49.3 The Chief Financial Officer or other Person who has financial 

management responsibility; or

2.49.4 Any other person designated by the Tribal Commission as a 

primary management official.

2.50 “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.

2.51 Reserved

2.52 “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.

2.53 Reserved

2.54 “State” means the State of California.

2.55 “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.

2.56 “Tribal Commission” means the Tribe’s Gaming Commission described 

in Section 4 of this Code.

2.57 “Tribal Court” means the Tribal Council of the Tribe until such time as a 

Tribal Court can be created.
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2.58 “Tribe” means the Santa Rosa Rancheria Tachi-Yokut Tribe.

2.59 “Wager” means the initial bet made in any game.

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 Constitution, and the power 

delegated to the Tribal Council pursuant to Resolution 83-13.

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

cited as the Santa Rosa Rancheria Tachi-Yokut Tribe Gaming Code or 

“Code”. The Code shall be appropriately inserted in 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 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 affect 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 Tribal Council hereby charter, creates and 

establishes the Santa Rosa Rancheria Tachi-Yokut Tribal Gaming 

Commission as a governmental subdivision of the Tribe.

4.1.1 The Santa Rosa Rancheria Tachi-Yokut Tribal Gaming 

Commission shall be referred to throughout this Code as the

“Tribal Commission”.

4.2 Location and Place of Business

4.2.1 Gaming Facility The Tribal Commission shall 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 Tribal 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 Tribal 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 Tribal Council, but it 

is the purpose and intent of the Tribal 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 

Reservations.

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 branches of the United States Government as 
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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 the 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 only by express 

resolutions of both the Tribal Commission and the Tribal Council after 

consultation with its attorneys.

4.7.1 Resolution Effecting Waiver All waivers of sovereign immunity 

must be preserved with the resolution of the Tribal Commission 

and the Tribal 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 Tribal Commission, 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 
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reservation or a consent to the alienation, attachment or 

encumbrance of any such land. 

4.8

4.9

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 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 

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. 

Credit to the Tribe Nothing in this Code nor any activity of the Tribal 

Commission shall implicate or any way involve the monetary credit of the 

Tribe. 

4.10 Assets of the Tribal Commission The Tribal Commission shall have 

only those assets specifically assigned to it by the Tribal 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.

4.11 Membership

4.11.1 Number of Commissioners The Tribal Commission shall be 

comprised of three (3) Tribal Gaming Commissioners.

4.11.2 Organization The Commission will consist of a Chairman and 

two (2) Commissioners.

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

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

Tribal Commission.

(2) The Tribe designates the Tribal Commission Chairman as the

agent for service of any official determination, order or notice

of violation in accordance with 25 C.F.R. §§ 519.1, 522.2(g),

522.6(a).
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(3) The Tribal Commission shall keep minutes of meetings and 

provide a copy to the Tribal Council.

4.11.3 Qualifications for Tribal Commission Positions

(1) Must be an Enrolled Tribal Member.

(2) Tribal Commissioners must pass the scrutiny of a 

background check pursuant to 4.11.5 below.

(3) Tribal Commissioners shall have expertise, experience, 

education or a combination thereof in the following areas: 

finance, management, legal, business, governmental 

regulations, and Tribal policy and law.

(4) Tribal Commissioners shall be at least twenty-five (25) 

years of age.

4.11.4 Date of Appointment The Tribal Council shall appoint Tribal 

Commissioners at the General Council Meeting in the first week of 

each July.

4.11.5 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:

(1) Their 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 if unsuitable, unfair, or illegal 

practices, methods, or activities in the conduct of 

Gaming; or

(2) They have been convicted of or entered a plea of nolo 

contendere to a felony of any jurisdiction or to a 

misdemeanor involving dishonesty or moral turpitude in 

any jurisdiction; or
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(3) They have a direct monetary or financial interest in the 

conduct of any Gaming Enterprise or is in privity with a 

Management Contractor; or

(4) They are presently a member of the Tribal Council.

4.12 Term of Office The first Tribal Commission shall be appointed as 

follows: the Chairman shall be appointed for three (3) years; two (2) 

Commissioners appointed for two (2) years, and two (2) Commissioners 

appointed for one (1) year. Upon the expiration of the first terms, each 

Commissioner thereafter shall be appointed for five (5) year staggered 

terms.

4.13 Ex-Officio Members At the direction of the Tribal Council, any 

member of the Tribal Council, Tribal or Bureau of Indian Affairs 

employee, or any other Person may be designated to participate, without 

vote, in Tribal Commission meetings.

4.14 Meetings

4.14.1 Regular Meetings The Tribal Commission shall meet formally 

no less than two (2) times per month. Notice of said meetings shall 

be submitted to the Tribal Council. Nothing in this Code shall 

prohibit the Commission from authorizing telephone and off-site 

meetings.

4.14.2 Special Meetings Special meetings may be called at the request 

of the Tribal Council or the Chairman of the Tribal Commission.

4.14.3 Quorum A quorum for all meetings shall consist of two (2) 

members.

4.14.4 Voting All questions arising in connection with the action of the 

Tribal Commission shall be denied by majority vote.

4.15 Compensation of Commissioner The compensation of Commissioners 

shall be established by the Tribal Council, and in accordance with any 

Tribal Council approved pay scale.

4.16 Removal of Members or Vacancies

4.16.1 Removal A Commissioner may be removed by the 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 
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Tribal Commission or otherwise violates the letter or intent of this 

Code.

