MAILING ADRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail Stop #1621 Washington, DC 20040 Tel: 202.632.7003 Fax: 

202.632.7066

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK; Oklahoma City, OK; Rapid City, SD

WWW.NIGC.GOV

November 1, 2021

Via E-Mail

Deanna Bovee, Chairwoman

Susanville Indian Rancheria

745 Joaquin Street

Susanville, CA 96130

dbovee@sir-nsn.gov

Re: Susanville Indian Rancheria Gaming Ordinance Amendments, 

 Record of Board Action (Tribal Business Council) Dated 9/10/21

Dear Chairwoman Bovee:

This letter responds to your request on behalf of the Susanville Indian Rancheria for the 

National Indian Gaming Commission (NIGC) to review and approve the Tribe’s amendments to 

its gaming ordinance. The amendments were adopted by the Susanville Rancheria Tribal 

Business Council in the Record of Board Action Dated September 10, 2021. The amendments 

execute a revised Gaming Ordinance intended to update provisions to more clearly align with 

NIGC regulations.

These amendments are approved as they are consistent with the requirements of the Indian 

Gaming Regulatory Act and NIGC regulations. If you have any questions or require anything 

further, please contact Staff Attorney Mary Modrich-Alvarado at (202) 632-7003.

 Additionally, I want to take this opportunity to acknowledge Susanville Rancheria’s role in 

helping to establish a strong example for the ordinance revision process. The Tribe has always 

approached the process with an attention for detail. 
MAILING ADRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail Stop #1621 Washington, DC 20040 Tel: 202.632.7003 Fax: 

202.632.7066

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK; Oklahoma City, OK; Rapid City, SD

WWW.NIGC.GOV

Thank you for always strengthening the regulatory reputation associated with Indian gaming.

Sincerely,

 E. Sequoyah Simermeyer

 Chairman 

CC: Alicia Buentiempo (abuentiempo@sirgc.org)
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SUSANVILLE INDIAN RANCHERIA

Gaming Code

Title I. Tribal Gaming Ordinance

Ordinance No. 2020 – 004, Amendment 4

(Approved March 03, 2020)

REGULATION OF CLASS II AND CLASS III GAMING

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

jurisdiction of the Susanville Indian Rancheria .

SECTION 1. FINDINGS, INTENT AND POLICY

1.1 Findings. The SUSANVILLE INDIAN RANCHERIA ("Tribe" or "Tribal") 

through the General Council, which is the Governing Body of the Tribe, finds 

that:

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

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

Tribe and visitors to the Tribal community.

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

Activity within the jurisdiction of the Tribe.

1.1.3 Properly licensed and regulated Gaming 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 General Council regulate Gaming in a manner 

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

Tribal law and policy.

1.1.5 The present needs of the Tribe are not adequately addressed by State and 

Federal programs including the need for increased employment, training, 

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

culture, social services and community and economic development.
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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.

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

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

the terms and conditions of the Indian Gaming Regulatory Act.

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

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

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

 this Code is to:

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

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

revocable privilege, not a right.

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

means of generating Tribal revenue.

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

and players, and that it 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 Tribal Business Council 

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

and only for the following purposes:

(1) To fund the Tribe's government operations or programs.

(2) To provide for the general welfare of the Tribe and its members.
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(3) To promote Tribal economic development.

(4) To donate to charitable organizations.

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

1.3.2 Tribal Gaming Policy The establishment, promotion and operation of 

Gaming is necessary, provided that such Gaming is regulated and 

controlled by the Tribe pursuant to the Compact authorized by the Indian 

Gaming Regulatory Act, and that the revenues of such Gaming are used

exclusively for the benefit of the Tribe.

1.3.3 Tribal Ownership of Gaming Facility The Tribe shall have sole 

proprietary interest in and responsibility for the conduct of Gaming 

Facilities and/or Enterprises authorized by this Code, except as expressly 

provided by this Code.

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

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

regulations promulgated by the NIGC.

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

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

Compact as approved by the Secretary of the Interior, and played in 

accordance within the definitions and scope of the IGRA, P.L. 100-447,

25 U.S.C. Section 2703(8) and by regulations promulgated by the NIGC.

SECTION 2. DEFINITIONS

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

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

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

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

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

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

Licensee.

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

provisions of this Code.

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

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

required or permitted under the provisions of this Code.
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2.4 "Association" means representatives from California tribes, the California State 

Bureau of Gaming Control and the California Gambling Control Commission as 

established pursuant to Section 2.3 of the Compact.

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

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

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

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

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

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

covering a previously designated arrangement of numbers or designations on such

cards.

2.6 "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.

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

which is expected to extend beyond one year.

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

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

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

enterprises are operated.

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

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

2.11 "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.

2.12 "Class II Gaming" means those Gaming activities as defined as Class II Gaming

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

2.13 "Class III Gaming" means those Gaming activities as defined as Class III

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

2.14 "Code" means this Tribal Gaming ordinance of the Susanville Indian Rancheria, 

as may be amended from time to time.

2.15 "Compact" means the Gaming compact between the Tribe and the State, as

authorized by the Indian Gaming Regulatory Act.

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

enumeration for services rendered.
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2.17 "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.

2.18 "Council" or "General Council" means the governing body of the Tribe.

2.19 "Determination of Suitability" means a formal finding by the Tribal

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

obtain and/or maintain the License.

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

whose name appears on the tribal membership roll.

2.21 "Enterprise" means the economic entity that is licensed by the Tribal

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

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

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

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

economic interest and welfare of the Tribe.

2.24 "Financial Source" as that term is used in § 6.4.5 of the Compact, and in this

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

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

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

Enterprise. For the purposes of this section, and § 6.3.2 of this Ordinance, the 

term "Contract" means an agreement between the Tribe, or any Tribal 

subdivision, arm, or entity, and another Person. Financial Sources must be 

licensed.

2.25 "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.

