October 4,2005 

Via Facsimile and US. Mail 

The Honorable Camella Johnson 

Chairperson 

Habematole1 Pomo of Upper Lake 

P.O. Box 5 16 

Upper Lake, CA 95485 

RE: Approval of Class II and Ciass HI Tribal Gaming Code 

Dear Chairperson Johnson: 

This is in -me to your letter dated August 8,2005, requesting review and approval of 

the Habematole1 Pomo of Upper Lake's Tribal Gaming Code, as adopted by Tribal 

Executive Council Resolution No. 08-05-0 1 (Aug. 4,2005). 

The tribal gaming code is consistent with the requirements of the Indian Gaming 

d the National Indian Gaming Commission's regulations. 

de is hereby approved. 

n. If you have any questions or require assistance, please 

Nelson at (202) 632-7003. 

Philip N. Hogen 

Cbm 

Cc: Robert Rosette, Esq. 

NATloHAL HEADQUAllfERS 1441 L St. NW. Suite 9100. Washington. DC 2W5 Tel: 202-632.7003 Fax: 202.632.7066 www.~rcc.c;ov 

~~PUO~UL OFPI= Pwtland, OR; Sacramento, CA; Phoenix. AZ; St. Paul, MN:Tuk OK 
HABEMATOLEL 

POMO OF UPPER LAKE 

375 E. HWY. 20, STE I P.O. BOX 516 UPPER LAKE, CA 95485 

(707) 275-0737 - FAX: (707) 275-0757 

RESOLUTION NO. 08-05-01 

OF THE EXECUTIVE COUNCIL OF 

HABEMATOLEL POMO OF UPPER LAKE 

Repealing the Gaming Code Submitted to the NIGC on May 23,2005, and 

Approving a New Gaming Code of the Habematolel Pomo of Upper Lake 

("Tribe") and Authorizing the Tribal Chairperson to Take Any and All 

Actions Required to Obtain NIGC Approval of the New Gaming Code. 

WHEREAS, The Habematolel, Pomo of Upper Lake ("Tribe") is formally recognized, 

constituted and established pursuant to the Indian Reorganization Act of 1934 (48 

Stat. 984), as amended, and is a Federally recognized Tribal government 

operating pursuant to the Constitution of the Habematolel, Pomo of Upper Lake 

("Constitution"); and 

WHEREAS, The Tribe's Executive Council is the Governing Body of the Tribe pursuant to 

Article IV of the Constitution; and 

WHEREAS, The Executive Council ("Council") of the Tribe has the authority pursuant to 

Article X, Section 1(A) of the Tribe's Constitution to act in all matters that 

concerns the general welfare of the Tribe and to make decisions consistent with 

the Constitution, and in Article X, Section 1 (J) to enact codes and ordinances; and 

WHEREAS, The Tribe desires to develop a gaming facility in accordance with the Indian 

Gaming Regulatory Act and related facilities in support thereof (the "Project"); 

and 

WHEREAS, Tribal regulation and control over the Project is essential for the protection of 

public health and welfare of the Tribe and visitors; 

WHEREAS, It is essential that the Executive Council regulates the Project in a manner 

commensurate with applicable Federal, State of California and Tribal law and 

policy; and 

WHEREAS, The Tribe, submitted to the National Indian Gaming Commission the Tribal 

Gaming Code of the Habematolel Pomo of Upper Lake on May 23,2005; and 
order to expeditiously submit the Tribe's new Class I1 and Class I11 Gaming Code 

to the National Indian Gaming Commission, the Executive Council has 

considered at a duly called Executive Council Meeting the content of the Gaming 

Code; and 

WHEREAS, The Executive Council has determined that it is in its best interest of the Tribe to 

adopt the Gaming Code, including each Title as listed below: 

Title I Regulation of Class I1 and Class I11 Gaming; 

Title I1 Regulation of the Environment for Class 111 Gaming; 

Title 111 Adoption of Federal Occupational Safety and Health Standards for 

the Class 111 Gaming Facility; 

Title IV Adoption of the Americans with Disabilities Act Standards for a 

Class 111 Gaming Facility; 

Title V Adoption of the FDA 1999 Food Code for a Class 111 Gaming 

Facility; 

Title VI Adoption of Federal Safe Drinking Water Standards; 

Title VII Adoption of the Uniform Building Code, Uniform Mechanical 

Code, Uniform Plumbing Code, National Electrical Code, and 

other Relevant Building and Construction Standards. 

NOW, THEREFORE, BE IT RESOLVED, THAT: 

I. The Executive Council repeals the Gaming Code submitted to the NIGC on May 

23, 2005 and hereby withdraws that Gaming Code from consideration for approval by the NIGC; 

and 

2. The Executive approves the Gaming Code attached hereto; and 

3. The Executive Council authorizes the Chairperson to take any and all action 

necessary to obtain NIGC approval of the Gaming Code, including but not limited to 

resubmitting the Gaming Code for NIGC approval. 

CERTIFICATION 

I hereby certify that the foregoing resolution was adopted by an affirmative vote of the 

Executive Council of the Habematolel Pomo of Upper Lake by a vote of -6- in favor, -0- 

opposed, and -1- abstaining, presented for approval on August 4 ,2005. 

Carmella Icay-Johns 

ATTEST: 

~cgelina Arroyo, Secretary 
TRIBAL GAMING CODE 

OF THE 

HABEMATOLEL POMO OF UPPER LAKE 

TITLE I 

REGULATION OF CLASS I1 AND CLASS I11 GAMING 

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

jurisdiction of the Habematolel Pomo of Upper Lake. 

SECTION 1 FINDINGS, INTENT AND POLICY 

1. Findings The HABEMATOLEL POMO OF UPPER LAKE ("Tribe" or 

"Tribal") Executive 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 Properly licensed and regulated Gaming is in conformance with 

announced Federal policy promoting Indian self-government and Indian 

Tribal economic self-sufficiency. 

1.1.4 It is essential that the Executive 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 self-determination. 

Habematolel Pomo of U~per Lake 8/8/05 1 - 
1.1.7 The State, in recognition of the Tribe's sovereign right and need for 

Gaming, will enter into a TribalIState Compact ("Compact") pursuant to 

the terms and conditions of the Indian Gaming Regulatory Act. 

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

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

1.2 Intent The Executive 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 remains free from corrupt, incompetent, 

unconscionable and dishonest practices. 

1.2.5 Encourage Tribal economic development and employment opportunities. 

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

community. 

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

of Gaming disputes. 

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

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

1.3 Policy 

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

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

Gaming revenues shall be utilized and expended by the Executive 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. 

(3) To promote Tribal economic development. 

Habematolel Pomo of U~per Lake 8/8/05 2 
(4) To donate to charitable organizations. 

(5) To preserve and protect cultural and historic resources. 

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

governmental services, the maintenance of peace and good order, 

the establishment of educational systems and programs, and the 

promotion and regulation of economic activities within the 

sovereign jurisdiction of the Tribe. 

1.3.2 Tribal Gaming Policv The establishment, promotion and operation of 

Gaming is necessary, provided that such Gaming is regulated and 

controlled by the Tribe pursuant to the TribalJState Compact authorized by 

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

are used exclusively for the benefit of the Tribe. 

Tribal Ownership of Gaming Facility The Tribe shall have the sole 

proprietary interest in and responsibility for the conduct of any gaming 

authorized by this Code. No part or share of the proceeds of any tribal 

gaming operation shall inure to the benefit of any person except as 

provided in a management contract approved in accordance with this 

Code. No gaming employee shall have any interest in the ownership or 

leasing of any property, gaming device or facility used by the Enterprise in 

gaming operations. 

1.3.4 Tribal Class I1 Gaming Authorized Class 11 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 111 Gaminn Authorized Class JII Gaming is authorized and 

permitted only to the games identified pursuant to the forthcoming 

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

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

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

the NIGC. 

SECTION 2 DEFINITIONS 

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

requires, the following terms ad 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. 

Habematolel Pomo of Upper Lake 8/8/05 3 

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

provisions of this Code. 

2.3 "Application" means a request for the issuance of a License under the provisions 

of this Code. 

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

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

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

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

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

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

covering a previously designated arrangement of numbers or designations on such 

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

2.5 '!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. 

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

which is expected to extend beyond one year. 

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

not limited to currency, traveler's checks, credit cards, and electronic debit cards. 

2.8 "Casino" means an establishment in which several Gaming activities or 

enterprises are operated. 

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

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

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 I1 Gaming" means: 

2.1 1.1 The game of chance commonly known as bingo (whether or not 

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

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

numbers or other designations; 

Habematotel Pomo of Upper Lake 8/8/05 

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

objects, similarly numbered or designated, are drawn or electronically 

determined; and 

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

designated arrangement of numbers or designations on such cards, including (if 

played in the same location) pull tabs, lotto, punch boards, tip jars, instant bingo, 

and other games similar to bingo; and 

(D) card games that 

(i) are explicitly authorized by the laws of the State, or 

(ii) are not explicitly prohibited by the laws of the State and are played 

at any location in the State, 

but only if such card games are played in conformity with those laws and 

regulations (if any) of the State regarding hours or periods of operation of 

such card games or limitations on wagers or pot sizes in such card games. 

2.12 "Class I11 Gaming" means: those Gaming activities as defined as Class ItI 

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

2.13 "Code" means this Tribal Gaming Code of the Habematolel Pomo of Upper 

Lake, as amended. 

2.14 "Compact" means the Gaming compact that will be formed 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 "Executive Council" means the governing body of the Tribe. 

2.18 "Determination of Suitability" means a formal finding by the Tribal Gaming 

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

obtain andlor maintain the License. 

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

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

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

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

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

- Habematolel Pomo of Upper Lake 8/8/05 5 

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

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

public. 

2.20 "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 Gaming 

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

pays the expenses. A Gaming Enterprise may be operated by the Tribe or a 

Management Contractor. 

2.22 "Equipment for Games of Chance" (see "Gaming Device"). 

2.23 i exclusive License" means a license, which precludes the Tribal Gaming 

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 Gaming Commission must find that the issuance of an Exclusive 

License is in the economic interest and welfare of the Tribe. 

2.24 "False Statement" means any misstatement, misrepresentation or false statement 

of facts or information, including the withholding or omission of facts or 

information. 

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

definition of Gaming or Gaming Activity. 

2.26 "Gaming" or "Gaming Activity" means any activity, operation or game of 

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

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

valuable prize is awarded to the player so wagering. 

"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, 

provided however the nothing herein shall be interpreted as including Class II 

Gaming as defined under IGRA 

2.28 "Gaming Employee" means any key employee, any primary management 

official or any other person employed by the gaming enterprise who performs 

Habematolel Porno of Up~er Lake 8/8/05 6 

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gaming related activities, including those persons whose employment duties 

require or authorize access to restricted gaming related areas of the gaming 

facility. 

2.29 "Gaming Employee License" means a license issued by the Tribal Commission, 

pursuant to Section 5.6 of this Code, permitting a person to be employed as a 

gaming employee. 

2.30 "Gaming Facility" means any building in which Gaming Activities or Gaming 

operations occur, or in which the business records, receipts, or other funds of the 

Gaming operation are maintained (but excluding offsite facilities primarily 

dedicated to storage of those records, and financial institutions), and all rooms, 

buildings, and areas, including hotels, ancillary businesses, parking lots and 

walkways, a principal purpose of which is to serve the activities of the Gaming 

operation, provided that nothing herein prevents the conduct of Class 11 Gaming 

(as defined under IGRA) therein. 

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

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

Tribal Gaming Commission. 

2.32 "Gaming Operation" means the Class 11 or Class Ill gaming conducted by the 

Gaming Enterprise in any gaming facility. 

2.33 "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 11 Gaming or Class 

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

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

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

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

2.34 "General Manager" means the Person or entity, which has management 

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

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

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

2.35 "Gross Revenues" means all gaming and non-gaming revenues collected or 

received from the lawful Gaming Enterprise. 

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

father, mother, son, daughter, husband, wife, brother, sister, granddaughter, 

grandson, half brother or half sister, and/or any Person that resides in the home or 

residence of the Person under consideration. 

Habematotel Pomo of U~per Lake 8/8/05 7 

ZlllhnMlnt/- .r . . 

-. 
2.37 "Indian" means an individual who is either enrolled in a federally recognized 

Tribe or is eligible for membership in a federally recognized Tribe. 