4.16.2 Due Process Except as provided below, no Commissioner may 

be removed without notice and an opportunity for a hearing before 

the Council, and then only after the Commissioner has been given 

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

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

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

witnesses on his behalf.

4.16.3 Temporary Suspension If the Council determines that immediate 

suspension of a Commissioner is necessary to protect the interests 

of the Tribe, the Council may hold a hearing with the 

Commissioner to suspend the Commissioner temporarily, and the 

question of permanent removal shall be determined thereafter 

pursuant to Tribal Commission hearing procedures pursuant to 

4.16.2 herein.

4.16.4 Written Record A written record of all removal proceedings 

together with the charges and findings thereon shall be kept by the 

Tribal Secretary.

4.16.5 Removal Final The decision of the Tribal Council upon the 

removal of a Commissioner shall be final.

4.16.6 Vacancies If any Commissioner shall die, resign, be removed or 

for any reason be unable to serve as a Commissioner, the Council 

shall declare their 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 

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.

4.17 Conflict of Interest No Person shall serve as a Commissioner if they or 

any member of their Immediate Family has an ownership, partnership or 

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

Gaming Enterprise, or if they have any other Personal or legal relationship 

which places him/her in a conflict of interest.

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

of the Tribal Commission’s 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 
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following powers in additions to all powers already conferred by this 

Code:

4.18.1 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.

4.18.2 To investigate any reported violations of this Code, the Compact, 

or any other applicable law regarding Gaming within the 

jurisdiction of the Tribe.

4.18.3 To act as liaison with the NIGC and the California Division of 

Gaming Control and Commission.

4.18.4 To publish and distribute copies of this Code and Tribal 

Commission rules and any Tribal Council, Tribal Commission or 

Tribal Court decisions regarding Gaming manners.

4.18.5 To prepare and submit for Tribal Council approval proposals, 

including budget and monetary proposals, which could enable the 

Tribe to better carry forth the policies and intent of this Code.

4.18.6 To work directly, and only with the Tribal Council with regard to 

any Gaming issues, including but not limited to working in good 

faith with any Memorandum of Understandings entered into with 

Tribal Council and Gaming Management.

4.18.7 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.

4.18.8 To request the assistance of the Tribal Court or Tribal Appellate 

Court, if and when established, in conducting Gaming hearings.

4.18.9 To arrange for training of Tribal Commission members and 

employees in areas relating to the regulation or operation of 

Gaming.

4.18.10Upon prior explicit resolution and approval of the Tribal Council, 

to employ such advisors as it may deem necessary. Advisors may 

include, but not limited to, lawyers, accountants, law enforcement 

specialists and Gaming professionals.
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4.18.11To promulgate rules and regulations to implement and further the 

provisions of this Code; provided such rules or regulations are 

approved by Tribal Council resolution or ordinance.

4.18.12 To accept, review, approve or disapprove any Application for a 

License.

4.18.13 To consult with and make recommendations to the Tribal Council 

regarding changes in Tribal Gaming laws and policies.

4.18.14 To 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.

4.18.15 To 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.

4.18.16 To delegate to an individual member of the Tribal Commission, or 

to an individual member of the Tribal Council, or Tribal staff, such 

of its functions as may be necessary to administer these ordinance 

efficiently; provided, that the Tribal Commission may not redelegate 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 that the Tribal Commission

may not delegate to any Person the power to permanently revoke a 

License.

4.18.17 To issue fines and sanctions to the gaming facility if it is opening 

in violation of this Code and report significant violations of the 

Compact to: 1) the Gaming Management, 2) the Tribal Council 

and 3) the State Gaming Agency.

4.18.18 To sue or be sued in courts of competent jurisdiction within the 

United State and Canada, subject to Section 4.7 and 4.8 herein; 

provided, that no suit shall be brought by the Tribal Commission 

without the prior explicit written approval of the Tribal Council.
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4.18.19 To use the seal of the Tribal Commission or the seal of the Tribe 

with the approval of the Tribal Council.

4.18.20 To compromise, negotiate or settle any dispute to which it is a 

party relating to the Tribal Commission’s authorized activities.

4.18.21 To exercise the Tribal power to collect an administrative fee or

tax, authorized by the Tribal Constitution in accordance with a 

Tribal 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.

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

property or against any risk of hazard, as approved by the Tribal 

Council.

4.18.23 With prior approval of the Tribal 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.

4.18.24 To establish and maintain such bank accounts as may be necessary 

or convenient.

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

other information desired by the Tribal Council or required by this 

Code.

4.18.26 To 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.

4.18.27 To adopt a schedule of fees to be charges for Licenses.

4.18.28 To adopt a schedule of fees for services rendered relating to 

transcripts and the furnishings or certifying of copies of 

proceedings, files, and records.

4.18.29 To conduct or arrange for background investigations of all 

Applicants.

4.18.30 To discipline any Licensee or Person participating in Gaming by 

ordering immediate compliance with this Code, and to issue an 
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order of temporary suspension of any License issued under this 

Code pursuant to the hearings and due process required by Section 

4.23 herein.

4.18.31 To issue an order to 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 herein.

4.18.32 To become self-regulating whenever the Tribe becomes eligible 

for a certificate of self-regulation under the IGRA.

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

denial of a Determination of Suitability.

4.18.34 To 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.

4.18.35 To assist Management in taking all steps necessary an appropriate 

to insure the physical safety of all Tribal Gaming Enterprises, their 

Licensees, patrons and employees.