2.27 "Gaming Device" means a slot machine, including an electronic,

electromechanical, electrical, or video device that, for consideration permits:
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individual play with or against that device or the participation in any electronic,

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

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

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

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

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

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

2.28 "Gaming Employee" means any person who (a) operates, maintains, repairs,

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

supervising such Gaming Activities or persons who conduct, operate, account for,

or supervise any such Gaming Activity, (b) is in a category under federal or Tribal

gaming law requiring licensing, (c) is an employee of the Tribal Gaming

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

employment duties require or authorize access to areas of the Gaming Facility that

are not open to the public.

2.29 "Gaming Facility" or "Gaming Establishment" means any building in which

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

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

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

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

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

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

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

2.30 "Gaming Enterprise" means any Tribal department or program , which oversees 

one or more parts of the operation of Gaming. The Gaming Enterprise must be 

licensed by the Tribal Commission.

2.31 "Gaming Resources" means any goods or services provided or used in

connection with Class III Gaming Activities, whether exclusively or otherwise,

including, but not limited to, equipment, furniture, gambling devices and ancillary

equipment, implements of gaming activities such as playing cards and dice,

furniture designed primarily for Class III gaming activities, maintenance or

security equipment and services, and Class III gaming consulting services.

"Gaming Resources" does not include professional accounting and legal services.

2.32 "Gaming Resource Supplier" means any person or entity who, directly or

indirectly, manufactures, distributes, supplies, vends, leases or otherwise purveys

Class II Gaming or Class III Gaming resources to the Gaming Facility, provided

that the Tribal Commission 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 Resource

Suppliers must be licensed.

2.33 "General Manager" means the Person or entity, which has management
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responsibilities for the Gaming Activity, and which shall have access to all areas

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

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

staff or designated representative.

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

received from the lawful Gaming Enterprise.

2.35 "Identification Card" means the Identification Card approved by the Tribal

Commission and worn by a Licensee for purposes of identifying the Licensee.

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

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

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

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

or half sister, and those residing in the home.

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

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

2.38 "Indian Lands" means:

2.38.1 Lands within the limits of the Tribe's exterior boundaries, whereby it

exercises sovereign jurisdiction over such lands, notwithstanding the 

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

lands; and

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

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

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

exercises governmental powers; and

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

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

2.39 "In privity with" means a relationship involving one who acts jointly with

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

co-conspirator with the other.

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

2.41 "Key Employee" means those individuals as defined as Key Employees in IGRA 

25 C.F.R. § 502.14.

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

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

the Tribe.
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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 amount of cash

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

progressive pool is permitted

 2.45 “Management Contract” Management contract means any contract, 

subcontract, or collateral agreement between an Indian tribe and a contractor or 

between a contract or agreement provides for the management of all or part of a 

gaming operation.

2.46 "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 operation less 

amounts paid out as, or paid for, prizes and less total Gaming-related operating 

expenses, including all those expenses of the gaming operation commonly known 

as operating expenses and non-operating expenses consistent with professional 

accounting pronouncements, excluding Management Contractor fees.

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

Public Accountants.

2.50 "Non-Gaming Employee" means an employee of the Gaming Facility who is not

otherwise classified as a Gaming Employee.

2.51 "Participate" in any Gaming means operating, directing, financing or in any way

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

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

in Person or off the Reservation.

2.52 "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
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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."

2.53 "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.

2.54 "Primary Management Official" means:

2.54.1 The person having management responsibility for a management contract

;

2.54.2 Any Person who has authority to:

(1) Hire and fire employees; or

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

2.54.3 The Chief Financial Officer or other Person who has financial

management responsibility.

2.54.4 Any other person designated by the Tribal Commission as a Primary 

Management Official.

2.55 "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.

2.56 "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.

2.57 "Rancheria" means lands defined as "Indian Lands" herein.

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

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

include a slot machine.

2.59 "State" means the State of California.

2.60 "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.
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2.61 "State Gaming Facility Compliance Agent" means the Person appointed as 

Inspector pursuant to Section 6.4.2(c) of the Compact.

2.62 "Tribal Business Council" means the Elected Officials of the General Council 

pursuant to the Susanville Indian Rancheria Tribal Constitution.

2.63 "Tribal Commission" means the Tribe's Gaming Commission described in

Section 4 of this Code.

2.64 "Tribal Court" means a Tribal Court created in accordance the Tribe's

Constitution.

2.65 "Tribe" or "Tribal" means the Susanville Indian Rancheria.

2.66 "Non-Gaming Vendor" means any purveyor of goods or services, other than

professional accounting and legal services, to the Gaming Facility that is not

otherwise classified as a Gaming Resource Supplier.

2.67 "Wager" means the initial bet made in any game.

SECTION 3. GENERAL PROVISIONS

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

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

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

of the Tribal Constitution and Bylaws.

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

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

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

Constitution.

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

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

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

the provisions of this Code are hereby repealed.

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

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

suspended.

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

otherwise requires, the following shall apply:

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

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

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

number include the singular.

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

genders and the neuter.

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

jurisdiction, the remaining sections shall not be affected thereby.

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

the Chairman of the NIGC pursuant to the IGRA.

SECTION 4. TRIBAL GAMING COMMISSION

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

Susanville Indian Rancheria Tribal Gaming Commission as a

governmental subdivision of the Tribe.

4.1.1 The Susanville Indian Rancheria Tribal Gaming Commission

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

4.1.2 The Tribal Business Council of the Susanville Indian Rancheria shall

serve as the Tribal Commission until the Tribal Business Council appoints 

the members of the Tribal Commission pursuant to Section 4.10.4. The

Tribal Business Council, as Tribal Commissioners, shall comply with the

background check and licensing requirements of the Code, herein.

4.2 Location and Place of Business.

4.2.1 Gaming Facility The Tribal Commission may maintain its headquarters,

principal place of business and office within the Gaming Facility.

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

vote from the Tribal Business Council, establish other places of business 

in such other locations as the Tribal Commission may from time to time 

determine

to be in the best interest of the Tribe.

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

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

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

is under the directive and control of the Tribal Business Council , but it is the 

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

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

of the Tribe, its members and the residents of the Rancheria.

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

Commission shall function as an arm of the Tribe.

4.4.2 Tribe Actions Notwithstanding any authority delegated to the Tribal

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

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

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

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

Tribal Commission.

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

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

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

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

exercise one or more substantial governmental functions of the Tribe.