2.38 "Indian Gaming Regulatory Act" or "IGRA" means Public Law 100-49'1, 102 

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

2.39 "Indian Lands" means all lands within the limits of any Indian reservation; and 

any lands title to which is either held in trust by the United States for t& benefit 

of any Indian tribe or individual or held by an Indian tribe or individual subject to 

restriction by the United States against alienation and over which an Indian tribe 

exercises governmental power. t 

2.40 "IRS" means the United States Internal Revenue Service. 

2.41 "Key Employee" means: 

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

(1) Bingo caller; 

(2) Counting room supervisor and Personnel; 

(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 or Management; 

(6) Pit boss; 

(7) Dealer; 

(8) Croupier; 

(9) Approver of credit; or 

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

cash and accounting records within such devices; 

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

in excess of $30,000 per year; or 

2.41.3 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 

Habematolel Porno of Upper Lake 8/8/05 8 

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the maintenance, review, or control of the records, accounts, and reports of 

transactions; or 

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

Gaming Facility; or 

2.41.5 Any Applicant or Person the Tribal Gaming Commission finds is important or 

necessary to the operation of the ~aming Facility. 

2.42 "License" means the official, legal and revocable permission granted by the 

Tribal Gaming Commission to an Applicant to conduct "Licensed" Gaming 

Activities of the Tribe. 

2.43 "Licensee" means the Employee, Key Employee, Primary Management Official, 

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

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

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

chance to one or more chance takers or ticket purchasers. The Licensee 

conducting the "lottery" determines the amount of cash prizes or winnings and a 

progressive pool is permitted. 

2.45 "Management Contract" means any Contract for the management of Class II or 

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

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

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

IGRA by the NIGC. 

2.45 "Management Contractor" means any Person or entity that 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. 

2.47 "National Indian Gaming Commission" or "NIGC" means the National Indian 

Gaming Commission established by the IGRA. 

2.48 "Net Revenues" means gross revenues of an Indian gaming activity less amounts 

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

management fees. 

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

Public Accountants. 

2.50 "Participate" 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 

Habematolel Pomo of Upper Lake 8/8/05 9 
Gaming is being conducted, directly or indirectly, whether at the site, in Person or 

off the Reservation. 

2.51 "Person" means any individual, partnership, joint venture, corporation, joint 

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

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

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

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

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

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

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

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

"people." 

2.52 "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. 

2.53 "Primary Management Official" means: 

2.53.1 The person having management responsibility for a management contract; 

or 

2.53.2 Any Person who has authority to: 

(1) Hire and fire employees; or 

(2) To set up working policy for the gaming operation; or 

2.53.3 The chief financial officer or other person who has financial management 

responsibility. 

2.54 "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. 

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

preprinted cards utilizing symbols or numbers in random order which are 

uncovered by random choice in expectation of cash prizes if prescribed 

combinations of symbols and numbers are revealed. 

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

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

include a slot machine. 

Habematolel Pomo of Upper Lake 8/8/05 10 
2.57 "Reservation" or "Rancheria" means lands defined as "Indian Lands" herein. 

2.58 "State" means the State of California. 

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

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

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

2.60 "Tribal Commission" means the Tribal Gaming Commission described in 

Section 4 of Title I of this Code. 

2.61 "Tribal Court" means the Court, if and when created under the Tribe's 

Constitution, or in the alternative, the Executive Council until such Tribal Court is 

created. 

2.62 "Tribe" means the Habematolel Pomo of Upper Lake. 

2.63 "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, and pursuant to the powers of the Executive Council pursuant to the Tribal 

Constitution of the Habematolel Pomo of Upper Lake. 

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

the Habematolel Pomo of Upper Lake 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 that this Code becomes operative, 

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

the provisions of this Code are hereby repealed. 

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

reviving any prior Law, Code, 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. 

Habematotel Pomo of U~per Lake 8/8/05 11 
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. 

3.3.5 Ambiguities in this Code are to be construed in favor of the Habematolel 

Pomo of Upper Lake. 

3.4 Compliance with Bank Secrecy Act. Any licensed gaming establishment shall 

comply with all applicable provisions of the Bank Secrecy Act, P.L. 91-508 84 

Stat. 1122,31 U.S.C. 98 5311-5314, as amended. 

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

jurisdiction, the remaining sections shall not be affected thereby. 

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

the NIGC Chairperson pursuant to the IGRA. 

3.7 Minimum Age of Gaming Patrons No person under the age of twenty-one (2 1) 

years may be present in any room or area in which Class III Gaming Activities are 

being conducted unless the person is en route to a nongaming area of the Gaming 

Facility. 

3.8 Protection of the Environment and Public Health and Safety All gaming 

facilities shall be constructed, maintained and operated in a manner that 

adequately protects the environment and the public health and safety. 

SECTION 4 TRIBAL GAMING COMMISSION 

4.1 Establishment The Executive Council hereby charters creates and establishes 

the Habematolel Pomo of Upper Lake's Tribal Gaming Commission as a 

governmental subdivision of the Tribe. The Executive Council shall serve as the 

Initial Gaming Commission until such time as the Habematolel Pomo of Upper 

Lake Tribal Gaming Commission is appointed. 

Habematolel Pomo of Upper Lake 8/8/05 12 
4.2 Location and Place of Business The Commission shall be a resident of and 

maintain its headquarters, principal place of business and office on the Indian 

lands of the Tribe in close proximity to the Gaming Facility. The Commission 

may, however, establish other places of business in such other locations as the 

Commission may from time to time determine to be in the best interest of the 

Habematolel Pomo of Upper Lake. 

4.3 Duration The Tribal Gaming Commission shall have perpetual existence and 

succession in its own name, unless dissolved by the Executive Council pursuant 

to Tribal law. 

4.4 Attributes As a governmental subdivision of the Tribe, the Tribal Gaming 

Commission is under the directive and control of the Executive Council, but it is 

the purpose and intent of the Executive Council that the operations of the Tribal 

Gaming Commission be conducted on behalf of the Tribe for the sole benefit and 

interests of the Tribe, its members and the residents of the Reservation in relation 

to gaming. 

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

Gaming Commission shall function as an arm of the Tribe. 

4.4.2 Tribal Actions Notwithstanding any authority delegated to the Tribal 

Gaming 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 Gaming Commission, whenever the Tribe 

deems it necessary to protect the sovereignty, rights and interests of the 

Tribe or the Tribal Gaming Commission. 

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

Tribal Gaming Commission, shall take all necessary steps to acquire recognition 

of the Tribal Gaming Commission as a political subdivision of the Tribe, 

recognized by all branches of the United States Government and the various states 

as having been delegated the right to exercise one or more substantial 

governmental functions as specifically authorized under the terms and conditions 

of this Code. 

Habematolel Porno of Upper Lake 8/8/05 13 
4.6 Sovereign Immunity of the Tribal Gaming Commission 

4.6.1 Authority The Tribal Gaming Commission is cloaked by Federal and 

Tribal law with all the privileges and immunities of the Tribe, except as 

specifically limited by this Code, including sovereign immunity from suit 

in any 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 Gaming 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 Gaming 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 Gaming Commission. 

4.7 Waiver of Sovereign Immunity of the Tribal Gaming Commission The 

sovereign immunity of the Tribal Gaming Commission may be waived only by 

express resolutions of both the Tribal Gaming Commission and the Executive 

Council after consultation with its attorneys. 

4.7.1 Resolution effect in^ Waiver All waivers of sovereign immunity must be 

preserved within the resolutions of the Tribal Gaming Commission and the 

Executive 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 Gaming 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 Gaming Commission 

and shall specify the 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 Gaming Commission, shall be deemed a consent to 

the levy of any judgment, lien or attachment upon property of the Tribal 

Gaming Commission other than property specifically pledged or assigned, 

or a consent to suit in respect of any land within the exterior boundaries of 

the Reservation or a consent to the alienation, attachment or encumbrance 

of any such land. 

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

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

Habematolel Porno of Upper Lake 8/8/05 14 
the Executive Council, 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 Commission, shall be deemed or construed to be a waiver of 

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

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

the business or affairs of the Commission or the Tribe; or to be a consent of the 

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

lien or attachment upon any property of the Tribe; or to be a consent to suit with 

respect to any land within the exterior boundaries of the Reservation, or to be a 

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

4.9 Assets of the Tribal Gaming Commission The Tribal Gaming Commission 

shall have only those assets specifically assigned to it by the Executive Council or 

acquired in its name by the Tribe or by it on its own behalf. No activity of the 

Tribal Gaming Commission nor any indebtedness incurred by it shall implicate or 

in any way involve any assets of Tribal Membership or the Tribe not assigned in 

writing to the Tribal Gaming Commission. 

4.9.1 Credit of the Tribe Nothing in this Code or any activity of the 

Commission shall implicate or in any way involve the credit of the Tribe. 

4.10 Membership 

4.10.1 Number of Commissioners The Tribal Gaming Commission shall be 

comprised of three (3) Tribal Gaming Commissioners, one (I) of which 

shall be a tribal member; one (1) of which shall not be a tribal member, 

and one (1) of which shall be either a tribal member or a non tribal 

member. 

4.10.2 Organization The Commission shall consist of a Chairperson and two (2) 

Commissioners. 

(i):me Commission Chairperson and Commissioners shall be appointed 

by the Executive Council, as set forth in section 4.1 1. 

@y~he A/ Chairperson shall direct Tribal Gaming Commission meetings, be 

responsible for day-to-day operations of the Tribal Gaming 

Commission and supervise Tribal Gaming Commission employees, 

provided however, that the Commission Chairperson shall not 

supervise the Commissioners. 

(3) The Commission Chairperson shall be the agent for service of process. 

4.10.3 Qualifications The Commission Chairperson and Commissioners must 

possess all of the following minimum qualifications: 

Habematolel Porno of Upper Lake 8/8/05 15 
(1)  eat least twenty-five (25) years of age prior to appointment; 

ve a high school diploma or its equivalent or have a minimum of 

two (2 years tribal government andlor gaming industry experience or 

have tepl years of cumulative working experience; 

(3) Be a resident of the State; 

4.10.4 Backgs~und Checks Prior to the time that any Tribal Gaming 

Commjssion member takes office on the Tribal Gaming Commission, the 

Tribe shall perform or arrange to have performed a comprehensive 

background check on each prospective member, who shall meet the 

background requirements of a management contractor under IGRA; 

provided that$ if such official is elected through a tribal electibn process, 

that official may not participate in any Tribal Gaming Commission matters 

unless a background investigation has been concluded and the official has 

been found to be suitable. Notwithstanding, 4.1, the Tribal Election 

Committee shall perform or arrange to have performed a comprehensive 

background check on members of the Executive Council who shall serve 

on the Initial Tribal Gaming Commission. If requested by the tribal 

government or the Tribal Gaming Commission, the State Gaming Agency 

may assist in the conduct of such a background investigation and may 

assist in the investigation of any possible corruption or compromise of a 

member of the Tribal Gaming Commission. No Person shall serve as a 

Commissioner if: 

(1) HeIShe is a member of the Executive Council; 

(2) HisIHer prior activities, criminal record, if any, or reputation, 

habits or associations: 

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

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

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

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

(3) HeIShe has been convicted of or entered a plea of nolo contendere 

to a felony in any jurisdiction for at least five (5) years 

immediately prior to appointment; HeIShe has been convicted of or 

entered a plea of nolo contendere to a misdemeanor involving 

dishonesty or moral turpitude in any jurisdiction, provided that the 

Tribal Executive Council may determine that such time has passed 

after such conviction or plea, or the circumstances of such 

conviction or plea warrant ;finding, that such individual has been 

Habematolel Pomo of Uoper Lake 8/8/05 16 *-- 
sufficiently rehabilitated that hislher presence on the Commission 

need not violate the standards set forth in Section 4.10.3(1) above; 

(4) I-IeIShe has a direct monetary or financial interest, other than as a 

Tribal Member, in the conduct of any Gaming Enterprise or is in 

privity with a Management Contractor; 

(5) HeIShe or any member of his immediate family is a key employee 

or primary management official of, or has any other personal or 

legal relationship which places hiin in a conflict of interest. 

4.11 Appointment of Gaming Commission The appointment of the Gaming 

Commission shall include, at a minimum, a formal application and interview 

process by a majority of the Executive Council. - 

4.11.1 The two (2) Commissioners shall be appointed for two (2) year staggered 

terms by a majority vote of the Initial Gaming Commission or the 

Executive Council. 

(1) With regard to initial appointments, one Commissioner shall be 

appointed to a one-year term, and 

(2) One Commissioner shall be appointed to a two year term. 