4.18.36 Notwithstanding any authority granted herein, the Tribal 

Commission shall endeavor to follow rules, regulations, standards, 

specification and procedures which are consistent with any 

applicable State Gaming Agency regulations pursuant to the 

Compact.

4.18.37 To enact and adhere to its own internal controls including a 

Conflict of Interest Policy governing Commissioners and Tribal 

Commission staff.

4.18.38To formally resolve, negotiate or settle any patron dispute that is 

unsettled or unresolved by Management in accordance with this 

Code.

4.19 Annual Budget

The Tribal Commission shall prepare an annual operating budget for all 

Tribal Commission activities and present it to the Council by October 15 

of each year.
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4.20 Tribal Commission Regulations

4.20.1 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 (“MICS”) as

established by the Tribal Commission;

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

necessary to enforce the Tribal Commission’s 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.

4.20.2 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 Tribal 

Council and both resolutions filed for the record in the office of the 

Tribal Secretary.

4.21 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 a 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. 

4.21.1 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.

4.21.2 Frequency of Inspection A Commissioner or a member of the 

Tribal Commission’s 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.
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4.22 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, the Tribal Commission shall make no 

order or final decisions without affording any affected party notice and 

hearing pursuant to Section 4.23.

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 provide

reasonable written notice setting forth, with specificity, the issues 

to be resolved.

4.23.3 Hearing The Tribal Commission shall provide the affected 

parties the right to present reasonable and relevant 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 Upon closing a hearing conducted pursuant to this 

section, the Examiner shall render a written opinion and serve the 

decision upon the responding parties in a reasonable manner.

4.23.6 Appeals Affected parties may appeal a Tribal Commission 

determination by filing a written appeal to the Gaming Review 

Board within thirty (30) days of the Tribal Commission’s or 

Examiner’s final decision.
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4.24 Appeals; Gaming Review Board

4.24.1 Establishment of Gaming Review Board The Gaming Review 

Board is hereby established pursuant to the authority in Section 3.1 

for the sole purpose of reviewing appeals from Tribal Commission 

decisions, fines, sanctions or other enforcement actions.

4.24.2 Review Board The Gaming Review Board shall consist of three 

(3) members and the first Board shall be appointed by the Tribal 

Council by November 1, 2000 and as follows: one member shall be 

appointed for three (3) years; a member appointed for two (2) 

years; and a one member appointed for one (1) year. Upon the 

expiration of the first terms, each member thereafter shall be 

appointed for three (3) year staggered terms.

4.24.3 Vacancies Review Board Members can be removed can be 

removed only with cause by the Tribal Council. The Tribal 

Council shall replace vacancies within thirty (30) days for the 

remaining term of the vacancy.

4.24.4 Qualifications

(1) Each Review Board Member shall have a minimum of a 

four (4) year college degree and eight (8) years’ experience

in the field of law, accounting, gaming management, or 

gaming regulation or an equivalent combination thereof.

(2) Each Board Member shall be subject to the same 

background and Licensing standards as Commissioners 

pursuant to 4.11.5 herein.

(3) Board Members or their Immediate Families may not be 

employed in any Gaming operation, may not hold elected 

Tribal office, any may not engage in any Gaming Activity 

with the Gaming Enterprise.

4.24.5 Compensation Board Members shall be paid at a stipend rate for 

each meeting the Board Members are required to attend. Board 

Members shall also be reimbursed for necessary travel expenses.

4.24.6 Meetings The Review Board shall meet no more than once per 

month, unless deemed necessary by the Tribal Council. Should 

additional meetings be necessary, the Board Members shall agree 

mutually on agreeable dates.
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4.24.7 Review, and Hearings The Gaming Review Board shall review 

the Commission’s decision within thirty (30) days from receiving 

the written appeal. The Review Board may, if it finds it necessary, 

request another hearing. The Gaming Review Board may only 

consider the administrative record as developed by the process 

provided in this Code. The Gaming Review Board may not 

conduct a de novo review.

4.24.8 Findings The Gaming Review Board shall issue a written 

determination within three (3) days from reviewing the 

Commission’s decision, and either reverse or affirm the 

Commission’s decision.

4.25 Quarterly Report of Tribal General Manager Reports. The Tribal 

Commission shall file a quarterly report to the Tribal Council 

summarizing reports received from each of the Tribe’s Gaming Facilities 

and make such comments as it deems necessary to keep the Tribal Council 

fully informed as to the status of the Tribal Commission’s 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 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 Commission, 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.
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5.2.2 Privacy Act and False Statement The following notices shall 

be placed on the Tribe’s license application form for a key 

employee, primary management official and other licenses before 

it is filled out by an applicant:

(1) Privacy Act

In compliance with the Privacy Act of 1974, the 

following information is provided: Solicitation of the 

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

2701 et seq. The purpose of the requested information is 

to determine the eligibility of individuals to be granted a 

gaming license. The information will be used by the 

Tribal gaming regulatory authorities and by the 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 by the 

Tribe or the NIGC 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 NIGC in connection with 

the issuance, denial, or revocation of a gaming license, or 

investigations of activities while associated with a tribe 

or a gaming operation. Failure to consent to the 

disclosures indicated in this notice will result in a tribe 

being unable to license you for a primary management 

official or key employee position.

The disclosure of your Social Security Number (SSN) is 

voluntary. However, failure to supply a SSN may result

in errors in processing your application.