4.6 Sovereign Immunity of the Tribal Commission.

4.6.1 Authority The Tribal Commission is 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 the State,

Federal or Tribal Court.

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

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

shall only be waived pursuant to subsection 4.7 below.

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

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

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

business or affairs of the Tribal Commission.

4.7 Waiver of Sovereign Immunity of the Tribal Commission. Sovereign

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

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

Business

Council and the General Council after consultation with its attorneys.

4.7.1 Resolution Effecting Waiver All waivers of sovereign immunity must be

preserved with the resolutions of the Tribal Business Council and the 

General
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Council of continuing force and effect.

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

be granted only when necessary to secure a substantial advantage or

benefit to the Tribal Commission.

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

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

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

thereto, and 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 4.17 herein, nor any express waiver of sovereign immunity

by resolution of the Tribal Business Council and the General Council, 

shall be

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

property of the Tribal Commission other than property specifically

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

exterior boundaries of the Rancheria 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 the Tribal Commission, are hereby expressly reserved, including sovereign 

immunity from suit in any state, Federal or Tribal Court. Nothing in this Code 

nor any action of the Tribal Commission shall be deemed or construed to be a 

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

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

with regard to the business or affairs of the Tribal Commission or the Tribe, or 

to be a consent of the Tribe to any cause of action, case or controversy, or to the 

levy of any judgment, lien or attachment upon any property of the Tribe; or to 

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

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

any such land.

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

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

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

Commission nor any indebtedness incurred by it shall implicate or in any way 

involve any assets of tribal members or the Tribe not assigned in writing to the 

Tribal Commission.

4.10 Membership.

4.10.1 Number of Commissioners The Tribal Commission shall be comprised of

five (5) Tribal Gaming Commissioners, none of whom may be members 

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

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

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

Tribal Commission.

(2) The Chairman and Vice-Chairman shall be the designated agents for 

service of process of any official determination, order or notice of 

violation.

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

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

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

Chairman is unavailable.

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

the Tribal Business Council.

4.10.3 Qualifications for Tribal Commission Positions

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

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

below.

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

or a combination thereof in the following areas: finance, 

management, legal, business, governmental regulation, and Tribal 

policy and law.

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

age and show proof of High School Diploma or equivalent.

4.10.4 Date of Appointment The Tribal Business Council shall appoint Tribal

Commissioners at their August Meeting.

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

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

to have performed a comprehensive background check on each

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

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

habits or associations:

(i) Pose a threat to the public interest; or
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(ii) Threaten the effective regulation and control of Gaming; or

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

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

or

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

to a felony of any jurisdiction or to a misdemeanor involving 

dishonesty or moral turpitude in any jurisdiction; or

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

any Gaming Enterprise or is in privity with a Management 

Contractor; or

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

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

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

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

appointed for three (3) year staggered terms.

4.12 Ex-Officio Members. At the direction of the Tribal Business Council, any 

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

any other Person may be designated to Participate, without vote, in Tribal 

Commission meetings.

4.13 Meetings.

4.13.1 Regular Meetings The Tribal Commission shall meet formally at least

every other week. Nothing in this Code shall prohibit the Tribal 

Commission from authorizing telephone and off-site meetings.

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

Tribal Business Council or the Chairman of the Tribal Commission.

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

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

Commission shall be decided by majority vote.

4.14 Compensation of Commissioners. The compensation of Commissioners shall

be established by the Tribal Business Council.

4.15 Removal of Members or Vacancies.

4.15.1 Removal A Tribal Commissioner may be removed by the Tribal Business

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

malfeasance, misfeasance, nonfeasance, misconduct in office, or for any
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conduct which threatens the honesty and integrity of the Tribal

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

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

removed without notice and an opportunity for a hearing before the

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

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

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

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

witnesses on his behalf.

4.15.3 Temporary Suspension If the Tribal Business Council or Tribal 

Commission determines that immediate suspension of a Tribal Commissioner is

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

hold a hearing with the Tribal Commissioner to suspend the Tribal

Commissioner temporarily, and the question of permanent removal shall

be determined thereafter pursuant to Tribal Commission hearing

procedures pursuant to 4.15.2 herein.

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

the charges and findings thereon shall be kept by the Tribe.

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

removal of a Tribal Commissioner shall be final.

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

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

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

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

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

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

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

qualifications established by this Code.

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

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

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

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

him/her in a conflict of interest.

4.16.1 No member of the Tribal Commission shall participate in any

promotion, contest, or gaming activity of the casino enterprise.

4.16.2 No member of the Tribal Business Council shall participate in any

promotion, contest, or progressive slot machine of the casino enterprise.

4.17 Powers of the Tribal Commission. In furtherance, but not in limitation, of the
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Tribal Commission's purposes and responsibilities, and subject to any restrictions

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

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

all powers already conferred by this Code:

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

the Tribe, provided that the Commission does not make Management

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

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

other applicable law regarding Gaming within the jurisdiction of the

Tribe.

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

Control Commission.

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

rules and regulations and any Tribal Business Council, Tribal 

Commission or Tribal Court decisions regarding Gaming matters.

4.17.5 To prepare and submit for Tribal Business Council approval proposals,

including budget and monetary proposals related to the operation of the

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

the policies and intent of this Code.

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

to any Gaming issues.

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

it deems necessary to ensure compliance with this Code. In undertaking 

such investigations, the Tribal Commission may request the assistance 

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

legal counsel and other third parties.

4.17.8 To arrange for training of Tribal Commission members and employees

in areas relating to the regulation or operation of Gaming.

4.17.9 Upon prior explicit resolution and approval of the Tribal Business 

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

may include, but are not limited to, lawyers, accountants, law 

enforcement specialists and Gaming professionals.

4.17.10 To promulgate rules and regulations, which implement and further the 

provisions of this Code; provided such rules and/or regulations are 

approved by Tribal Business Council resolution or ordinance.
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4.17.11 To accept, review, approve or disapprove any Application for a License 

and granting and issuing gaming licenses to Primary Management 

Officials and Key Employees.

4.17.12 To consult with and make recommendations to the Tribal Business 

Council regarding changes in Tribal Gaming laws and policies.