4.11.2 The Commission Chairperson shall be appointed for a four (4) year term 

by a majority vote of the Initial Gaming Commission or the Executive 

Council. 

(1) With regard to the initial appointment, the Commission 

Chairperson shall be appointed to a four-year term. 

4.12 Ex-Officio Members At the discretion of the Executive Council, any member of 

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

Person may be designated to Participate, without vote, in Tribal Gaming 

Commission meetings. 

4.13 Meetings 

4.13.1 Regular Meetings The Tribal Gaming Commission shall set a day of the 

week to conduct formal business at least once per week. Nothing in this 

Code shall prohibit the Commission from authorizing telephone and offsite meetings. Upon the establishment of regularly scheduled meetings, 

the Tribal Gaming Commission shall notify the Executive Council in 

writing of the regular meeting schedule. 

Habematolel Porno of Upper Lake 8/8/05 17 
4.13.2 Special Meetings Special meetings may be called at the request of the 

Executive Council, the Chairperson of the Tribal Gaming Commission or 

by a majority vote of the Gaming Commissioners. 

4.13.3 Quorum A quorum for all meetings shall consist of two (2) members. 

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

Gaming Commission shall be decided by majority vote. 

4.14 Compensation of Commissioners The compensation of Tribal Gaming 

Commissioners shall be established by the Executive Council. 

r 

4.15 Removal of Members or Vacancies 

4.15.1 Removal A Commissioner may be removed by the Executive Council for 

the following reasons: serious inefficiency, neglect of duty, malfeasance, 

misfeasance, nonfeasance, misconduct in office, or for any conduct which 

threatens the honesty and integrity of the Tribal Gaming Commission or 

otherwise violates the letter or intent of this Code. 

4.15.2 Removal Final The decision of the Executive Council upon the removal 

of a Commissioner shall be final. 

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

reason be unable to serve as a Commissioner, the Executive Council shall 

declare hislher 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 minimum qualifications 

established by this Code at 4.10.3 and 4.10.4. 

4.16 Conflict of Interest No Person shall serve as a Commissioner if helshe or any 

member of hisher Immediate Family has an ownership, partnership or other 

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

Enterprise, or if helshe has any other Personal or legal relationship which places 

himher in a conflict of interest. The Executive Council shall take all reasonable 

steps to ensure that members of the Tribal Gaming Commission are free from 

corruption, undue influence, compromise, and conflicting interests in the conduct 

of their duties under this Tribal Gaming Code and shall adhere to the Habematolel 

Pomo of Upper Lake's Code of Ethics to that end; and shall ensure the prompt 

removal of any member of the Tribal Gaming Commission who is found to have 

acted in a corrupt or compromised manner, in violation of this Gaming Code. 

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

limitation, of the Tribal Gaming Commission's purposes and responsibilities, and 

Habematolel Pomo of Upper Lake 8/8/05 18 

.?ubm& 
subject to any restrictions contained in this Code or other applicable law, the 

Tribal Gaming Commission shall have, and is authorized to exercise by majority 

vote, the following powers in addition to all powers already conferred by this 

Code: 

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

the Tribe, provided that the Commission does not make Management 

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

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

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

4.17.3 To publish and distribute copies of this Code and Tribal Gaming 

Commission rules and any Executive Council, Tribal Gaming 

Commission or Tribal Court decisions regarding Gaming matters. 

4.17.4 To prepare and submit for Executive Council approval proposals, 

including budget and monetary proposals related to the operation of the 

Tribal Gaming Commission, which could enable the Tribe to better carry 

forth the policies and intent of this Code. 

4.17.5 To work directly, and only with the Executive Council with regard to any 

Gaming issues. 

4.17.6 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 Gaming Commission may request the 

assistance of Tribal Gaming staff, Federal and local law enforcement 

officials, legal counsel and other third parties. 

4.17.7 To arrange for training of Tribal Gaming Commission members and 

employees in areas relating to the regulation or operation of Gaming. 

4.17.8 Upon prior explicit resolution and approval of the Executive Council, to 

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

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

and Gaming professionals. 

4.17.9 To promulgate rules and regulations to implement and further the 

provisions of this Code, including the development of a personnel and 

procedures policy with regard to its own employees; provided such rules 

or regulations are approved by Executive Council resolution or ordinance. 

4.17.10 To accept, review, approve or disapprove any Application for a License. 

4.17.1 1 To consult with and make recommendations to the Executive Council 

Habematolel Porno of Upper Lake 8/8/05 19 

2#iLw'5 
regarding changes in Tribal Gaming laws and policies. 

4.17.12 To issue fines and sanctions to the Gaming Facility if it is operating in 

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

the Executive Council and the State Gaming Agency. 

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

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

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

prior explicit written approval of the Executive Council. 

4.17.14 To use the seal of the Tribe with the approval of the Executive Council. 

4.17.15 To arbitrate, compromise, negotiate or settle any dispute to which-it is a 

party relating to the Tribal Gaming Commission's authorized activities. 

4.17.16 To exercise the Tribal power to tax, authorized by the Tribal Constitution 

in accordance with an Executive Council resolution delegating such 

power to the Tribal Gaming Commission solely for the purpose of 

allowing it to charge administrative and License Application fees to 

Gaming License Applicants which are reasonably related to the costs of 

operating the Commission. 

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

property or against any risk or hazard. 

4.17.18 With prior approval of the Executive 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 Gaming 

Commission or the Tribe. 

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

convenient. 

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

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

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

safeguards for preserving confidentiality as deemed necessary by the 

Tribal Gaming Commission for retaining records, forms and reports at 

least three (3) years. 

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

PHabematolel Pomo of U~per Lake 8/8/05 20 
4.17.23 To adopt a schedule of fees for services rendered relating to transcripts 

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

records. 

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

4.17.25 To discipline any Licensee or Person participating in Gaming by ordering 

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

temporary suspension of any License issued under this Code pursuant to 

the hearings and due process required by Section 4.21 herein. 

4.17.26 To issue an order of temporary closure of a Gaming Facility in the event 

the Tribal Gaming 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 4.21 herein. 

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

certificate of self-regulation under the IGRA. 

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

of a Determination of Suitability as defined by the Tribalistate Compact. 

4.17.29 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 incurs in the provision of this service. 

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

insure the physical safety of all Tribal Gaming Enterprises, their 

Licensees, patrons and employees. 

4.17.3 1 Notwithstanding any authority granted herein, the Tribal Gaming 

Commission shall endeavor to follow rules, regulations, standards, 

specification and procedures consistent with the State Gaming Agency's 

rules, regulations, standards, specifications and procedures adopted 

pursuant to the forthcoming Tribalistate Compact. In conformance with 

Article 6 (commencing with section 11140) of Chapter 1 of Title 1 of 

Part 4 of the California Penal Code and to be adopted as Tribal 

Ordinance, the Tribal Gaming Commission, its members, investigators, 

and staff and those members, investigators and staff shall thereafter 

comply with said Code, then, for purposes of carrying out its obligations 

under the Compact, the Tribal Gaming Commission shall be considered 

to be an entity entitled to receive state summary criminal history 

information within the meaning of subdivision (b)(12) of section 11 105 

of the California Penal Code. The California Department of Justice shall 

provide services to the Tribal Gaming Commission through the 

California Law Enforcement Telecommunications System (CLETS), 

Habematolel Porno of Upper Lake 8/8/05 21 

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subject to a determination by the CLETS advisory committee that the 

Tribal Gaming Commission is qualified for receipt of such services, and 

on such terms and conditions as are deemed reasonable by that advisory 

committee. 

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

Interest Policy governing Commissioners and Tribal Gaming 

Commission staff, which shall be consistent with the Code of Ethics 

Ordinance. 

4.17.33 To file a quarterly report to the Executive Council summarizing reports ., received from the Tribe's Management Contractor or General Manager 

pursuant to Section 9.1.3, and further to make such comments as it 

deems necessary to keep the Executive Council fully informed as to the 

status of the Tribal Gaming Commission's activities in response to those 

reports. 

4.17.34 To determine whether the Game of Chance is classified as Class II 

Gaming or Class III Gaming. 

4.18 Annual Budget The Tribal Gaming Commission shall prepare an annual 

operating budget for all Tribal Gaming Commission activities and present it to the 

Council by July 1 of each year. 

4.19 Tribal Gaming Commission Regulations 

4.19.1 Tribal Gaming 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 issued by 

the NIGC; 

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

enforce the Tribal Gaming 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 

Habematolel Porno of Upper Lake 8/8/05 22 

,%%btw&w 
(5) The conduct of inspections, investigations, hearings, enforcement 

actions and other powers of the Tribal Gaming Commission 

authorized by this Code. 

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

effect unless it is adopted by the Tribal Gaming Commission by written 

resolution and subsequently approved by a resolution of the Executive 

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

Secretary. 

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

duly authorized officers and employees of the Tribal Gaming Commission, during regular 

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

Facility for the purpose of making inspections and examining the accounts, books, papers 

and documents of any such Gaming Facility. 

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

examinations by giving every reasonable aid to the Tribal Gaming 

Commission and to any properly authorized officer or employee. 

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

Gaming 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. 

4.21 Investigation The Tribal Gaming Commission, upon complaint or upon its own 

initiative or 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 Gaming Commission shall make no order or 

final decisions without affording any affected party notice and a hearing pursuant to 

Section 4.22. No Tribal Gaming Commissioner shall act independently for the purposes 

of this section. 

Habematolel Porno of Upper Lake 8/8/05 23 
4.22 Due Process; Notice; Hearings; Appeals The Tribal Gaming Commission shall 

ensure due process by providing notice and a hearing, if it is to utilize any of its 

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

4.22.1 Patron Dispute Resolution In the event of a patron dispute, the provisions 

of Section 10 regarding due process apply. 

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

satisfaction of the Tribal Gaming Commission that all of the interested 

parties involved in any proposed hearing have resolved the matter at hand, 

the Tribal Gaming Commission may dismiss the issue without a hearing 

4.22.3 Notice of Hearing The Tribal Gaming Commission shall, within fifteen 

(15) days after receipt of written notice of the event, provide a written 

notice to all interested parties setting forth with specificity, the issues to be 

resolved as well as a time for hearing, not to exceed forty-five (45) days. 

At such hearing, the affected parties have the right to present oral or 

written testimony to all people interested therein as determined by the 

l'ribal Gaming Commission. 

4.22.4 Examiner The Tribal Gaming Commission shall act as examiner for the 

purpose of holding any hearing, or the Tribal Gaming 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 Gaming Commission under 

this Code with respect to any such hearing. 

4.22.5 Decision The Examiner shall render a written opinion within ten (10) days 

of the hearing, a copy of which shall be mailed to the address of record of 

all interested parties. 

4.22.6 Appeals Affected parties may appeal a Tribal Gaming Commission 

determination by filing a written appeal to the Executive Council within 

ten (10) days of the Examiner's final decision. 

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 Gaming Commission. 

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

PHabematolel Pomo of Upper Lake 8/8/05 24 
receive at least Fifty Thousand Dollars ($50,000) in any twelve (12) 

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

License as issued by the Tribal Gaming 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 Gaming 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 Gaming Commission An Applicant seeking a 

License shall submit an Application to the Tribal Gaming Commission on 

such form as the Tribal Gaming Commission may require. 

5.2.2. Privacv Act and False Statema The following notice shall be placed on 

the application form for a key employee or a primary management official 

or other employee before that form is filled out by the applicant, along 

with a written statement that the applicant has read, understands and 

approves of the following Privacy Act notice and False Statement notice: 

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 employed in a gaming 

operation. The information will be used 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 to appropriate 

Federal, Tribal, State, local, or foreign law enforcement and 

regulatory agencies when relevant to civil, criminal or 

regulatory investigations or prosecutions or when pursuant 

to a requirement by a tribe or the National Indian Gaming 

Commission in connection with the hiring or firing of an 

employee, the issuance or revocation of a gaming license, 

or investigations of activities while associated with a tribe 

or a gaming operation. Failure to consent to the disclosures 

indicated in this notice will result in the Tribe being unable 

to hire you in a primary management official, key 

employee, or 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. 

-- Habematolel Pomo of Upper Lake 8/8/05 25 
5.2.2.2. False Statement 

A False Statement on any part of your application may be 

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

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

(U.S. Code, Title 18, Section 1001). 