(2) False Statement

A false statement on any part of your license application 

may be grounds for denying a license or the suspension 

or revocation of a license. Also, you may be punished by 

fine or imprisonment (U.S. Code, title 18, section 1001).

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 
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contain the following information in accordance with 25 U.S.C. § 

2710(b)(2)(F) and 25 C.F.R. §§ 522.2(h), 522.4(b)(5), 522.6(a), 

556.4(a)(1)-(14):

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

security number, birth date, place of birth, citizenship, 

gender and all languages (spoken and/or written);

(2) Current residential address, and if the Applicant has resided 

at their current address for less than five (5) years, their 

residential address(es) for the previous five (5) years;

(3) Currently, and for the previous five (5) years; business and

employment positions held, ownership interests in those 

businesses, business and residential addresses, and driver’s 

license numbers;

(4) The names and current addresses of at least three (3) 

personal references who are not related to the Applicant

including one (1) personal reference who was acquainted 

with the applicant during each period of residence listed 

under paragraph (3) of this section;

(5) Current business and residential telephone numbers, and all 

cell phone numbers and a list of the Applicant’s previous 

jobs over the preceding five (5) years;

(6) A description of any existing and previous business 

relationships with other tribes, including any ownership 

interests in those businesses;

(7) A description of any existing and previous business 

relationships with the gaming industry generally, including 

ownership interests in those businesses;

(8) The identity of any ownership interest in any other present 

or past business ventures;

(9) A statement whether the Applicant or any member of their 

Immediate Family has a past or current financial interest in 

any Gaming-related enterprise anywhere;

(10) 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;
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(11) The name and address of any licensing or regulatory 

agency with which the person has filed an application for a 

license or permit related to gaming, whether or not such 

license or permit was granted;

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

the Applicant has ever applied for, whether or not they 

were granted such license;

(13) The names and addresses of the Applicant’s Immediate 

Family;

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

or criminal action against the Applicant;

(15) For each felony for which there is an ongoing prosecution 

or a conviction, the charge, the name and address of the 

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

(16) For each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations) within 10 

years of the date of the application, the name and address of 

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

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

whether or not there is a conviction, if such criminal charge 

is within 10 years of the date of the application, and is not 

otherwise listed pursuant to paragraphs (15) or (16) of this 

Section, the criminal charge, the name and address of the 

court involved, and the date of disposition, if any, including 

an explanation of any crimes for which a plea of nolo 

contendere is entered;

(18) A disclosure of any pending or anticipated civil lawsuits in 

which the Applicant is a named defendant or in which a 

judgment has ever been rendered against the Applicant;

(19) The name and address of any licensing or regulatory 

agency with which the person has filed an application for 

an occupational license or permit, whether or not such 

license or permit was granted;

(20) A photograph;
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(21) Written permission giving the Tribal Commission, State 

Gaming Agency and NIGC or its designees the right to the 

Applicant’s background, including his criminal record;

(22) 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;

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

applicable Tribal and Federal laws, regulations and 

policies;

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

Application is true and correct to the best of Applicant’s 

knowledge;

(25) Any other information that the Tribal Commission deems 

appropriate; and

(26) Fingerprints obtained in accordance with procedures 

adopted by the Tribal Commission.

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

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

others, has provided financing in connection with Gaming 

authorized under this Code.

5.3 Background Investigations and Review of License Applications 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 
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Commission’s review and background investigation shall include, but is 

not limited to the following:

5.3.1 The Tribe shall perform a background investigation for each 

primary management official and key employee in its gaming 

operation. The investigation must be sufficient to allow the Tribal 

Commission to make an eligibility determination in accordance 

with 25 U.S.C. § 2710(b)(2)(F) and 25 C.F.R. §§ 522.4(b)(5), 

556.4.

5.3.2 The Tribal Commission is responsible for conducting the 

background investigations of primary management officials and 

key employees. The background investigation shall include a 

check of criminal history records information maintained by the 

Federal Bureau of Investigations in accordance with 25 U.S.C. § 

2710(b)(2)(F) and 25 C.F.R. §§ 522.2(h), 522.6(a).

5.3.3 The Tribe shall request fingerprints from each applicant including 

primary management officials and key employees. The law 

enforcement agency designated to take fingerprints is the Tribal 

Commission.

5.3.4 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 and 

Applicant’s prior activities, criminal record (if any), reputation, 

habits, and associations in order to make an eligibility 

determination for key employees and primary management 

officials.

5.3.5 If the authorized Tribal official, in applying the standards adopted 

in this Code, determines that licensing the person poses a threat to 

the public interest or to the effective regulation of gaming, or

creates or enhances the dangers of unsuitable, unfair or illegal 

practices, methods and/or activities in the conduct of gaming, he or 

she shall not license that person in a key employee or primary 

management official position.

5.3.6 When a primary management official or key employee is licensed 

by the Tribal Commission, a complete application file shall be 

maintained in accordance with 25 U.S.C. § 2710(b)(2)(F) and 25 

C.F.R. §§ 522.4(b)(5), 556.6(a).

5.3.7 The Tribal Commission shall create and maintain an investigative 

report for each background investigation of a primary management 
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official or key employee and any other applicant in accordance 

with 25 U.S.C. § 2710(b)(2)(F) and 25 C.F.R. §§ 522.4(b)(5), 

556.6(b)(1).