4.17.13 To examine under oath, either orally or in writing, in hearings or

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

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

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

compel by subpoena the attendance of witnesses and the production of

any books, records, and papers with respect thereto.

4.17.14 To make, or cause to be made by its agents or employees, an

examination or investigation of the place of business, equipment,

facilities, tangible Personal property and the books, records, papers,

vouchers, accounts, documents and financial statements of any Gaming

operating, or suspected to be operating, within the jurisdiction of the

Tribe.

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

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

of its functions as may be necessary to administer these ordinances 

efficiently; provided, that the Tribal Commission may not re-delegate its 

power to exercise any of the substantial governmental functions of the 

Tribe or its power to promulgate rules and regulations; and provided 

further that the Tribal Commission may not delegate to any Person the 

power to permanently revoke a License.

4.17.16 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 State Gaming Agency.

4.17.17 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 Commission without the prior

explicit written approval of the Tribal Business Council.

4.17.18 To use the seal of the Tribal Commission or the seal of the

Tribe with the approval of the Tribal Business Council.

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

party relating to the Tribal Commission's authorized activities.

4.17.20 To exercise the Tribal power to tax, authorized by the Tribal

Constitution in accordance with a Tribal Business Council resolution
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delegating such power to the Tribal Commission solely for the purpose

of allowing it to charge administrative and License Application fees to

Gaming License Applicants which are reasonably related to the costs of

operating the Commission.

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

property or against any risk or hazard.

4.17.22 With prior approval of the Tribal Business Council, to make application 

and

accept grants and other awards from private and governmental sources

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

the Tribe.

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

convenient.

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

information desired by the Tribal Business Council or required by this 

Code.

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

safeguards for preserving confidentiality as deemed necessary by the

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

(3) years.

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

4.17.27 To adopt a schedule of fees for services rendered relating to transcripts

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

records.

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

4.17.29 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 4.23 and 4.24 herein.

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

the Tribal Commission determines that immediate closure is necessary

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

hearings required by Section 4.23 and 4.24 herein.

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

certificate of self-regulation under the IGRA.

4.17.32 To file with the State Gaming Agency a request to be heard on any
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denial of a Determination of Suitability.

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

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

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

4.17.34 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.

4.17.35 Notwithstanding any authority granted herein, the Tribal Commission

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

procedures which are consistent with the State Gaming Agency's rules,

regulations, standards, specifications and procedures adopted pursuant to

Sections 4.0-9.0 of the Compact.

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

Interest Policy governing Tribal Commissioners and Tribal Gaming

Commission staff

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

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

Council by October 15 of each year.

4.19 Tribal Commission Regulations.

4.19.1 Tribal Commission regulations necessary to carry out the orderly

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

to, the following:

(1) The Minimum Internal Control Standards ("MICS") guidance on 

Class III MICS as issued by the NIGC;

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

enforce the Tribal Commission's duties and exercise its powers;

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

contracting, management and supervision;

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

necessary to implement this Code; and

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

actions and other powers of the Tribal Commission authorized by 

this Code.

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

unless it is adopted by the Tribal Commission by written resolution and
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subsequently approved by a resolution of the Tribal Business Council and 

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

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

authorized officers and employees of the Tribal Commission, during regular

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

Gaming Facility for the purpose of making inspections and examining the

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

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

examinations by giving every reasonable aid to the Tribal Commission

and to any properly authorized officer or employee.

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

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 Commission, upon complaint or upon its own initiative

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

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

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

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

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

4.22 Reserved.

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

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

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

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

satisfaction of the Tribal Commission that all of the interested parties

involved in any proposed hearing have agreed concerning the matter at

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

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

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

with specificity, the issues to be resolved.

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

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

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

determined by the Tribal Commission.

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

holding any hearing, or the Tribal Commission may appoint a Person
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qualified in the law or possessing knowledge or expertise in the subject

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

hearing. Any such appointment shall constitute a delegation to such

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

respect to any such hearing.

4.23.5 Decision The Tribal Commission shall render a written decision upon the

conclusion of any hearing conducted pursuant to this Section. The

Commission will endeavor to deliver its written decision within thirty (30)

days, however additional time may be required as determined by the

Tribal Commission.

4.23.6 Appeals Request. Affected parties may appeal a Tribal Commission

determination by filing a written appeal request to the Tribal Business

Council within ten (10) days of receiving the Tribal Commission's written

decision. A written appeal request must identify the basis for the appeal

and shall summarize a specific error or injustice which allegedly occurred

in the hearing process.

4.23.7 Appeals Procedure.

4.23.7.1 The Tribal Business Council may grant or deny the appeal

request in its discretion. If an appeal request granted, the

Tribal Business Council may choose to schedule a hearing,

or may issue a decision on the written record. The Tribal

Business Council shall make its best effort to issue a

written decision within ten (30) days of any hearing or

within thirty (10) days if it does not conduct an appeal

hearing.

4.23.7.2 Any decision of the Tribal Business Council on appeal

shall be final and not subject to further appeal.

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

file a quarterly report to the Tribal Business Council summarizing reports 

received from each of the Tribe's Gaming Facilities and make such comments as 

it deems necessary to keep the Tribal Business Council fully informed as to the 

status of the Tribal Commission's activities.

SECTION 5. GAMING LICENSES

5.1 Applicability.

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

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

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

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

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

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

as issued by the Tribal Commission.

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

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

Tribal Commission, provided that any Person extending the financing

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

5.1.4 The Gaming Enterprise shall not employ an individual as a Primary 

Management Official or Key Employee position who does not have a 

license after ninety (90) days of beginning work at the gaming operation.

5.2 Application Procedure.

5.2.1 Submission to Tribal Commission An Applicant seeking a License shall

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

Tribal Commission may require.