5.2.3 Submission to State Gaming Anencv The Tribal Gaming Commission 

shall forward the Applicant's Application for a Determination of 

Suitability along with required releases to the State Gaming Agency. 

5.2.4 Application Procedures The Commission will conduct or cause to be 

conducted a background investigation on each applicant using the 

information provided on the application. At. a minimum, and where the 

information is relevant for the type of License applied for, the Application 

shall contain the following information: 

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

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

security number or business identification number of the 

~pplica'nt, as well as the address of his personal residences over 

the past five (5) years for Employees and ten (10) years for Key 

Employees, and driverslicense number(s); 

(2) the name and job description of the position the applicant is 

applying for; 

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

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

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

will provide; 

(4) The names and addresses of the Applicant's living parents, 

grandparents, spouse, children, brothers, and sisters, including 

step-, half- and in-laws; 

(5) The Applicant's criminal and civil record, if any, an explanation of 

any charges for which he has been convicted or civil suits he has 

lost, or to which he has entered a plea of nolo contendere, and the 

name and address of the court involved, including the date(s) and 

disposition(s) of each charge(s); 

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

(7) The names and current addresses and telephone numbers of at least 

three personal references who are not related to the Applicant and 

Habematolel Porno of Upper Lake 8/8/05 26 

.M%xM 
were acquainted with the applicant during each period of residence 

listed in subsection (1) above; 

(8) A list of the Applicant's current and previous jobs over the 

preceding five (5) years, including the name, address and 

telephone number of his employer and the position held and his 

present business ,affiliadons; 

(9) A description of any existing and previous business relationships, 

including any ownership interest(s) in any current or past business 

ventures, within theilast 5 years; 

(10) A description of any existing and previous business relationship(s) 

with Indian tribes, - including a detailed description of any ., 

ownership interest(s) and the duration; 

(1 1) A sworn statement whether the Applicant or any member of hislher 

Immediate Family has a past or current financial interest in any 

Gaming-related enterprise anywhere; 

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

for, whether or not they were granted such license and the name 

and address of each licensing or regulatory agency; 

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

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

such license and the name and address of each licensing agency or 

authority; 

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

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

Gaming Agency and NIGC or its designees the right to review the 

Applicant's background, including the applicant's criminal record, 

civil and criminal judgments and credit history; 

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

criminal action against the Applicant, including the case number, a 

description of the judgment and the name and address of the court 

involved;. 

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

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

Court; 

Habematolel Pomo of Upper Lake 8/8/05 27 
(18) A sworn statement that the Applicant will abide by all applicable 

Tribal and Federal laws, regulations and policies; 

(19) A photograph of the Applicant taken within the past year; 

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

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

knowledge; 

(21) Any other information that might bring into question the 

applicant's fitness to serve as a gaming employee of a licensed 

gaming operation; and 

(22) Each applicant will submit fingerprints for verification consistent 

with procedures adopted by the Commission according to 25 

C.F.R. §522.2(h). 

5.2.5 Business Entities In addition to the relevant information requested in 

5.2.4, business entities shall also submit the information in 5.2.4 for each 

of the following: 

(I) 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 ten (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 Compact. 

5.2.6 Fingerprint Verification-A law enforcement officer of the County Sheriff's 

Department will take and process the fingerprints of each gaming license 

applicant for a criminal history check to be conducted in accordance with 

state law procedures. A criminal history check will include a check of 

criminal history records maintained by the Federal Bureau of 

Investigations. 

5.2.7 Each application shall be accompanied by an application fee, the amount 

of which shall be set by the Commission. 

Habematolel Porno of Upper Lake 8/8/05 2 8 

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5.3 Background Investigations of' Primary Management Officials and Key 

Employees; and Other Gaming Employees. 

The Commission or its Chairperson shall request from each primary management 

official and from each key employee all of the information provided on the initial 

application pursuant to Section 5.2.4 of this Code, which will be used by the 

Commission or a designated independent investigator to conduct or cause to be 

conducted a background investigation for each primary management official and 

key employee at least as stringent as those required by parts 556 and 558 of the 

Code of Federal Regulations. The Commission shall perform or cause to be 

performed a criminal records check, conducted in accordance with state law 

procedures, on all applicants and licensees, for verification of the information 

contained in Section 5.2.4. 

5.4 Review Procedure and Eligibility Determination The Tribal Gaming 

Commission, or its designee, 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 Gaming 

Commission's review and background investigation shall include, but is not 

limited to the following: 

5.4.1 The Tribal Gaming Commission shall arrange for a city or county law 

enforcement agency, located in the appropriate county, State of California, 

to take the applicant's fingerprints. Each applicant shall submit the 

completed fingerprint card along with hisher application to the Tribal 

Gaming Commission. 

5.4.2 The Tribal Gaming Commission shall review diligently, the information 

provided in the Tribal Gaming License Application, including, but not 

limited to, contacting each reference provided in the Tribal Gaming 

License Application and take other appropriate steps to verify the accuracy 

of the information and prepare a report of findings. The report shall 

include a section for documentation of all potential problem areas and 

disqualifying information. The Tribal Gaming Commission shall 

designate and authorize a Person who shall review an 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 or other employees for employment in the gaming 

operation. If the Commission determines that employment of the person 

poses a threat to the public interest or to the effective regulation of 

gaming, or creates or enhances dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of gaming, the gaming 

operation or any management contractor shall not employ that person in a 

key employee or primary management official position. For all other 

gaming employees, the Commission shall review the findings resulting 

from the application and either grant or deny the license, if one is required 

Habematolel Pomo of U~per Lake 8/8/05 29 

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by this Code or advise the Enterprise that the applicant's information has 

been reviewed and there exists no barrier to employment. The applicant 

shall be notified in writing of the Commission's decision. Should the 

applicant disagree with a decision made by the Commission, the applicant 

may request a hearing of the Commission to review the decision. After 

the hearing, if the Commission votes to deny a license, it shall include 

within this notification the specific reasons for its decision. 

5.4.3 The Tribal Gaming Commission shall provide a written report as to 

findings and conclusions of the foregoing background investigation for 

each primary management official and key employee, together with a copy 

of the determination on eligibility for licensing. The investigative report 

shall include, but not be limited to, 

the following: 

5.4.3.1 Steps taken in conducting a background investigation; 

5.4.3.2 Results obtained; 

5.4.3.3 Conclusions reached; and 

5.4.3.4 The bases for those conclusions. 

5.4.4 The Tribal Gaming Commission shall transmit the Applicant's 

application, file and eligibility determination report to the NIGC and the 

State Gaming Agency. 

5.4.5 The Tribal Gaming Commission shall maintain the applicant's file, 

including applications, background investigation reports, and eligibility 

determination reports, for inspection by the NIGC for no less than five (5) 

years from the date of termination of employment. 

5.4.6 The Tribal Gaming Commission, when it does not license an Applicant, 

shall notify the NIGC and forward copies of the Tribal Gaming 

Commission's eligibility determination report and the investigative report 

(if any). 

5.4.7 No license shall be issued to a key employee or a primary management 

official until the occurrence of either of these events: 

(A) receipt of notification that the NIGC has no objection to the 

issuance of a license; or 

(B) the expiration of the thirty (30) day period for NIGC review under 

25 CI;R 5 558.3(c). 

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5.4.8 If, within the thirty (30) day period provided for NIGC review under 25 

CFR 5 558.3(c), NIGC provides the Commission with a statement 

itemizing objections to the issuance of the license, the Commission shall 

reconsider the application, taking into account the objections itemized by 

NIGC. The Commission shall then determine whether to issue a license in 

light of the NIGC objection(s) and the Commission's determination shall 

be final. 

5.4.9 Upon any final decision not to license an applicant, the Commission shall 

notify the NIGC of that decision. 

5.5 License Application Submission to NIGC. The Tribal Gaming Commission 

may contract with any entity, with approval from the Executive Council, and 

authorize such entity to receive and process fingerprint cards for background 

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

minimum, include a check of criminal history records maintained by the Federal 

Bureau of Investigation. The Tribal Gaming Commission, if it chooses not to 

contract with any other entity, may designate the NIGC as its authorized entity for 

receiving and processing fingerprint cards for background investigation purposes, 

so long as such background investigation shall, at a minimum, include a check of 

criminal history records information maintained by the Federal Bureau of 

Investigation. 

Notification and MOU with NIGC. If the Tribal Gaming Commission 

chooses to utilize the NIGC pursuant to Section 5.5 above, The Tribal 

Gaming Commission, with consent of the Executive Council, shall notify 

the NIGC of the forwarding of Tribal Gaming License applications to 

NIGC. Before obtaining and processing fingerprint cards for background 

investigation purposes, the Tribal Gaming Commission shall enter into a 

Memorandum of Understanding (MOU) with the NIGC providing, that 

any and all results obtained from the fingerprint cards for background 

investigation purposes shall be viewed by Tribal government officials 

only. 

5.6 Scope and Types of License 

5.6.1 GamingEmployeeLicense Any person who has been hired for 

employment in any licensed gaming operation as a primary management 

official, a key employee, or other gaming employee as deemed necessary 

by the Commission to be licensed, shall apply for a license authorizing 

such employment. 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 

Habematolel Porno of U~per Lake 8/8/05 3 1 
position that is directly in lineal descent below them in the organizational 

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

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

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

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

specifically licensed for those positions. 

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

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

kitchen staff, food servers, or hostesses. 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. 

5.6.3 Part-Time or Full-Time Licenses The Employee's License shall state 

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

5.6.4 Gamin9 Operations Licenses Each place, facility or location on Indian 

lands where gaming occurs shall obtain a gaming license. 

5.6.5 Any person seeking to license a gaming operation, or become a gaming 

employee, a management contractor, or provide gaming services on Indian 

land shall apply for, and receive, all required licenses prior to engaging in 

such activity, except as provided for in Section 5.7 below. 

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

Applicant has completed a License Application, the Tribal Gaming Commission 

may immediately issue a temporary License if: 

5.7.1 The Tribal Gaming commission has conducted a preliminary, local, 

background investigation; and 

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

that the Applicant has a criminal history. 

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

5.8 License Issuance, Term and Substance 

5.8.1 Issuance Upon completion of the necessary background investigation, and 

after the Tribe has complied with the thirty-day NIGC review 

requirements found in 25 C.F.R. 5558.3 and 5558.4, the Tribal Gaming 

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

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

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

Habematolel Pomo of Upper Lake 8/8/05 3 2 

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

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

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

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

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

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

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

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

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

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

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

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

conduct of gaming. If the foregoing determinations about the Applicant are made, 

no management contractor or Tribal gaming operation shall employ the 

Applicant. 

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

the Tribal Gaming 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 Temporaw Suspension or Revocation The Tribal Garning Commission 

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

hearing pursuant to Section 4.22 herein, for any of the following reasons: 

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

(2) The Licensee made False Statements on the Application; 

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

any Gaming License or regulatory approvals, and therefore 

deemed illegal; 

(4) The Licensee attempted to bribe an Executive Council member, 

Commissioner or other Person, in an attempt to avoid or 

circumvent Tribal law; 

PHabematolel Porno of Upper Lake 8/8/05 3 3 

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

Commission member; 

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

Gaming operated in violation of Tribal or Federal law; 

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

records which relate to a transaction connected with the operation 

of Gaming; 

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

Tribal Gaming Commission; 

(9) The Licensee has been convicted or has entered a plea 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 Gaming Commission, the Executive 

Council, the Federal Government or any court of competent 

jurisdiction; 

(1 1) 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; or 

(12) The Licensee has been charged with a felony, so long as the 

temporary suspension is removed if the charges are subsequently 

dismissed. 

5.12.2 Procedure for Suspension 

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

Tribal Gaming Commission 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 the NIGC notifies the Tribe that it has received reliable 

information indicating that a key employee or primary management 

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

Tribal Gaming Commission shall suspend such License and notify the 

Licensee in writing that hislher license has been suspended and may be 

revoked. 

Habematolel Porno of Upper Lake 8/8/05 34 

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

the time and place for the hearing before the Tribal Gaming 

Commission pursuant to Section 4.22 herein. 

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

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

Commission shall automatically issue a License if the following threshold criteria 

are met: 

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

a settlement of a claim. 

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

IGRA. 

5.13.3 The Gaming is authorized by an Executive Council resolution. 

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

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

Chairperson of the NIGC. 

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

shall be licensed by the Tribal Gaming Commission. 

5.14.1 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 VII 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 Gaming Commission 

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

reissued upon similar inspections every two years. 