5.3.8 The Tribal Commission shall provide a written investigative report 

as to findings and conclusions of the foregoing background 

investigation, including, but not limited to:

(1) Steps taken in conducting diligence;

(2) Results obtained;

(3) Conclusions reached; and

(4) The basis for those conclusions from review of conducted 

diligence.

5.3.9 The Tribal Commission shall submit a notice of results of the 

applicant's background investigation to the NIGC no later than 

sixty (60) days after the applicant begins work. The notice of 

results shall contain:

(1) Applicant's name, date of birth, and social security number;

(2) Date on which applicant began or will begin work as key 

employee or primary management official;

(3) A summary of the information presented in the 

investigative report, which shall at a minimum include a 

listing of:

(i) Licenses that have previously been denied;

(ii) Gaming licenses that have been revoked, even if 

subsequently reinstated;

(iii) Every known criminal charge brought against 

the applicant within the last 10 years of the date 

of application; and

(iv) Every felony of which the applicant has been 

convicted or any ongoing prosecution.

(4) A copy of the eligibility determination made under 25 

C.F.R. § 556.5.
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5.3.9 The Tribal Commission shall also transmit the Applicant’s 

information to the State Gaming Agency in accordance with the 

Compact.

5.3.10 The Tribal Commission, in accordance with 25 C.F.R. § 558.3(e), 

shall retain, for no less than three years from the date a primary 

management official or key employee or other licensee is 

terminated from employment with the Tribe, the following 

documentation:

(1) Application for licensing;

(2) Investigative Reports; and

(3) Eligibility Determinations.

5.3.11 Copies of the eligibility determination shall be included with the 

notice of results that must be submitted to the NIGC before the 

licensing of a primary management official or key employee in 

accordance with 25 U.S.C. § 2710(b)(2)(F) and 25 C.F.R. §

556.6(b)(2).

5.3.12 When the Tribal Commission does not license a primary 

management official or key employee Applicant, the Tribal 

Commission shall submit a notice of results to the NIGC of the 

background investigations done and forward copies of the Tribal 

Commission’s eligibility determination and the investigative 

report.

5.3.13 The Tribal Commission, and its investigators, shall keep 

confidential the identity of each person interviewed in the course 

of conducting a background investigation in accordance with 25 

C.F.R. §§ 522.4(b)(5) and 556.4(c).

5.4 Report to NIGC. Tribal Gaming License applications submitted 

to the Tribal Commission shall be maintained by the Tribal Commission 

and the notice of results of the applicant’s background investigation 

conducted by the Tribal Commission must be submitted to the NIGC, as 

applicable, in accordance with 25 C.F.R. 556.6, which shall be the Tribal 

Commission’s authorized entity for processing fingerprint cards for 

background investigation purposes. 
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5.5 Notice of Results of Background Investigation

5.5.1 Before issuing a license to a primary management official or key 

employee, the Tribal Commission shall prepare a notice of results of 

the applicant’s background investigation to submit to the NIGC.

5.5.2 The notice of results must be submitted to the NIGC no later than 

sixty (60) days after the applicant begins working for the Tribe in 

accordance with 25 U.S.C. § 2710(b)(2)(F) and 25 C.F.R. § 

556.6(b)(2).

5.5.3 The notice of results shall include the following information:

(1) The applicant’s name, date of birth and social security 

number;

(2) The date on which the applicant began, or will begin, working 

as a primary management official or key employee;

(3) A summary of the information presented in the investigative 

report, including:

(i) licenses that have previously been denied;

(ii) gaming licenses that have been revoked, even if 

subsequently reinstated;

(iii) every known criminal charge brought against the 

applicant within the last10 years of the date of the 

application; and

(iv) every felony offense of which the applicant has been 

convicted or any ongoing prosecution; and

(4) A copy of the eligibility determination made in accordance 

with this Code and 25 C.F.R. § 556.6(b)(2)(i)-(iv).

5.5.4 The Tribal Commission shall notify the NIGC of the forwarding 

of notice of results to NIGC in accordance with 25 C.F.R. § 556.7

and shall enter into a Memorandum of Understanding (MOU) with 

the NIGC providing, that any and all result obtained from the 

fingerprinting cards for background investigation purposes be 

viewed by the Tribal government official only.

5.6 Scope and Types of Licenses 

5.6.1 Granting Gaming Licenses Generally:
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(1) All primary management officials and key employees of 

the gaming operation must have a gaming license issued by 

the Tribe in accordance with this Code, 25 U.S.C. §

2710(b)(2)(F) and 25 C.F.R. § 558.3(c). 

(2) The Tribal Commission is responsible for granting and 

issuing gaming licenses to primary management officials 

and key employees in accordance with this Code, 25 U.S.C. 

§ 2710(b)(2)(F) and 25 C.F.R. § 558.1.

(3) The Tribal Commission may license a primary 

management official or key employee applicant after 

submitting a notice of results of the applicant’s background 

investigation to the NIGC, as required by Section 5.5 above

and in accordance with 25 C.F.R. § 558.3(a).

(4) The Tribal Commission shall notify the NIGC of the 

issuance of a license to a primary management official or 

key employee within thirty (30) days of issuance in 

accordance with 25 U.S.C. § 2710(b)(2)(F) and 25 C.F.R. § 

558.3(b).

(5) The Tribe shall not employ an individual in a primary 

management official or key employee position who does 

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

at the gaming operation in accordance with 25 C.F.R. § 

558.3(c).