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

following notices:

5.2.2.1. Privacy Act

In compliance with the Privacy Act of 1974, the following information is 

provided: Solicitation of the information on this form is authorized by 25 

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

determine the eligibility of individuals to be granted a gaming license. The 

information will be used by the Tribal gaming regulatory authorities and 

by the National Indian Gaming Commission (NIGC) members and staff 

who have need for the information in the performance of their official 

duties. The information may be disclosed by the Tribe or the NIGC to 

appropriate Federal, Tribal, State, Local, or foreign law enforcement and 

regulatory agencies when relevant to civil, criminal, or regulatory 

investigators of gaming license, or investigations of activities while 

associated with a tribe or a gaming operation. Failure to consent to the 

disclosures indicated in this notice will result in a tribe’s being unable to 

license you for a primary management official or key employee position.

The disclosure of your Social Security Number (SSN) is voluntary. 

However, failure to supply may result in errors in processing your 

application.

5.2.2.2. False Statement

A false statement on any part of your license application 

may be grounds for denying a license or suspension or 
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revocation of a license. Also, you may be punished by fine 

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

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

application for a Determination of Suitability along with required releases

to the State Gaming Agency.

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

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

the following information:

(1) The full name, other names used (oral or written), address, 

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

and social security number or business identification number of the 

Applicant.

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

employment positions held, ownership interests in those 

businesses, business and residential addresses, and driver’s license 

numbers. If the Applicant has been issued more than one (1) 

driver's license number within the last five (5) years, each driver's 

license number.

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

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

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

will provide.

(4) The names and addresses of the Applicant's Immediate Family.

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

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

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

contendere.

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

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

involved, and the date of disposition, if any;

(ii) For each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations) within ten 

(10) years of the date of the application, the name and 

address of the court involved and the date of disposition, if 

any;

(iii) For each criminal charge (excluding minor traffic violations), 

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

is within ten (10) years of the date of the application, and is 
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not otherwise listed pursuant to paragraphs (5)(i) – (ii) of this 

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

court involved and the date and disposition.

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

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

personal references who are not related to the Applicant, including 

one (1) personal reference acquainted with the Applicant during 

each period of residence listed under paragraph (2) of this section. 

(8) A list of the Applicant's previous jobs over the preceding five (5)

years and his present business affiliations.

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

with the gaming industry generally, including ownership interest in 

those businesses.

(10) A description of any existing and previous business relationships 

with other tribes, including any ownership interests in those 

businesses.

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

Immediate Family has a past or current financial interest in any 

Gaming-related enterprise anywhere.

(12) The name and address of any licensing or regulatory agency with

which the person has filed an application for a license or permit 

related to gaming, whether or not such license or permit was 

granted.

(13) The name and address of any licensing or regulatory agency with 

which the person has filed an application for an occupational 

licenses or permit, whether or not such license or permit was 

granted.

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

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

Agency and NIGC or its designees the right to the Applicant's 

background, including his criminal record.

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

criminal action against the Applicant.

(17) Any other information the Tribe deems relevant.
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(18) Fingerprints obtained in accordance with procedures adopted by 

the Tribe according to § 522.2 (h) § 556.4 (a)(1)-(14).

(19) 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.

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

Tribal and Federal laws, regulations and policies.

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

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

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

knowledge.

(23) Current business and residential telephone numbers, and all cell 

phone numbers.

5.2.4.1 If, in the course of a background investigation, a tribe discovers that the applicant 

has a notice of results on file with the NIGC from a prior investigation and the tribe has 

access to the earlier investigate materials (either through the NIGC or the previous tribal 

investigative body), the tribe may rely on those materials and update the investigation and 

investigative report under § 556. (b)(1).

5.2.4.2 In conducting a background investigation, a tribe or its agents shall keep 

confidential the identity of each person interviewed in the course of the investigation.

5.2.5 Business Entities In addition to the relevant information requested in 

5.2.4, business entities shall also submit the following:

(1) Each of its officers and directors;

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

executive officer, chief financial officer, chief operating officer, 

and general manager;

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

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

shares of the corporation; and

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

provided financing in connection with Gaming authorized under 

this Compact.
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5.3 Review of License Application. The Tribal Commission is responsible for 

thoroughly reviewing and conducting background investigations for each Tribal 

Gaming License Application sufficient to make a determination of eligibility as 

required under this Code. The Tribal Commission's review and background 

investigation shall include, but is not limited to the following:

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

County Sheriff's Office and/or the Lassen County Office of Education, 

located in Lassen County, State of California, to

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

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

Commission.

5.3.2 The Tribal Commission shall review diligently, the information provided

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

contacting and investigating all resources identified in the Tribal Gaming

License Application. Before a license is issued, an authorized Tribal 

official, identified by the Tribal Commission, shall review an Applicant's 

prior activities, criminal record (if any), reputation, habits, and 

associations in order to make a finding concerning the eligibility of that 

person for receiving a gaming license for key employees and primary 

management officials.

5.3.3 The Tribal Commission shall create, maintain, and provide an 

investigative report as to findings and conclusions of each background 

investigation, including, but not limited to:

5.3.3.1 Steps taken in conducting a background investigation;

5.3.3.2 Results obtained;

5.3.3.3 Conclusions reached; 

5.3.3.4 The basis for those conclusions.

5.3.4 The Tribal Commission shall transmit the Applicant's Application, file,

and copies of the eligibility determination included with the Notice of 

Results, to the NIGC and the State Gaming Agency before the licensing of 

a primary management official or key employee. The tribe may issue a 

license after submission of the Notice of Results to NIGC.

5.3.5 The Tribal Commission shall maintain the Applicant's complete 

application file, including applications, background investigation reports, 

and eligibility determination reports, and all information listed in Section 

5.2.4. for inspection by the NIGC for no less than three (3) years from the 

date of termination of employment.
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5.3.6 The Tribal Commission, when it does not license an Applicant, shall

notify the NIGC and forward copies of the Tribal Commission's eligibility

determination report and notice of results for inclusion in the Indian 

Gaming Individuals Record System..

5.3.7 The Tribal Commission, and its investigators, shall keep confidential the 

identity of each person interviewed in the course of conducting a 

background investigation.

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

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

applicant’s background investigation to submit to the NIGC.