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

shall forward the License to the State Gaming Agency within thirty (30) 

days of issuance. 

Habematolet Porno of Upper Lake 8/8/05 35 

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

the Facility at all times. 

5.15 State Gaming Agency Licensing The Tribe will not employ or affiliate with 

Person whose application to the State Gaming Agency for a determination of 

suitability has been denied. 

5.16 Miscellaneous Licensing Provisions 

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

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

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

5.16.3 The Tribe shall provide a monthly report to the State Gaming Agency with 

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

Gaming Employees. 

5.16.4 No license shall be granted to any person who: 

(A) is under the age of 18; or 

(B) has been convicted of or entered a plea of guilty or no 

contest to a gambling related offense, fraud or 

misrepresentation; or 

(C) has been convicted of or entered a plea of guilty or no 

contest to any offense not specified in subsection (B) 

within the immediately preceding five years. This provision 

shall not apply if that person has been pardoned by the 

Governor of the State where the conviction occurred or, if a 

Tribal member, is determined to be a person who is not 

likely again to engage in any offense or criminal course of 

conduct and the public good does not require that the 

applicant be denied a gaming license; or 

(D) is determined to have participated in organized crime or 

unlawful gambling or whose prior activities, criminal 

record, if any, or reputation, habits, and associations pose a 

threat to the public interest or to the effective regulation 

and control of gaming, or create or enhance the dangers of 

unsuitable, unfair, or illegal practices, methods and 

activities in the conduct of gaming or the carrying on of the 

business and financial arrangements incidental thereto. 

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SECTION 6 BANK ACCOUNTS AND RECORDKEEPING 

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

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

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

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

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

for not less than seven (7) years: 

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

which Class I1 and Class HI 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 documents relating to all 

Gaming Vendors. 

6.2.6 Records of all customer complaints and Tribal Gaming enforcement 

activities. 

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

its subdivisions. 

6.3 Audit Requirements 

6.3.1 The Executive Council, with the input of the Enterprise, shall retain an 

independent auditor to conduct an annual audit of all gaming operations 

and shall provide a copy of the annual independent audit to the Tribal 

Gaming Commission, the Enterprise, the State Gaming Agency, and the 

National Indian Gaming Commission. 

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

services, or concessions in excess of $25,000 annually, except contracts 

Habematolel Porno of U~per Lake 8/8/05 37 
for professional legal and accounting services shall be specifically 

included within the scope of the audit described in Section 6.3.1. A copy 

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

Executive Council, State Gaming Agency and the National Indian Gaming 

Commission. 

6.4 Notices to the Public 

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

inspection by any Person at each Gaming Facility. 

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

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

otherwise provide the public with such an explanation. 

SECTION 7 GAMING ENTERPRISE RESTRICTIONS AND COMPLIANCE 

7.1 Minimum Restrictions Established by Forthcoming Compact. The Gaming 

Commission shall adhere to and enact policies consistent with a forthcoming Compact 

with the State of California on the following issues: 

7.1.1 The number of Facilities permitted; 

7.1.2 The number of Gaming Devices permitted; 

7.1.3 Age Restrictions; and 

7.1.4 Methods of Payment 

7.2 Compliance requirements 

7.2.1 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. 

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

the time prescribed. 

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

inspection during normal business hours by the Tribal Gaming 

Commission, the State Gaming Agency, the National Indian Gaming 

Commission and members of the Executive Council or their designee. 

Habematolel Porno of Upper Lake 8/8/05 3 8 

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7.3 Miscellaneous 

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

during, and after Gaming. . , 

7.3.2 The Enterprise may not discriminate on the basis of gender, race, color, or 

creed in its employment practices related to Gaming, notwithstanding 

Indian Preference laws. 

SECTION 8 ENFORCEMENT 

8.1 Jurisdiction Except as provided in this Code o: the Compact, the Tribal Gaming 

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

Code. 

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

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

violator to the civil or criminal penalties specified herein: 

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

8.2.2 Knowingly making a False Statement in connection with any Contract to 

participate in any Gaming Activity. 

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

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

Tribal Gaming 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 participation in Gaming Activity by or with an intoxicated and 

disorderly Player. 

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

prohibited by Tribal law. 

8.2.11 Accepting consideration other than money, tokens or chips for 

participation in any Gaming Activity. 

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

substitute or use any cards, charitable Gaming tickets or Gaming 

equipment that has been marked or tampered with. 

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

any Gaming Activity. 

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

any game of chance. 

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

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

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

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

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

8.2.17 Alter or counterfeiting a Gaming license. 

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

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

any rules and regulations adopted hereunder. 

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

Device, apparatus, material or equipment. 

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

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

8.2.21 Assisting or allowing a Person who is under the age permitted pursuant to 

the forthcoming Tribal-State Compact 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 Gaming 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, 

Habematolel Pomo of Upper Lake 8/8/05 40 
provided, however, provided that the Tribal Executive Council may 

determine that such time has passed after such conviction or plea, or the 

circumstances of such conviction or plea warrant a finding, that such 

individual has been sufficiently rehabilitated that hislher presence on the 

Commission need not violate the standards set forth in Section 4.9.3(1) 

above. 

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 or 

decision of the Tribal Gaming Commission, shall be charged and given due 

process pursuant to Section 4.22 herein. If such Indian is found to be guilty of a 

crime, he may be required to pay a fine not to exceed Five Thousand Dollars 

($5,000) or be incarcerated for not to exceed one (1) year. Each day during which 

any such violation or failure to comply continues shall constitute-a separate 

violation of this Code. 

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

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

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

to Section 4.21 herein. If the non-Indian is found liable, he may pay a civil fine 

not to exceed One Thousand Dollars ($1,000) 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. The Tribe may turn nonIndian offenders over to the County for prosecution. 

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

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

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

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

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

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

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

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

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

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

all people into complying with this Code and Tribal Gaming Commission 

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

regulations. 

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

Code, the Tribal Gaming Commission shall proceed, in the name of the Tribe, 

against a Person for violation of such provision by civil complaint with the 

Executive Council pursuant to the provisions of this Code. The Tribal Gaming 

Commission in such action shall have the burden of showing, by the 

Habematolel Pomo of U~per Lake 8/8/05 4 1 
preponderance of the evidence, that such Person violated a provision of this Code. 

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

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

Commission pursuant to such procedures and rules as the Tribal Gaming 

Commission shall promulgate. 

8.9 Reporting of Offenders The Tribal Gaming Commission, upon final conviction 

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

to the Executive Council, State Gaming Board and NIGC. 

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 Gaming Commission and shall obtain a 

License before commencing work. 

9.'ffm~he General Manager shall present a written monthly report to the Tribal 

Gaming Commission which estimates the number of patrons served, the 

amount of income generated, the numbers of employees working at the 

establishment, a detailed description of any patron complaints and other 

problems experienced at the establishment, a written statement of any 

changes in Primary Management Officials and all bills which are thirty 

(30) days or more past due. 

9.2 Rules and Regulations for Management The Tribal Gaming Commission 

shall, with the input and suggestions of Primary Management Officials, 

promulgate rules and regulations or specifications governing the following 

subjects: 

9.2.1 The enforcement of all relevant laws and rules with respect to the Gaming 

Operation and the Facility; 

9.2.2 Ensuring the physical safety of Enterprise patrons and Employees; 

9.2.3 The physical safeguarding of assets transported to, within, and from the 

Gaming Facility; 

9.2.4 The prevention of illegal activity from occurring within the Gaming 

Facility including employee procedures and surveillance; 

Habematolel Pomo of Upper Lake 8/8/05 42 
9.2.5 The recording of occurrences that deviate from normal operating policies 

including the following procedure for reporting incidents: 

(1) Specify that security personnel record all incidents, regardless of 

immateriality; 

(2) Require the assignment of a sequential number to each report; 

(3) Provide for permanent reporting in indelible ink in a bound 

notebook; 

(4) Require that each report include the following: 

(i) The record number. 

(ii) The date. 

(iii) The time. 

(iv) The location of the incident. 

(v) A detailed description of the incident. 

(vi) The persons involved in the incident. 

(vii) The security personnel assigned to the incident. 

9.2.6 The establishment of employee procedures designed to permit detection of 

any irregularities, theft, cheating, fraud, or the like; 

9.2.7 Maintenance of a list of persons barred from the Gaming Facility; 

9.3 Insurance Requirements Pursuant to the TribaVState Compact, the Gaming 

Contractor shall ensure that the Enterprise shall carry the minimum amount of 

liability insurance required by the TribaYState Compact in order to protect the 

public in the event of an accident. 

9.4 IRS Requirements The General Manager shall be responsible for seeing that 

Gaming Activity is managed in accordance with Tribal and Federal law and that 

such Gaming Activity complies with all IRS reporting requirements. 

9.5 Audit Requirements 

-4 

9.5.1 Annual Enterprise Audit The Tribal E,xecutive Council shall obtain an 

annual independent audit of the ~nterprise by a certified public accountant 

using the accounting standards for audits of casinos of the American 

~nstcute of Certified Public Accountants. 

9.5.2 Contract Audits Each contract between the Enterprise and another Person 

for supplies, services (other than legal and accounting services) or 

concessions for a contract amount in excess of Fifty Thousand Dollars 

($50,000) annually shall be subject to an independent audit. For the 

Habematolel Porno of Upper Lake 8/8/05 43 
purposes of the previous sentence, the term "services" does not include 

contracts the purpose of which is to extend financing to the Management 

Contractor, the Tribe, or the Enterprise. 

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

Commission, the Executive Council, and the NIGC. The State Gaming 

Agency shall receive a copy of the audit relating to Class III Gaming. 

9.6 Annual Reports from Enterprise. The General Manager must file an annual 

report with the Tribal Gaming Commission and the Executive Council between 

the 15th and the last day of the 12th month duration of each such License period. 

The report should include, at a minimum, the following information: 

9.6.1 The name, address and telephone number of the Licensee; 

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

Licensee; 

9.6.3 A description of the Gaming operated and Gross Revenue; 

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

Management Official, or new Key Employees over the next License Term; 

9.6.5 Written proof that the Licensee has paid to the National Indian Gaming 

Commission such fees as Federal and Tribal law may require it to pay; 

9.6.6 A sworn statement that the Licensee has complied with the JRS including 

written notice of customer winning; 

9.6.7 The number of full-time equivalent people, on an annualized basis, 

employed by the operation during the past twelve (12) months, together 

with a projection of the number of full-time equivalent people who are 

expected to be employed during the next license period; 

9.6.8 A sworn statement that the Licensee will continue to comply with all 

Tribal and Federal Gaming laws; 

9.6.9 The name, address and signature of the agent who will accept service of 

process on behalf of the Licensee; and 

9.6.10 If the Licensee is a corporation, a copy of any amendment to its articles of 

incorporation, properly certified by the incorporating government, unless a 

current copy has already been filed with the Tribal Gaming Commission. 

Habematolel Pomo of Upper Lake 8/8/05 44 
9.7 Management Contracts 

9.7.1 Each Management Contract is subject to the prior approval of the National 

Indian Gaming Commission. 

9.7.2 Each Management Contract shall be approved by the Executive Council. 

In making its selection, the Executive 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 within the Gaming industry generally, including the 

name and address of any tribal government or licensing agency 

with which such Person has had a contract relating to Gaming. 

(3) A complete financial statement of each Person listed in subsection 

9.7.2(1). 

(4) The Executive Council shall undertake any additional steps 

necessary and feasible to determine the character and reputation of 

each proposed management contractor. 

(5) If the Executive 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. 

9.7.3 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 and expenses. An independznt 

auditor who is mutually acceptable to the Tribe and the 

Management Contractor shall prepare such reports. 

Habematolel Pomo of Upper Lake 8/8/05 45 
(2) A provision guaranteeing the Tribe a minimum 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 seven (7) years or 

30% of Net Revenues. 

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

termination. 

9.7.4 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 Gaming Commission, State Gaming Agency and to the Chairperson 

of the NIGC for Licensure approval. 

SECTION 10 PROCEDURES FOR RESOLVING DISPUTES BETWEEN THE 

GAMING PUBLIC AND GAMING MANAGEMENT 

10.1 General Principles. The Tribe values its customers and intends, at all times, to 

see that questions, concerns, issues, andlor disputes raised by the gaming public 

are addressed in a fair and orderly manner. However, nothing in these procedures 

shall be construed as a waiver of the Tribe's sovereign immunity, or any of the 

rights and privileges attendant thereto. 