(6) The Tribal Commission must reconsider a license 

application for a primary management official or key 

employee if it receives a statement of itemized objections 

to issuing such a license from the NIGC, and those 

objections are received within thirty (30) days of the NIGC 

receiving a notice of results of the applicant’s background 

investigation in accordance with 25 C.F.R. § 558.2(c).

(7) The Tribal Commission shall take the NIGC’s objections 

into account when reconsidering a license application

pursuant to 25 C.F.R. § 558.2(c).

(8) The Tribe will make the final decision whether to issue a 

license to an applicant for a primary management official 

or key employee position in accordance with 25 C.F.R. § 

558.2(c).
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(9) If the Tribal Commission has issued a license to a primary

management official or key employee before receiving the

NIGC’s statement of objections, notice and a hearing shall

be provided to the licensee, as required by Section 4.23

herein and in accordance with 25 C.F.R. § 558.2(d).

5.6.2 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.

5.6.3 Non-Gaming Employee License A Non-Gaming Employee 

License is for employees that are not assigned to a position 

involving gaming specific activities or involvement, 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 in the Application. These Licenses will 

not require the same level of background scrutiny required for 

Gaming Licenses.

5.6.4 Part-Time or Full-Time Licenses The Employee’s License 

shall state clearly whether the Employee is a part-time or full-time 

Employee.

5.6.5 Transferring Licenses A Licensee shall apply to have their

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 and impose 

specific conditions pending completion of the applicant’s background 

investigation if:
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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 or other 

information that would either automatically disqualify the 

applicant from obtaining a license or cause a reasonable person to 

investigate further before issuing a license; and

5.7.3 Temporary licenses may last no longer than ninety (90) days.

5.8 License Issuance, Term and Substance

5.8.1 Issuance Upon completion of the necessary background 

investigation the Tribal Commission may issue a License on a 

conditional or unconditional basis. If the NIGC objects to Tribal 

Commission licensing 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 in its face the first

name of the Applicant, the Tribal logo, identification number, date 

of license expiration, and photograph of Licensee. The applicant’s

first and last name may be included on the backside of the License. 

5.9 License Denial 

5.9.1 The Tribal Commission, in accordance with 25 U.S.C. § 

2710(b)(2)(F) and 25 C.F.R. § 556.5(b), shall not license a primary 

management official or key employee if an authorized Tribal 

official determines, in applying the standards in Section 5.5 for 

making a license eligibility determination, that licensing the 

person:

(1) Poses a threat to the public interest;

(2) Poses a threat to the effective regulation of gaming; or
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(3) Creates or enhances the dangers of unsuitable, unfair or

illegal practices, methods and/or activities in the conduct of 

gaming.

5.9.2 When the Tribal Commission does not issue a license to an 

applicant for a primary management official or key employee 

position, or revokes a previously issued license after

reconsideration, it shall, in accordance with 25 C.F.R. § 558.3(d):

(1) Notify the NIGC; and

(2) Forward copies of its eligibility determination and notice of 

results of the applicant’s background investigation to the 

NIGC for inclusion in the Indian Gaming Individuals 

Record System.

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.

5.12 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 statement 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 Tribal Council member, 

Commissioner or other Person, in an attempt to avoid or 

circumvent Tribal law;
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(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 violate this Code or the rules and regulations 

of the Tribal Commission;

(9) The Licensee has been convicted or has entered pleas of 

nolo 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 Tribal 

Council, the Federal Government or any court of competent 

jurisdiction;

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

nolo contendere to, a crime involving the sale of illegal 

narcotics or controlled substances;

(12) The Licensee has failed to adhere to adopted policies and 

procedures; or

(13) For any other reason the Tribal Commission deems 

appropriate.

5.12.2 Procedure for Suspension or Revocation

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

occurred, or other basis exists, 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 Licensee’s License should not be revoked, or 

why the Licensee should not be enjoined from conducting 

Gaming.

(2) Additionally, if, after a license is issued to a primary 

management official or a key employee, the Tribe receives 

notice from the NIGC that the primary management official 
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or key employee is not eligible for employment, the Tribal 

Commission shall do the following: the Tribal Commission 

or its designee shall immediately suspend such license and 

notify the licensee in writing that their license has been 

suspended and may be revoked.

(3) Such notice, in accordance with 25 C.F.R. 558.4, shall state

the reason for the suspension order and indicate 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 cross-examine 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 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 Review Board pursuant

to the requirements of Section 4.23 and 4.24. The Tribe

shall notify NIGC of its decision to revoke or reinstate a

license within forty-five (45) days of receiving notification

from the NIGC that a primary management official or key

employee is not eligible for employment.

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, 

1998, 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 Tribal Council resolution.

5.13.4 The Tribe has 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 Gaming Facility License Any gaming facility authorize by the 

Compact and/or this Code shall be licensed by the Tribal Commission and 

the Tribe shall issue a separate license to each place, facility or location on 
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Indian lands where class II and/or class III gaming is conducted under this 

ordinance in accordance with the IGRA and 25 C.F.R § 559. 

5.14.1 Each gaming facility shall be constructed, maintained, and 

operated in a manner that adequately protects the environment and 

the health and safety of the public.

5.14.2 All requisite notices regarding either a new or renewed Gaming 

Facility license shall be issued in accordance with 25 C.F.R. § 559.

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

(1) The construction, expansion or modification of the Facility

shall meet the Building and Safety Code pursuant to Title

VIII of this Code.

(2) 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.