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

sixty (60) days after the applicant begins working for the Gaming 

Enterprise. The notice shall contain:

1. Applicant’s name, date of birth, and social security number;

2. Date on which applicant began or will begin work as a key employee or 

primary management official;

3. A summary of the information presented in the investigative report, which 

shall at a minimum include a listing of:

i. Licenses that have previously been denied

ii. Gaming License that have been revoked, even if subsequently 

reinstated;

iii. Every known criminal charge brought against the applicant within 

the last 10 years of the date of application; and

iv. Every felony of which the applicant has been convicted or any 

ongoing prosecution.

v. A copy of the eligibility determination made under § 556.5.

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

into an agreement with the Lassen County Sheriff's Office to receive and process

fingerprint cards for background investigation purposes. Such background

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

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

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

authorized entity for receiving and processing fingerprint cards for background

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

includes a check of criminal history records information maintained by the

Federal Bureau of Investigation.
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5.5 Notification and MOU with NIGC. If the Tribal Commission chooses to utilize

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

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

License applications to NIGC. Before obtaining and processing fingerprint cards

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

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

criminal result obtained from the fingerprint cards for background investigation

purposes shall be viewed by Tribal government officials only.

5.6 Scope and Types of License.

5.6.1 Class "KG" License. A Class "KG" License is for Key Employees and

Primary Management Officials. A person maintaining a Class "KG"

license shall be able to perform job duties and responsibilities associated

with positions which require a Class KG, or NG License.

5.6.2 Class "NG" License. A Class "NG" License is for Non-Gaming

Employees. A person maintaining a Class "NG" license shall only be able

to perform job duties and responsibilities associated with positions which

require a Class NG License.

5.6.3 Class "FS" License. A Class "FS" License is for Financial Source

Providers.

5.6.4 Class "V" License. A Class "V" License is for Gaming Resource

Suppliers and other Vendors the Tribal Commission requires to be

licensed.

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

Applicant has completed a License Application, the Tribal Commission may

immediately issue a temporary License if:

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

investigation; and

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

that the Applicant has a criminal history.

5.7.3 Temporary licenses may last no longer than 90 days.

5.8 License Issuance, Term and Substance.

5.8.1 Issuance Upon completion and submission of notice of results of the 

applicant’s necessary background investigation to the NIGC, as required 

by Section 5 of this Code, and after the Tribal Commission has complied 

with the Thirty (30) day NIGC review requirements found in 25 C.F.R. 
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§558.3 and §558.4, the Tribal Commission may issue a License on a 

conditional or unconditional basis.

5.8.1.1 If the Tribal Commission receives a statement of itemized 

objections to issuing such a license from the NIGC, and those 

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

receiving a notice of results of the Applicant’s background 

investigation, the Tribal Commission shall reconsider the 

Application, taking into account the reasons for the objections 

noted by NIGC. However, the Tribe shall have the final word on 

whether to license an Applicant. Nothing herein creates a property 

right in the License.

5.8.1.2 If the Tribal Commission has issued a license to a Primary 

Management Official or Key Employee before receiving the 

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

provided to the licensee as required by Section 4.23 of this 

Ordinance.

5.8.1.3 The Tribal Commission shall notify the NIGC of the issuance of a 

license to a Primary Management Official or Key Employee within 

thirty (30) days of issuance.

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.

5.8.4 Conditional license. The issuance of a conditional gaming license to a 

person of marginal suitability shall require the applicant to sign a 

conditional license agreement with the Tribal Commission.

5.8.4.1 A conditional license shall be valid for no longer than one (1) year

from the date of issue.

5.8.4.2 Every conditional license agreement shall include an express

waiver of all notice and hearing requirements normally associated

with the revocation and suspension of a license.

5.8.4.3 Every conditional licenses shall be tailored to the specific licensing

suitability deficiencies of an applicant and may include, but is not

limited to, the following sample conditions:

5.8.4.3.1 The conditional licensee shall enroll in and successful 

complete an alcohol and/or drug treatment program 
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approved by the Tribal Commission within a prescribed 

time period. Failure by the licensee to provide proof of 

successful completion of a treatment program within the 

time prescribed shall be grounds for immediate license 

revocation;

5.8.4.3.2 The conditional licensee shall abide by all tribal, federal, 

and state laws, rules and regulations; a conviction of any 

type, in any jurisdiction while holding a conditional 

gaming license shall be grounds for immediate license 

revocation. A conditional license may be summarily 

suspended pending the outcome of a conditional 

licensee's trial following the arrest or citation of a 

conditional licensee, the indictment of a conditional 

licensee, or the filing of charges by an appropriate 

official in any jurisdiction against a conditional licensee;

5.8.4.3.3 The conditional licensee shall report any arrest, citation, 

charge, or conviction of any misdemeanor, or felony 

offense, in any jurisdiction, within five (5) days of the 

related incident. Failure by the conditional licensee to 

notify the Tribal Commission of any, misdemeanor or 

felony, arrest, citation, charge, or conviction in any 

jurisdiction, within five (5) days of the related incident 

shall be grounds for immediate license revocation; 

5.8.4.3.4 The conditional licensee shall not appear at the Casino, 

either on duty or off, while intoxicated. Such appearance 

shall be grounds for immediate license revocation;

5.8.4.3.5 The conditional licensee shall not test positive for the use 

of drugs or alcohol in any required employee drug and 

alcohol testing program established by the tribal gaming 

facility. Any such positive test result shall be grounds for 

immediate license revocation;

5.8.4.3.6 The conditional licensee shall adhere to all policies and 

procedures of the gaming facility, and any violation of 

gaming facility policies or procedures shall be grounds 

for immediate license revocation;

5.8.4.3.7 The conditional licensee shall satisfy any tax liens, civil 

judgments, court ordered child support or other financial 

obligations within a prescribed time limit. Failure to 

satisfy such financial obligations shall be grounds for 

immediate license revocation.
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5.9 License Denial. Any Application for a License shall be denied if the authorized 

Tribal official, in applying the standards adopted in this Ordinance, determines 

the Application is incomplete or deficient, or that the employment or licensing of 

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

gaming, or creates or enhances the danger of unsuitable, unfair or illegal practices 

and methods and/or activities in the conduct of gaming,. If the foregoing 

determinations about the Applicant are made, no management contractor or Tribal 

gaming operation shall employ or license the Applicant.