10.2 Initial Dispute Resolution Procedure. 

10.2.1 Members of the Gaming public who, in the course of their otherwise 

lawful and proper use of the 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 ~aming Facilities, 

shall direct their questions, concerns, or disputes (hereinafter collectively 

"disputes") in the first instance to gaming management at the Gaming 

Facility, either orally or in writing. 

10.2.2 Concerns or disputes shall be raised as soon as reasonably possible after 

the events giving rise to the dispute occur; however, no dispute may be 

raised more than 5 (five) calendar days after said events take place. 

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.). 

Habematolel Porno of Uwuer Lake 8/8/05 46 

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Gaming Management shall inform the complainant, either orally or in 

writing, about its initial determination as soon as is reasonably practicable. 

At that time, if the complainant indicates that he or she has additional 

concerns or is not satisfied, gaming management shall inform the 

complainant about how to initiate the formal dispute resolution procedure. 

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 Gaming 

Commission no later than five (five) days after being informed about the 

initial determination. 

10.3.2 The Tribal Gaming Commission may investigate the dispute in any 

manner it chooses. The Tribal Gaming Commission shall offer the 

complainant a fair opportunity to be heard in person or through counsel 

about the dispute, either before or after it makes its own inquiries. The 

complainant's opportunity to be heard shall take place within 60 (sixty) 

days after the Tribal Gaming Commission receives the complainant's 

written appeal. 

10.3.3 After investigating (if it chooses to do so), and within 30(thirty) days after 

affording the complainant an opportunity to be heard, the Tribal Gaming 

Commission shall issue a written opinion on the complainant's appeal, and 

shall mail a copy of the opinion to the complainant at hislher last known 

address. The opinion shall inform the complainant that he or she may 

appeal the Tribal Gaming Commission's decision to the Tribal Executive 

Council pursuant to Section 4.22. 

SECTION 11 INTERPRETATION 

1 1.1 The provisions of this Code, being necessary for the benefit of the Tribe and its 

members, shall be liberally construed to implement the purposes and objectives 

thereof. 

SECTION 62 DESIGNATED AGENT FOR SERVICE OF PROCESS 

12.1 The designated agent for service of process is as follows: 

Chairperson, Habematolel Pomo of Upper Lake Tribal Gaming Commission 

P.O. Box 516 

Upper Lake, CA 

707-275-0737-phone 

707-275-0757-fax 

Habematolel Pomo of Uoper Lake 8/8/05 47 

t(kiSTZcW5 
TITLE II 

REGULATION OF THE ENVIRONMENT 

FOR CLASS I11 GAMING 

SECTION 1 INTRODUCTION 

1.1 Title This Title shall be known as 'THE HABEMATOLEL POMO OF UPPER 

LAKE TRIBAL ENVIRONMENT OFF-RESERVATION IMPACT CODE." 

1.2 Authority This Title is enacted pursuant to the inherent sovereign powers of the 

Tribe pursuant to Article, Section - of the Constitution. 

1.3 Purpose The basic purposes of this Code are to: 

1.3.1 Inform Inform the Tribe and the public about the potential significant offReservation environmental impacts of any (I) expansion or significant 

renovation or modification of an existing Tribal Gaming Facility andlor 

(2) significant excavation, construction, or development associated with an 

existing or proposed Tribal Gaming Facility. 

1.3.2 Identifv Identify ways that environmental impacts of the aforementioned 

activities can be avoided or significantly reduced through the use of 

reasonable alternative or mitigation measures such as changes in the 

construction plans. 

1.3.3 Disclose Disclose to the public the reasons why the Executive Council 

approved a Gaming Facility construction plan if significant offReservation environmental impacts are likely to occur. 

1.4 Scope or Coverage of This Code. This Code shall apply solely to studies of and 

decisions related to the potential off-Reservation impacts of any: 

1.4.1 Expansion or significant renovation or modification of an existing Tribal 

Gaming Facility; and 

1.4.2 Significant excavation, construction, or development associated with a 

Tribal Gaming Facility or proposed Tribal Gaming Facility. 

1.5 Repeal of Prior Laws, and Effect of Repeal All titles, chapters and sections of 

the Tribal Code which pertain to the environment and are in effect as of the date 

that this Code becomes operative, are hereby repealed as to Gaming Activities 

only, and all other laws, or parts thereof, inconsistent with the provisions of this 

Habematolel Porno of Upper Lake 8/8/05 49 
Code with regard to Gaming Activities are hereby repealed. 

1.6 Construction In construing the provisions of this Code, unless the context 

otherwise requires, the following shall apply: 

1.6.1 This Code shall be liberally construed to affect its purpose and to promote 

substantial justice. 

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

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

number include the singular. 

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

genders and the neuter. 

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

jurisdiction, the remaining sections shall not be affected thereby. 

1.8 Effective Date. This Code shall be effective on certification by the Executive 

Council. 

SECTION 2 DEFINITIONS 

2.1 "Cumulative Impacts" means two or more individual effects which, when 

considered together, are considerable or which compound or increase other 

environmental impacts. 

2.2 "Environmental Assessment" means an initial study of the environmental 

impacts of a proposed Project. 

2.3 "Environmental Report" means any environmental assessment, environmental 

report, or environmental statement, as the case may be. 

2.4 "Impact" means the direct or primary environmental effects which are caused by 

the Project and occur at the same time and place. 

2.5 "Mitigation" means avoiding an impact altogether by not taking a certain action 

or parts of an action; minimizing impacts by limiting the degree or magnitude of 

the action and its implementation; rectifying the impact by repairing, 

rehabilitating or restoring the impacted environment; reducing or eliminating the 

impact over time by preservation and maintenance operations during the life of 

the action; compensating for the impact by replacing or providing substitute 

resources or environments. 

Habematolei Porno of Upper Lake 8/8/05 50 
2.6 "Project" means any: (I) expansion or significant renovation or modification of 

an existing Tribal Gaming Facility and/or (2) significant excavation, consti-uction, 

or development associated with the Tribe's Gaming Facility or proposed Tribal 

Gaming Facility. 

SECTION 3 BASIC REQUIREMENTS 

3.1 Environment Assessment or Finding of No Significant Impact Before 

commencing any expansion or significant renovation or modification of an 

existing Tribal Gaming Facility, or any significant excavation, construction, or 

development associated with a Tribal Gaming Facility or proposed Tribal Gaming 

Facility, the Tribe shall require the development of an Environmental Assessment 

which the Executive Council shall use to determine if there is substantial evidence 

that the proposed Project will have a significant off-Reservation environmental 

impact. If the Executive Council finds that it will not, it shall follow the 

procedures detailed in this Code for the issuance of a Finding of No Significant 

Irnpac t (FONSI). 

3.2 Off-Reservation Impact If, however, the Executive Council finds that there is 

substantial evidence that the proposed Project will have a significant offReservation environmental impact, defined as a substantial adverse impact in the 

physical conditions of the off-Reservation areas as they existed at the time of the 

study, the Executive Council shall follow the procedures detailed in this Code for 

the preparation of an Environmental Report. 

3.3 Response to Adverse Findings When an Environmental Assessment shows that 

an expansion or significant renovation or modification of an exiting Tribal 

Gaming Facility or any significant excavation, construction, or development 

associated with a Tribal Gaming Facility or proposed Tribal Gaming Facility 

would cause substantial adverse changes in the off-Reservation environment, the 

Executive Council shall respond to the finding by one or more of the following 

methods: 

3.3.1 Change the proposed Project. 

3.3.2 Impose conditions on the approval of the Project. 

3.3.3. Adopt plans or ordinances to control the adverse impact. 

3.3.4. Choose an alternative way to meet the same need. 

3.3.5. Disapprove the Project. 

3.3.6. Find that changes in or alternatives to the Project are not feasible. 

Habematolel Pomo of Upper Lake 8/8/05 51 

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3.3.7. Find that the unavoidable, significant environmental damage is acceptable, 

because the Tribe's economic, legal, social, technological or other benefits 

of the proposed Project outweigh its unavoidable off-Reservation 

environmental impacts. 

SECTION 4 POLICIES GOVERNING ENVIRONMENTAL ASSESSMENTS AND 

REPORTS 

It shall be the policy of the Tribe that: 

4.1 Review of Off-Reservation Impacts These studies shall serve not only to 

protect the environment but also to demonstrate to the off-Reservation community 

that it is being protected and that the Tribe has, in fact, analyzed and considered 

- -the off-Reservation impacts of its actions. . -.- - 

4.2 Notice to Public These studies shall inform the Tribal and local governments and 

the public of the anticipated off-Reservation environmental impact of the Project. 

4.3 Decision-Making These studies shall allow the Tribal government to make 

decisions regarding these proposed Projects with the off-Reservation 

environmental consequences in mind. 

4.4 No Delay of Projects These studies shall be undertaken in a manner which is 

designed to allow the Tribe to make informed and balanced decisions, not to 

prevent, delay or preclude the advancement of Gaming. 

4.5 Off-Reservation Influence These studies shall be prepared early enough to 

allow off-Reservation environmental concerns to influence the Project's design 

and construction, yet late enough to allow for a real and honest assessment of the 

Project's off-Reservation environmental impact. 

4.6 TribaVFederal Cooperation These studies shall be prepared in a manner that 

eliminates duplication of federal efforts by providing for joint Triballfederal 

preparation of environmental documents. 

4.7 Simple Writing These studies shall be analytic, rather than lengthy, and shall be 

written in plain language. They shall also mention, only briefly, issues other than 

significant off-Reservation environmental impacts in the Environmental Report 

text. 

4.8 Weighing Negative Projects The Tribe shall give serious consideration to 

preventing off-Reservation environmental damage and should not approve a 

Project as proposed if there are feasible alternatives or mitigation measures 

available that would substantially lessen any significant adverse off-Reservation 

effect that the Project would create. In deciding whether to approve a Project that 

has negative off-Reservation economic impact, the Tribe shall consider the 

Habematolel Porno of Upper Lake 8/8/05 52 

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specific economic, environmental, legal, social and technological factors 

involved. 

4.9 Public Comment The Tribe shall assure adequate opportunity and time for 

public review and comment on all Environmental Assessments, Environmental 

Reports, and a Findings of No Significant Impact, and it shall review, evaluate 

and respond to comments received on each of these environmental studies. 

4.10 Approving Projects The Tribe may approve a Project which would cause 

significant effect on the off-Reservation environment if it finds that: 

4.10.1 There is no feasible way to lessen or avoid the significant off-Reservation 

environmental impact. 

4.10.2 The specifically identified expected benefits of the Project outweigh the 

social or economic cost of reducing or avoiding the significant offReservation environmental impact of the Project. 

4.11 Assignment of Responsibilities Where a Project is under the requirements of the 

National Environmental Protection Act, the Executive Council may delegate the 

responsibilities assigned to it under this Code in whole or in part to the United 

States government agency which is serving as the lead agency on the NEPA 

review. Provided, however, that the Executive Council asks the federal agency to 

study and render findings on the off-Reservation impact of the Project and to 

perform the local consultation required by this Code. 

4.12 Time The Tribe shall allow adequate time to review an Environmental 

Assessment or Environmental Report for completeness. Acceptance of an 

Environmental Assessment or Environmental Report as complete shall not 

prohibit the Tribe from requiring additional information during its review of the 

findings. 

4.13 Consultation The Tribe shall make an effort to consult with the planning and 

design team on the potential off-Reservation environmental impacts of any such 

Project during the planning and design stage. 

SECTION 5 INITIAL ENVIRONMENTAL ASSESSMENT REQUIRED 

5.1 Applicability When the Tribe commences any expansion or significant 

modification of an existing Tribal Gaming Facility or any significant excavation, 

construction or development associated with a new or proposed Tribal Gaming 

Facility, the Executive Council shall require an initial Environmental Assessment 

to determine if the Project will have a significant effect on the environment. This 

initial study may rely on expert opinion supported by facts, technical studies or 

other relevant evidence to substantiate its findings. 

Habematolel Porno of Upper Lake 8/8/05 53 

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5.2 Process for Significant Effects If when reviewing this Environment 

Assessment, the Executive Council determines that there is substantial evidence 

that any aspect of the Project, either individually or cumulatively, may cause a 

significant effect on the off-Reservation environment, regardless of whether the 

overall effect of the Project is adverse or beneficial, it shall do one of the 

following: 

5.2.1 Require an expanded Environmental Assessment, or 

5.2.2 Require the preparation of an Environmental Report, or 

5.2.3 Use a previously prepared Environmental Assessment or Environmental 

Report, which it determines would adequately analyze the Project at hand, 

or 

5.2.4 Require an expanded study of one or more aspects of the proposed Project. 

5.3 Purposes of Environmental Assessment 

5.3.1 To assist the Tribe in determining when a Finding of No Significant 

Impact is appropriate. 