(3) 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 Commission shall issue to the Facility a

certificate of Occupancy, which shall be reissued upon

similar inspection every two (2) years.

5.14.4 Upon the issuance of a gaming facility License where Class III 

gaming activities will occur, the Tribal Commission shall forward 

the License to the NIGC in accordance with 25 C.F.R. § 559 and to 

the State Gaming Agency in accordance with the Compact.

5.14.5 Upon the issuance of a gaming facility License where only Class 

II gaming activities will occur, the Tribal Commission shall 

forward the License to the NIGC in accordance within 25 C.F.R. § 

559.

5.14.6 Any Facility License issued by the Gaming Commission shall be 

posted in a conspicuous and public place in the Facility at all 

times.

5.15 Annual Reports from Management Contractor. Management 

Contractors must file an annual report with the Tribal Commission and the 

Tribal Council within thirty (30) days of the end of each calendar year. 

The report shall include, at a minimum, the following information:
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5.15.1 The name, address and telephone number of the Licensee;

5.15.2 The names, addresses and titles of all of its current managers of the 

Licensees;

5.15.3 A description of the Gaming operated and Gross Revenue;

5.15.4 The name and address of the Person who will be designated as 

Primary Management Official, or new Key Employees over the 

next License Term;

5.15.5 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;

5.15.6 A sworn statement that the Licensee has complied with the IRS 

including written notice of customer winning;

5.15.7 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;

5.15.8 A sworn statement that the Licensee will continue to comply with 

all Tribal and Federal laws applicable to Gaming;

5.15.9 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 

5.15.10If the Licensee is a corporation, a copy of nay amendment to its 

articles of incorporation, properly certified by the incorporating 

government, unless a current copy has already been filed with the 

Tribal Commission.

5.16 State Gaming Agency Suitability Determination

5.16.1 Except as provide in Sections 5.16.2 and 5.16.3 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.

5.16.2 Notwithstanding Section 5.16.1, the Tribe may employ a Person 

who has been denied for a determination of suitability by the State 

Gaming Agency if:
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(1) The Person holds a valid or current Tribal License;

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

that antedate the filing of the Person’s 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.

5.16.3 Notwithstanding Section 5.16.1, 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 or current Tribal License;

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

that antedate the filing of the Person’s initial application to 

the State Gaming Agency;

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

Enterprise;

5.17 Miscellaneous Licensing Provisions

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

5.17.2 Each Licensee shall have access to a copy of the Code and any 

Tribal Commission Regulations.

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
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detailed supporting and subsidiary records. The Tribe shall maintain the 

following records for not less than five (5) 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, IOU’s, 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 document 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 Tribe, through the Enterprise, shall cause to be conducted 

independent audits of gaming operations annually and shall submit 

the results of those audits to the Tribal Commission, the Tribal 

Council, the National Indian Gaming Commission, and as 

applicable to the State Gaming Agency in accordance with the 

Compact .

6.3.2 Each gaming-related contract for supplies, services (other than 

legal and accounting services) or concessions for a contract 

amount in excess of $25,000 annually shall be specifically 

included within the scope of the audit conducted under Section 

6.3.1 of this ordinance. A copy of such audit will be provided to 

the Tribal Commission, the Tribal Council, National Indian 

Gaming Commission and as applicable the State Gaming Agency.
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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 RESTRICTION AND COMPLIANCE

7.1 Number of Facilities

7.1.1 The Tribe may establish no more Class III Gaming Facilities than 

may are specifically authorized under the Compact, and only on 

those lands on which Gaming may lawfully be constructed under 

IGRA.

7.1.2 The Tribe may continue and operate in each gaming facility any 

forms and kinds of Gaming permitted under the Compact, IGRA 

and this Code.

7.1.3 No compact shall limit the number of Class II Gaming Facilities 

the Tribe may operate or otherwise restrict in any fashion the 

Tribe’s inherent right to engage in Class II gaming activities in 

accordance with IGRA and this Code.

7.2 Gaming Device Restrictions

7.2.1 Number of Devices

(1) The Tribe may offer no more Class III Gaming Devices,

combined for all Class III Gaming Facilities, than are

authorized in accordance with the Compact.

(2) The Tribe may offer Class II Gaming in accordance with

this Code, the IGRA and NIGC Regulations.

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: 
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(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

(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, resting 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 standards that meet the Minimum Internal 

Control Standards as issued by the NIGC and any regulations adopted by 

the Tribal Commission.

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 Eighteen (18) shall be permitted to 

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

7.4.5 No Person under the age of Eighteen (18) shall be permitted in any 

room in which Gaming is being conducted unless the person is enroute to a non-gaming area of the gaming facility. 

7.4.6 A Person under the age of fourteen (14) years may Participate in 

Gaming Activity in private homes, purchase raffle tickets, attend 

sporting contests or ticket drawings, and stick game and other 

traditional Class I Gaming tournaments.
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7.5 Methods of Payment

7.5.1 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.

7.6 Compliance requirements

7.6.1 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.

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

within the time prescribed.

7.6.3 The Enterprise shall respond immediately to all inquiries, 

subpoenas, or orders of the Tribal Commission, the State Gaming 

Agency, the Tribal Council, or the NIGC.

7.6.4 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 Tribal Council or their 

designee.

7.7 Miscellaneous

7.7.1 The Enterprise shall provide adequate security to protect the public 

before, during, and after Gaming.

7.7.2 The Enterprise may not discriminate on the basis of sex, race, 

color, or creed in the conduct of Gaming.