5.9.1 When the Tribal Commission does not issue a license to an applicant for a 

Primary Management Official or Key Employee position, or revokes a 

previously issued licenses after reconsideration, it shall:

5.9.1.1 Notify the NIGC; and

5.9.1.2 Forward copies of the eligibility determination and notice of 

results of the applicant’s background investigation to the NIGC for 

inclusion in the Indian Gaming Individual Record System.

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

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

be required to provide updated material as requested.

5.11 Requirement to Produce Identification Card Upon Request. Licensees must 

visibly display their Identification Card during working hours and must produce 

such Identification Card upon the request of any Person.

5.11.1 Proper display shall be the upper shirt area.

5.12 License Suspension or Revocation of License.

5.12.1 Temporary Suspension or Revocation The Tribal Commission may

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

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

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

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

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

any Gaming License or regulatory approvals, and therefore 

deemed illegal;

(4) The Licensee attempted to bribe a Tribal Business Council 

member, Commissioner or other Person, in an attempt to avoid or 

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

member;

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

Gaming operated in violation of Tribal or Federal law;

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

records which relate to a transaction connected with the operation 

of Gaming;

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

Tribal 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 Commission, the Tribal Business 

Council, the Federal Government or any court of competent 

jurisdiction;

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

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

controlled substances;

5.12.2 Procedure for Suspension

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

Tribal Commission or its designee may either undertake an 

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

show cause why the 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 Commission or its designee shall immediately suspend such 

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

suspended and may be revoked.

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

the time and place for the hearing before the Tribal Commission 

pursuant to Section 4.23 herein.
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(4) A right to a hearing under this part shall vest only upon receipt of a 

license granted under an ordinance approved by the Chair.

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

why a revocation order or injunction should not be issued.

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

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

governed in all respects in accordance with Tribal law and Tribal 

Commission regulations. Following a revocation hearing, the Tribal 

Commission shall decide whether to revoke or reinstate the license at 

issue. Any suspension decision of the Tribal Commission after hearing 

may be reviewed pursuant to Section 4.23.

(7) The Tribal Commission shall notify NIGC of its decision to revoke or 

reinstate a license within forty-five days of receiving notification from 

the NIGC that a Primary Management Official or Key Employee is not 

eligible for employment.

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

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

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

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

a settlement of a claim.

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

IGRA.

5.13.3 The Gaming is authorized by a Tribal Business Council resolution.

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

will be consistent with Tribal and Federal law and is properly approved by 

the Chairman of the NIGC.

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

shall be licensed by the Tribal Gaming Commission.

5.14.1 Facility License shall be issued if each gaming facility meets the following 

criteria:

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

qualified inspectors and a review by the Tribal Commission of all 

relevant contracts and operational policies and procedures, including 

safety manuals and intergovernmental agreements relating to 

environmental protection, health, safety and emergency services, that 
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the Gaming Facility has been constructed and shall be maintained and 

operated in a manner that adequately protects the environment and the 

public health and safety.

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

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

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

the standards of the federal American with Disabilities Act pursuant to 

Title III of this Code.

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

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

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

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

reissued upon similar inspections every two years.

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

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

of issuance.

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

the Facility at all times.

5.14.4 The Tribal Commission shall issue a separate license to each place, facility 

or location on Indian lands where Class II and/or Class III gaming is 

conducted under this Ordinance.

5.15 State Gaming Agency Suitability Determination.

5.15.1 Except as provided in Sections 5.15.2 and 5.15.3 below, the Gaming 

Enterprise will not employ or affiliate with any Person whose application 

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

denied.

5.15.2 Notwithstanding Section 5.15.1, the Gaming Enterprise may employ a 

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

Gaming Agency if :

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

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

antedate the filing of the Person's initial application to the State 

Gaming Agency;

(3) The Person is not an Employee of another Gaming Enterprise;
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(4) The Person has been in continuous employ for at least three years by 

the Gaming Enterprise prior to the effective date of the Compact.

5.15.3 Notwithstanding Section 5.15.1, the Gaming Enterprise may employ a 

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

Gaming Agency if :

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

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

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

antedate the filing of the Person's initial application to the State 

Gaming Agency;

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

5.16 Miscellaneous Licensing Provisions.

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

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

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

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

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

Employees.

SECTION 6. BANK ACCOUNTS AND RECORDKEEPING

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

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

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

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

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

for not less than three (3) years:

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

which Class II and Class III Gaming is conducted.

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

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

bank.

6.2.3 All markers, IOU's, returned checks, hold checks or other similar credit
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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.

6.2.8 The Tribal Commission shall retain the following documentation for no 

less than three (3) years from the date a Primary Management Official or 

Key Employee is terminated from employment with the Gaming 

Enterprise:

6.2.8.1 Application for Licensing;

6.2.8.2 Investigative Reports; and

6.2.8.3 Eligibility Determinations

6.3 Audit Requirements.

6.3.1 The Tribe shall cause to be conducted independent audits of gaming 

operations annually and submit those results of those audits to the

Tribal Commission, the Tribal Business Council, the State Gaming 

Agency, and the National Indian Gaming Commission.

6.3.2 All gaming-related contracts between the Gaming Enterprise and another 

Person that result in the purchase of supplies, services (other than legal 

and accounting services) or concessions for a contract amount in excess of 

$25,000 annually shall be specifically included within the scope of the 

audit conducted under Section 6.3.1 of this Ordinance. 

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.
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SECTION 7. GAMING ENTERPRISE RESTRICTIONS AND COMPLIANCE

7.1 Number of Facilities.

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

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

under IGRA.

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

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

7.2 Gaming Device Restrictions.

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

Gaming Devices combined for all Facilities.

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

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

without prior written approval of the Tribal Commission.

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

the Gaming Facility within California is permissible only if:

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

Device; and

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

to the local County Sheriff; and

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

in California with a Compact; or

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

otherwise legal; or

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

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

Gaming Agency.

7.3 Gaming Device Technical Standards. The technical standards for Gaming

Devices shall adhere to the Gaming Laboratories International, Incorporated

standards.

7.4 Age Restrictions.

7.4.1 No Person under the age of Eighteen (18) shall be employed by the
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Gaming Facility, Management Contractor or the Tribal Commission.