5.3.2 To enable the Tribe to modify or amend the Project to minimize the offReservation impact. 

5.3.3 To focus attention on those off-Reservation impacts that are significant 

and identify those off off-Reservation environmental impacts that are not 

significant. 

5.3.4 To explain the reasons for determining that potentially significant offReservation environmental impacts would not be significant. 

5.3.5 To eliminate the need for unnecessary Environmental Impact Studies. 

5.4 Substance of Environmental Assessment 

5.4.1 A description of the Project, including its location. 

5.4.2 An identification of the environmental setting surrounding the Project. 

5.4.3 A listing or chart of environmental impacts covered by the study, along 

with a narrative report that discusses those impacts. 

5.4.4 A discussion of the ways that negative off-Reservation impacts can, .or 

have been, addressed. 

Habematolel Pomo of Upper Lake 8/8/05 54 
5.4.5 An examination of how the Project fits into local land use patterns. 

5.4.6 The name of the person or persons who prepared the report. 

SECTION 6 EXECUTIVE COUNCIL REVIEW OF AN ENVIRONMENTAL 

ASSESSMENT 

6.1 Review Following the completion of an Environmental Assessment, the 

Executive Council shall review its findings and determine whether the entire 

record, including that study, justifies the issuance of a proposed Finding of No 

Significant Impact or the development of an expanded Environmental Assessment 

or an Environmental Report. In so doing, the Executive Council shall utilize the 

criteria set forth in Sections 7-9 below. 

6.2 Expanded Environmental Assessment The Executive Council shall call for the 

production of an expanded Environmental Assessment when it determines that the 

proposed Project will have an impact on the off-Reservation environment, but 

such impact is limited enough that it can be addressed in a shorter more concise 

study. 

6.3 Limited Environmental Assessment The Tribe may require an 

Environmental Report on only those aspects of the Project that present a 

significant adverse impact off-Reservation. 

6.4 Urban and Rural Distinctions A determination of whether a Project may have a 

significant off-Reservation impact on the environment calls for careful judgment 

on the part of the Executive Council, based to the extent possible on scientific and 

factual data. An impact that may not be significant in an urban area may be 

significant in a rural area. 

6.5 Mitigating Effects If the Tribe determines that a Project will have offReservation impacts, but this impact is mitigated to the point that the impact is no 

longer significant and the whole record taken together shows no significant 

impact, a FONSI shall be issued. 

6.6 Evidentiary Requirements The existence of a public controversy over the offReservation impact will not require an Environmental Report, if the evidence in 

the report does not show that significant impact. Substantial evidence shall not be 

found from opinion or narrative but only from facts, reasonable assumptions 

predicted on facts and expert opinions supported by facts. 

67 Archeological or Historical Resource A Project which alters, in an advanced 

manner, those physical characteristics of an Archeological or I-Iistorical Resource 

(those listed in or eligible for listing in the California Register of Historical 

Resources or which are otherwise of historical significance) shall require 

mitigation. 

Habematolel Porno of Upper Lake 8/8/05 55 

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6.8 Biological Species A Project which endangers the overall health of a biological 

species shall require mitigation. 

SECTION 7 FINDINGS OF NO SIGNIFICANT IMPACT (FONSI) 

The Executive Council shall issue a proposed FONSI when: 

7.1 It finds that in view of the entire records before it, including the Environmental 

Assessment, there is no substantial evidence that the Project will have a 

significant impact on the off-Reservation environment. 

7.2 The mitigation steps agreed to by the developer clearly mitigate the offReservation impacts to the point that no significant impacts would occur. 

7.3 The Project, as modified, would have no significant impacts on the offReservation environment. 

SECTION 8 FONSI ELEMENTS 

8.1 A brief description of the Project. 

8.2 The Project's location, preferably shown on a map. 

8.3 A proposed finding that the Project will not have a significant effect on the offReservation environment. 

8.4 An attached copy of the Environmental Assessment. 

8.5 A description of mitigation measures taken. 

SECTION 9 PROCEDURES FOR APPROVAL OF A FONSI 

9.1 If the Executive Council determines that it is prepared to approve a FONSI, it 

shall prepare a notice which includes each of the following items and forward that 

notice to the Clearinghouse of the State Office of Planning and Research, the 

Board of Supervisors and the County Clerk of the county in which the Project will 

be located. 

9.2 This notice shall contain: 

9.2.1 Identification of the Project and a brief description of it. 

9.2.2 The date on which the Executive Council approved the Project. 

Habematolel Pomo of Uwper Lake 8/8/05 56 
9.2.3 A determination by the Executive Couilcil that the Project will not have a 

significant effect on the off-Reservation environment. 

9.2.4 A statement that a FONSI has been prepared pursuant to this Code. 

9.2.5 The address where a copy of the FONSI may be examined. 

SECTION 10 DECISIONS TO PREPARE AN ENVIRONMENTAL REPORT 

10.1 Decision to Prepare an Environmental Report An Environmental Report shall 

be prepared when the Executive Council finds that there is substantial evidence 

that the proposed Project will have a substantial impact on the off-Reservation 

environment. 

SECTION 11 DETERMINING THE SCOPE OF THE ENVIRONMENTAL REPORT 

11.1 Before determining when to prepare an Environmental Report, the Executive 

Council shall arrange for consultation with state and local agencies, including the 

Board of Supervisors of the county in which the Project will be located, that have 

an interest in the specific environmental concerns raised by the Project and seek 

to have input on the nature and scope of the Environmental Report. Nothing 

the Executive Council to provide these agencies with more 

) days to submit the Environmental Report concerns. 

11.2 Prior to completing the Environmental Report, the Executive Council may 

arrange for consultation with any person or organization believed to be concerned 

with the off-Reservation environmental impact of the proposed Project. Any 

person may submit information or comments to the Executive Council to assist it 

in preparing and evaluating the Environmental Report. 

SECTION 12 PREPARATION OF ENVIRONMENTAL REPORT 

12.1 The Executive Council may arrange for the Environmental Report to be prepared 

by its staff, or may contract with a third party to prepare the study, or may accept 

an Environmental Report prepared by the federal government or may accept an 

Environmental Report prepared by the State on the Project. In determining the 

scope of an Environmental Report, the Executive Council shall meet with and 

consider the views of the Board of Supervisors of the county in which the Project 

is to be located. It may also use a previously prepared Environmental Report. 

SECTION 13 PREPARATIONS AND CERTIFICATION OF ENVIRONMENTAL 

REPORT 

13.1 The Executive Council shall prepare or arrange to have prepared an 

Environmental Report, which shall be circulated for public comment before the 

Project is approved. 

Habematolel Pomo of Umer Lake 8/8/05 57 

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13.2 Contents of Environmental Report. The Environmental Report shall contain: 

13.2.1 The Environmental Report and all revisions made to it. 

13.2.2 A summary of the comments and recommendations received on the 

proposed draft. 

13.2.3 A list of persons and organizations wishing to comment on the draft. 

13.2.4 The response of the Executive Council to those comments. 

13.2.5 Any additional information the Council deems relevant. 

13.3 Notice of the Final Environmental Report 

13.3.1 The Executive Council shall provide notice of completion of the 

Environmental Report to the public, the State Clearinghouse Office of 

Planning and Research, and the Board of Supervisors and County Clerk of 

the county in which the Project will be located. The notice to the County 

Clerk shall ask the clerk to post the notice in the county office within 

g,;$q;gP9 .i; @ ;i :: ,%a) x. "* hours of receipt and keep it posted for a minimum of 

bf7 6<,* '* #;$&c4 .) days. 

13.3.2 This notice shall contain, at a minimum: 

(1) A brief description of the Project. 

(2) Starting and ending dates for the receipt of public comments and 

information on where and how those comments can be submitted. 

(3) The date, time and place of any scheduled public meetings or 

hearings to be held by the Tribe on the proposed Project. 

(4) The address or addresses where copies of the final Environmental 

Report can be viewed andlor obtained. 

(5) mment periods shall be for a minimum of 

SECTION 14 EXECUTIVE COUNCIL FINDINGS FOLLOWING A FINAL 

ENVIRONMENTAL REPORT 

14.1 Issuance of Findings After reviewing the public comments received on a final 

Executive Council certified Environmental Report, the Executive Council shall 

issue one or more of the following findings: 

Habematolel Porno of Ur>per Lake 8/8/05 58 
14.1.1 That changes and alterations have been required in or incorporated into the 

Project which avoid or substantially lessen the significant environmental 

effect as identified in the Environmental Report. 

14.1.2 Such changes or alterations are within the responsibility or jurisdiction of 

an entity other than the Tribe, and the Tribe recommends that the changes 

or alterations be made. 

14.1.3 Specific economic, legal, social, technological or other considerations, 

including provision of employment opportunities for highly trained 

workers, make the mitigation measures or Project alternatives identified in 

the final Environmental Report unfeasible. 

SECTION 15 NOTICE OF DETERMINATION 

15.1 Notice Publication Upon final review and approval of the Project, the Executive 

Council shall publish a notice in a newspaper of general circulation, with the State 

clearinghouse Office of Planning and Research, and with the Board of 

Supervisors and County Clerk of the county in which the Project will be located, a 

notice of approval or rejection of the Project. That notice shall contain at a 

minimum: 

15.1.1 The name and description of the Project and its locations. 

15.1.2 The date upon which the Executive Council approved the Project. 

15.1.3 The determination of the Executive Council that the Project will or will 

not have a significant impact on the off-Reservation environment. If it 

will have such an impact, this the notice shall be accompanied by a 

statement of overriding which considerations, which shall state that the 

Project's economic, legal, social, technological or other benefits override 

the unavoidable environmental risks associated with the Project. 

15.1.4 A statement that the Environmental Report was prepared. 

15.1.5 A description of the mitigation measures required. 

15.1.6 The address where a copy of the final Environmental Report can be 

examined. 

Habematolel Porno of Upper Lake 8/8/05 59 
ADOPTION OF FEDERAL OCCUPATIONAL SAFETY AND 

HEALTH STANDARDS FOR 

THE CLASS I11 GAMING FACILITY 

The adoption of 29 C.F.R. part 1910 - Occupational Safety and Health Standards and part 1926 

- Safety and Health Regulations for Construction, together will serve to regulate the safety and 

inspection of retail sale, wholesale/commercial and light industrial labor practices, along with the 

standard of tribal labor force protections from hazardous workforce environments and exposure 

to potential contaminants within each of these areas, establishment of contract work hours and 

other labor safety standards as deemed necessary by the tribal government, along with the 

enforcement of these codes including the setting of penalties. 

SECTION 1. ADOPTION BY REFERENCE. 

1.1 Findings. The HABEMATOLEL POMO OF UPPER LAKE ("Tribe" or 

"Tribal") Executive Council on behalf of the Tribe finds that: 

1.1.1 A certain document, three copies of which are on file in the office of the 

Tribal Secretary, being marked and designated as 29 C.F.R. part 1910 - 

Occupational Safety and Health Standards and part 1926 - Safety and 

Health Regulations for Construction, published by the U.S. Department of 

Labor, Occupational Safety and Health Administration, is hereby adopted 

as the Tribal OSHA Standards, for regulating the safety and inspection of 

retail sale, wholesale/comrnercial and light industrial labor practices, along 

with the standard of tribal labor force protections from hazardous 

workforce environments and exposure to potential contaminants within 

each of these areas, establishment of contract work hours and other labor 

safety standards as deemed necessary by the tribal government, along with 

provisions for submission of labor contracts, building plans and hazardous 

activity permits for tribal government approval, collection of fees, and 

enforcement of these codes including the setting of penalties, where 

necessary. 

1.2 Inconsistent Codes Repealed. All other codes or portions of codes in conflict 

herewith are hereby repealed in that respect only. 

1.3 Certification of Adoption and Publishing. The Tribal Secretary shall certify the 

adoption of this Tribal Code and cause the same to be published as rec,uired by 

law. 

Habematolel Porno of Upper Lake 8/8/05 60 
1.4 Effective Date. This Tribal Code and the rules, regulations, provisions, 

requirements, orders, and matters established and adopted hereby shall take effect 

and be in full force and effect from and after the date of its final passage and 

approval. 