SECTION 8. ENFORCEMENT

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

Commission, Tribal Court and Review Board 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 specifically prohibited by any 
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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.

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 participating 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, token 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 Gaming Activity.
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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.

8.2.21 Assisting or allowing a Person who is under the age of Eighteen 

(18) 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.

8.2.25 Any other prohibited act as established by an adopted regulation of 

the Tribal Commission.

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 one (1) year per violation.

Each day during which any such violation or failure to comply continues 

shall constitute a separate violation of this Code.
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8.4

8.5

8.6

8.7

8.8

8.9

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 

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. 

Cumulative Fines All civil fines accruing under this Code shall be 

cumulative and a suit for the recovery of one 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. 

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

intended to be remedial and 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. 

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 Person for violation of such provision by civil complaint 

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. 

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. 

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 Tribal Council, State Gaming Board and NIGC. 
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SECTION 9. GAMING MANAGEMENT

9.1 Management by a Gaming 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 2.29. 

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 problem 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 of Management The Tribal Commission shall, 

with the input and suggestions of Primary Management Officials, 

promulgate rules and regulations of specifications governing the following 

subjects:

9.2.1 The enforcement of all relevant laws and rules with respect hereto;

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; 

9.2.4 The prevention of illegal activity from occurring within the 

gaming facility including employee procedure 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;
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(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;

and

9.2.7 Maintenance of a list of persons barred from the gaming facility. 

9.3 Insurance Requirements

9.3.1 The Tribe shall obtain and maintain commercial general liability

insurance consistent with industry standards which provides 

coverage of no less than the minimum amount required by the 

Compact.

9.3.2 The Tribe shall obtain and maintain an employment practices 

liability insurance policy consistent with industry standards which 

provides coverage of no less than the minimum amount required 

by the Compact, if any.

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 and 

FinCen reporting requirements in accordance with the IRS Regulations, 

the Bank Secrecy Act and any other applicable federal rules and 

regulations.
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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 Certifies Public Accountants.

9.5.2 Contract Audits Each contract 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.

9.5.3 Copies A copy of all such audits shall be provided to the Tribal 

Commission and the Tribal Council in accordance with Tribal 

Commission Regulations. Additionally, the General Manager shall 

ensure delivery of audits to the NIGC in accordance with IGRA 

and the NIGC Regulations. The Tribal Commission shall ensure 

compliance with Compact requirements for audit submissions to 

the State, if any.

9.6 Management Contracts

9.6.1 Each Management Contract is subject to the prior approval of the 

National Indian Gaming Commission.

9.6.2 Each Management Contract shall be approved by the Tribal 

Council. In make its selection, the Tribal 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.
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(3) A complete financial statement of each Person listed in 

subsection 9.4.2(1).

(4) The Tribal Council shall undertake any additional steps it 

can to determine the character and reputation of each 

proposed management contractor.

(5) If the Tribal 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 Council 

approves it.

9.6.3 Any Management Contract approved by the 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 Enterprise’s income of 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 Contractor’s right to recoup development and 

construction costs.

(3) An agreed upon ceiling for the Management Contractor’s 

development and construction costs.

(4) A provision that the contract shall not exceed the term or 

fee based net revenue percentage approved by the 

Chairman of the NIGC in accordance with IGRA.

(5) A provision for termination of the contract and the grounds 

for termination.

9.6.4 If the 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.
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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, and/or disputes raised by the

gaming public are resolved fairly. In the event of a patron dispute over the 

application of any gaming rule or regulation, the matter shall be handled in 

accordance with, industry practice and principles of fairness, pursuant to 

this Code in a fair and orderly manner. 

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 Tribe’s 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 complaints (hereinafter collectively “disputes”) in the first 

instance to gaming management at the gaming facility, either 

orally or in writing. 

10.2.2 Patron disputes shall be raised as soon as reasonably possible after 

the events giving rise to the dispute occur; however, no actionable 

dispute may be raised more than 7 (seven) calendar days after said 

events take place without consent of the Gaming Management. 

10.2.3 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.). Gaming Management, within thirty 

(30) days of receiving the dispute, shall inform the complainant, in

writing, about its initial determination and provide the complainant

with written notice pertaining to their right to seek resolution of the

dispute by the Tribal Commission, as well as provide a copy of the

procedures including the appeals process.

10.3 Formal Dispute Resolution Procedure.

10.3.1 Complainants who have followed the initial dispute resolution 

procedure, and who are unsatisfied with Gaming Management’s 

initial determination, may appeal that determination in writing to 

the Tribal Commission no later than fifteen (15) days after being 

informed about the initial determination. 
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10.3.2 The Commission shall hold a hearing within thirty (30) days of 

receipt of the petitioner’s complaint. The petitioner may have 

counsel present at the hearing. The petitioner will be allowed to 

present relevant evidence and testimony at the discretion of the 

Commission. After the hearing, the Commission shall render a 

decision in a timely fashion. All such decisions will be final when 

issued. 

10.3.3 All claims by patrons shall be limited to actual monetary loss or 

game prize amount, if any, and may not include amounts for 

attorney fees, pain and suffering or any other amount. 

10.3.4 Patron complaints related to alleged personal injury or property 

loss at a gaming facility may not be brought under this section and 

are subject to the Tribe’s Gaming Facility Tort Ordinance.

10.3.5 The Commission’s decision shall constitute the complainant’s final 

remedy and is not subject to further appeal in any jurisdiction.