Habematolel Pomo of U~per Lake 8/8/05 
TITLE IV 

ADOPTION OF AMERICANS WITH DISABILITIES ACT 

STANDARDS FOR CLASS I11 GAMING FACILITY 

The adoption of 28 C.F.R. part 35, the Nondiscrimination on the Basis of Disability in State and 

Local Government Services, will serve to effectuate subtitle A of Title II of the Americans with 

Disabilities Act f 1990 (104 Stat. 327, Pub. L. 101-336, as amended), which prohibits 

discrimination on the basis of disability by public entities. 

SECTION 1. ADOPTION BY REFERENCE. 

1.1 Findings. The HABEMATOLEL POMO OF UPPER LAKE ("Tribe" or 

"Tribal") Executive Council on behalf of the Tribe finds that: 

1.1.1 A certain document, three copies of which are on file in the office of the 

Tribal Secretary, being marked and designated as 28 C.F.R. part 35 - 

Nondiscrimination on the Basis of Disability in State and Local 

Government Services, is hereby adopted as the Tribal ADA Standards, 

which prohibits discrimination on the basis of handicap in tribally assisted 

programs and activities. 

1.2 Inconsistent Codes Repealed. All other codes or portions of codes in conflict 

herewith are hereby repealed in that respect only. 

1.3 Certification of Adoption and Publishing. The Tribal Secretary shall certify the 

adoption of this Tribal Code and cause the same to be published as required by 

law. 

1.4 Effective Date. This Tribal Code and the rules, regulations, provisions, 

requirements, orders, and matters established and adopted hereby shall take effect 

and be in full force and effect from and after the date of its final passage and 

approval. 

Habematolel Porno of Upper Lake 8/8/05 62 

8- 
TITLE V 

ADOPTION OF THE FDA 1999 FOOD CODE FOR 

A CLASS 111 GAMING FACILITY 

The adoption of the 1999 edition of the "Food Code" regulating the retail sale, commercial and 

institutional service, and vending of food; defining permit holder, person in charge, employee, 

food, potentially hazardous food, food establishment, safe material, sanitation, and other terms; 

and providing standards for employee food safety knowledge, health, and practices; food 

sources, preparation, holding temperatures, and protection; equipment design, construction, 

installation, cleaning, and sanitation; water, and liquid and solid wastes; facilities construction 

and maintenance, and storage and use of poisonous and toxic materials; requiring a permit to 

operate a food establishment; and providing for the restriction or exclusion of employees, the 

examination and condemnation of food, and the enforcement of this code including the setting of 

penalties. 

SECTION 1. ADOPTION BY REFERENCE. 

1. Findings. The HABEMATOLEL POMO OF UPPER LAKE ("Tribe" or 

"Tribal") Executive Council on behalf of the Tribe finds that: 

1.1.1 A certain document, three copies of which are on file in the office of the 

Tribal Secretary, being marked and designated as the Food Code, 1999 

Recommendations of the United States Public Health Sewice/Food and 

Drug Administration as published by the U.S. Department of Health and 

Human Services, Public Health Service, Food and Drug Administration 

be, and is hereby adopted as, the Food Code of the Tribe, located in the 

State of California; for regulating the design, construction, management 

and operation of food establishments, and providing for plans submission 

and approval and the issuance of permits and collection of fees therefore. 

1.2 Insertions and Changes. That the following provisions are hereby revised as 

follows: 

Paragraph 8-8 1 l.lO(B) Insert (as provided by California law) Paragraph 8- 

8 13.10(B) Insert (as provided by California law) Subparagraph 8-8 1 1.10(B)(2) 

Insert (as provided by California law) 

1.3 Inconsistent Codes Repealed. All other codes or portions of codes in conflict 

herewith are hereby repealed in that respect only. 

1.4 Certification of Adoption and Publishing. The Tribal Secretary shall certify the 

adoption of this Tribal Code and cause the same to be published as required by 

law. 

Habernatolel Porno of Upper Lake 8/8/05 63 

.%uf%us 
1.5 Effective Date. This Tribal Code and the rules, regulations, provisions, 

requirements, orders, and matters established an by shalltake effect 

and be in full force and effect for the period of from and after the 

date of its final passage and approval. 

PHabematolel Porno of U~per Lake 8/8/05 64 
TITLE VI 

ADOPTION OF FEDERAL SAFE DRINKING WATER 

STANDARDS 

The adoption of 40 C.F.R. part 141 - National Primary Drinking Water Regulations and part 142 

- National Primary Drinking Water Regulations Implementation, together will serve to regulate 

the safety and inspection of ground and surface water aquifers and public drinking water systems 

on tribal lands. 

SECTION 1. ADOPTION BY REFERENCE. 

1.1 Findings. The HABEMATOLEL POMO OF UPPER LAKE ("Tribe" or 

"Tribal") Executive Council on behalf of the Tribe finds that: 

A certain document, three copies of which are on file in the office of the 

Tribal Secretary, being marked and designated as 40 C.F.R. part 141 - 

National Primary Drinking Water Regulations and part 142 - National 

Primary Drinking Water Regulations Implementation, published by the 

U.S. Environmental Protection Agency, is hereby adopted as the Tribal 

Safe Drinking Water Standards, for regulating the safety and inspection of 

ground and surface water aquifers and public drinking water systems on 

tribal lands. 

1.2 Inconsistent Codes Repealed. All other codes or portions of codes in conflict 

herewith are hereby repealed in that respect only. 

1.3 Certification of Adoption and Publishing. The Tribal Secretary shall certify the 

adoption of this Tribal Code and cause the same to be published as required by 

law. 

1.4 Effective Date. This Tribal Code and the rules, regulations, provisions, 

requirements, orders, and matters established and adopted hereby shall take effect 

and be in full force and effect from and after the date of its final passage and 

approval. 

Habematolel Porno of Upper Lake 8/8/05 65 
TITLE VII 

ADOPTION OF THE UNIFORM BUILDING CODE, UNIFORM MECHANICAL 

CODE, UNIFORM PLUMBING CODE, NATIONAL ELECTRICAL CODE AND 

OTHER RELEVANT FEDERAL BUILDING AND CONSTRUCTION STANDARDS 

The adoption of 24 C.F.R. part 200.925~ -- Model Codes, including the Uniform Building Code, 

Uniform Mechanical Code, Uniform Plumbing Code, National Electrical Code and others, 

together will serve to regulate the operational safety and inspection of all relevant building and 

construction activities conducted on tribal lands. 

SECTION 1. ADOPTION BY REFERENCE. 

1.1 Findings. The HABEMATOLEL POMO INIANS OF UPPER LAKE ("Tribe" 

or "Tribal") Executive Council on behalf of the Tribe finds that: 

1.1.1 A certain document, three copies of which are on file in the office of the 

Tribal Secretary, being marked and designated as 5 U.S.C. 552(a) and 1 

CFR part 51 is hereby adopted as the Tribal Uniform Building Code, 

Tribal Uniform Mechanical Code, Tribal Uniform Plumbing Code, Tribal 

Electrical Code and Tribal Building and Construction Standards, for 

regulating the construction of buildings on tribal lands. The 

aforementioned documents are: 

(A) Model Building Codes- 

(i) The BOCA National Building Code, 1993 Edition, The 

BOCA National Plumbing Code, 1993 Edition, and the 

BOCA National Mechanical Code, 1993 Edition, 

excluding Chapter I, Administration, for the Building, 

Plumbing and Mechanical Codes and the references to 

fire retardant treated wood and a distance of 4 feet 

(1219 rnm) from the wall in exception number 1 of 

paragraph 705.6 and 707.5.2 number 2 (Chapter 7) of 

the Building Code, but including the Appendices of the 

Code. Available from Building Officials and Code 

Administrators International, Inc., 405 1 West 

Flossmoor Road, Country Club Hills, Illinois 60478. 

(ii) Standard Building Code, 199 1 Edition, including 

199211993 revisions. Standard Plumbing Code, 199 1 

Edition, Standard Mechanical Code, 199 1 Edition, 

including 1992 revisions, and Standard Gas Code, 199 1 

Edition, including the 1992 revisions, but excluding 

Chapter I--Administration from each standard code and 

Habernatolel Porno of Upper Lake 8/8/05 . , P66 

rY+WaM5 
the phrase "or fire retardant treated wood" in reference 

note (a) of table 600 (Chapter 6) of the Standard 

Building Code, but including Appendices A, C, E, J, K, 

M, and R. Available from the Southern Building Code 

Congress International, Inc., 900 Montclair Road, 

Birmingham, Alabama 352 13. 

(iii) Uniform Building Code, 1991 Edition, including the 

1993 Accumulative Supplement, but excluding Part I-- 

Administrative, and the reference to fire retardant 

treated plywood in section 2504(c)3 and to fire 

retardant treated wood in 1-HR type III and V 

construction referenced in paragraph 4203.2., but 

including the Appendix of the Code. Uniform Plumbing 

Code, 1991 Edition, including the 1992 Code Changes 

but excluding Part I--Administration, but including the 

Appendices of the Code. Uniform Mechanical Code, 

199 1 Edition, including the 1993 Accumulative 

Supplement but excluding Part I--Adminis trative, but 

including the Appendices of the Code. All available 

from the International Conference of Building Officials, 

5360 South Workman Mill Road, Whittier, California 

90601. 

(B) National Electrical Code, NFPA 70, 1993 Edition, including 

appendices. Available from the National Fire Protection Association, 

Batterymarch Park, Quincy, Massachusetts 02269. 

(C) National Standard Plumbing Code, 1993 Edition. Available from the 

National Association of Plumbing-Heating-Cooling Contractors, P.O. 

Box 6808, Falls Church, Virginia 22046. 

1.1.2 Model Code Compliance Requirements. 

(A) When a multifamily or care-type property is to comply with one of the 

model building codes set forth in paragraph 1.1.1 (A) of this section, 

the following requirements of those model codes shall not apply to 

those properties: 

(i) Those provisions of the model codes that do not pertain to 

residential or institutional buildings; 

(ii) Those provisions of the model codes that establish energy 

requirements for multifamily or care-type structures; 

and 

Habematolel Porno of Upper Lake 8/8/05 67 
(iii) Those provisions of the model codes that 

require or allow the issuance of permits of any sort. 

1.1.3 Where the model codes set forth in paragraph 1.1.1 (A) of his section 

designate a building, fire, mechanical, plumbing or other official, the 

Secretary's designee in the HUD Field Office serving the jurisdiction in 

which the property is to be constructed shall act as such official. 

1.1.4 Designation of Model Codes. When a multifamily or care-type property is 

to comply with a model code, it shall comply with one of the model codes 

designated in paragraphs 1.1.3 (A-C) of this section, and with any other 

code or codes identified in the same paragraph. However, seismic design 

is a mandatory requirement. In addition, the property shall comply with all 

of the standards that are incorporated into the code or codes by reference. 

By the time of application for insurance or other benefits, the developer or 

other interested party shall notify the Department of the code or group of 

codes to which the developer intends to comply. 

(A) The BOCA National Building Code, The BOCA National 

Plumbing and The BOCA National Mechanical Code, 1993 

Editions. 

(B) Standard Building Code, Standard Plumbing Code, Standard 

Mechanical Code and Standard Gas Code, 1991 Editions, 

including the revisions specified in paragraph 1.1.1 (A)(ii) of this 

section, and the National Electrical Code, 1993 Edition. 

(C) Uniform Building Code, Uniform Plumbing Code and Uniform 

Mechanical Code, 1991 Editions, including the 1993 Accumulative 

Supplements to the Building and Mechanical Codes, and the 1992 

Code Changes to the Uniform Plumbing Code, and the National 

Electrical Code, NFPA 70, 1993 Edition. 

(D) The National Electrical Code, NFPA 70, 1993 Edition. 

Inconsistent Codes Repealed. All articles, titles, chapters, or other codes or 

portions thereof, in conflict herewith are hereby repealed in that respect only. 

Certification of Adoption and Publishing. The Tribal Secretary shall certify the 

adoption of this Tribal Code and cause the same to be published as required by 

law. 

Habematolel Pomo of Upper Lake 8/8/05 68 

874YaXs 
1.4 Effective Date. This Tribal Code and the rules, regulations, provisions, 

requirements, orders, and matters established and adopted hereby shall take effect 

and be in full force and effect from and after the date of its final passage and 

approval. 

Habematolel Pomo of Upper Lake 8/8/05 69 

8&&.?4a