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

service of alcoholic beverages at the Gaming Facility.

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

where Gaming is occurring and alcoholic beverages are being consumed.

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

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

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

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

a non-gaming area of the Gaming Facility.

7.4 Methods of Payment.

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

Enterprise and only for full value.

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

of consideration shall be allowed unless the Tribal Commission gives prior

written approval.

7.5 Compliance requirements.

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

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

Service.

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

the time prescribed.

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

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

Business Council, or the NIGC.

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

inspection during normal business hours by the Tribal Commission, the

State Gaming Agency, the National Indian Gaming Commission and

members of the Tribal Business Council or their designee.

7.6 Miscellaneous.

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

during, and after Gaming.

7.6.2 The Enterprise may not discriminate on the basis of sex, race, color, or
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creed in its employment practices related to Gaming.

SECTION 8. ENFORCEMENT

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

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

Code.

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

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

violator to the civil or criminal penalties specified herein:

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

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

participate in any Gaming Activity.

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

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

Tribal Commission member or employee and any Person participating in

any Gaming Activity.

8.2.5 Promoting or participating in any illegal Gaming Activity.

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

disbursements and expenses incurred or paid from any Gaming Activity

authorized pursuant to this Code.

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

with any Gaming Activity pursuant to this Code.

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

Cheating.

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

disorderly Player.

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

by Tribal law.

8.2.11 Accepting consideration other than money, tokens or chips for

participation in any Gaming Activity.

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

substitute or use any cards, charitable Gaming tickets or Gaming

equipment that has been marked or tampered with.
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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 of Twenty-one (21) to

participate in a Gaming activity.

8.2.22 Possessing any illegal narcotics or controlled substances on any licensed

Gaming site.

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

Gaming Facility or from the Tribal Commission.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

recovered in a civil action in the Tribal Court.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

that such Person violated the applicable provision of this Code.

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

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

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

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

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

Tribal Business Council , State Gaming Board and NIGC.

SECTION 9. GAMING MANAGEMENT

9.1 Management by a Management Contractor.

9.1.1 The Management Contractor, or if no Management Contractor of the 

Tribe, shall identify in writing a Person(s) who shall serve as General 

Manager of the Gaming Enterprise. The General Manager appointed shall 

undergo a background check by the Tribal Commission and shall obtain a 

License before commencing work.
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9.1.2 The General Manager shall have access to any area within the Gaming

Facility in accordance with the limitations defined in Section 2.30.

9.1.3 The General Manager shall present a written monthly report to the Tribal

Commission which estimates the number of patrons served, the amount of

income generated, the numbers of employees working at the

establishment, a detailed description of any patron complaints and other

problems experienced at the establishment, a written statement of any

changes in Primary Management Officials and all bills which are thirty

(30) days or more past due.

9.2 Rules and Regulations for Management. The Tribal Commission shall, with

the input and suggestions of Primary Management Officials, promulgate rules and

regulations or specifications governing the following subjects:

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

Operation and the Facility;

9.2.2 Ensuring the physical safety of Enterprise patrons and Employees;

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

Gaming Facility;

9.2.4 The prevention of illegal activity from occurring within the Gaming

Facility including employee procedures and surveillance;

9.2.5 The recording of occurrences that deviate from normal operating policies

including the following procedure for reporting incidents:

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

immateriality;

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

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

notebook and/or in electronic form;

(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.
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9.2.6 The establishment of employee procedures designed to permit detection of

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

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

9.2.8 In accordance with Section 9.6 of the Compact, except as provided in

subdivision 9.6(c) of the Compact, no State Gaming Agency regulation

shall be effective with respect to the Tribe's Gaming Operation unless it

has first been approved by the Association, and further, the Tribe has had

an opportunity to review and comment on the proposed regulations.

9.3 Insurance Requirements. Pursuant to the Compact, the Management Contractor

or if no Management Contractor of the Tribe, shall ensure that the Enterprise shall

carry a minimum of Ten Million Dollars ($10,000,000.00) liability insurance to

protect the public in the event of an accident.

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

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

such Gaming Activity complies with all IRS reporting requirements.

9.5 Audit Requirements.

9.5.1 Annual Enterprise Audit The Tribal Commission and the General

Manager of the Enterprise shall obtain an annual independent audit of

such Enterprise by a certified public accountant using the accounting

standards for audits of casinos of the American Institute of Certified

Public Accountants.

9.5.2 Contract Audits Each contract between the Management Contractor and

another Person for supplies, services (other than legal and accounting

services) or concessions for a contract amount in excess of Twenty-five

Thousand Dollars ($25,000) annually shall be subject to an independent

audit. For the purposes of the previous sentence, the term "services" does

not include contracts the purpose of which is to extend financing to the

Management Contractor, the Tribe, or the Enterprise.

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

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

NIGC.

9.6 Annual Reports from Management Contractor. Management Contractors

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

Council between the 15th and the last day of the 12th month duration of each such 

License period. The report shall include, at a minimum, the following 

information:

9.6.1 The name, address and telephone number of the Licensee;
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9.6.2 The names, addresses and titles of all of its current managers of the

Licensee;

9.6.3 A description of the Gaming operated and Gross Revenue;

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

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

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

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

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

written notice of customer winning;

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

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

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

expected to be employed during the next license period;

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

Tribal and Federal laws applicable to Gaming;

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

process on behalf of the Licensee, who must reside on the Reservation;

and

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

incorporation, properly certified by the incorporating government, unless a

current copy has already been filed with the Tribal Commission.

9.7 Management Contracts.

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

Indian Gaming Commission.

9.7.2 Each Management Contract shall be approved by the Tribal Business 

Council. In making its selection, the Tribal Business Council shall review 

the following:

(1) Background information on the proposed Management Contractor 

including: its name, its address, the names and addresses of each 

Person or entity having a direct financial interest or management 

responsibility for the proposed management contractor, and in the 

case of a corporation the names and addresses of each member of 

its board of directors and all stockholders who hold directly or 
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indirectly ten percent (10%) or more of its issued or outstanding 

stock.

(2) A description of any previous experience that each Person listed in 

subsection above has had with other Gaming contracts with Indian 

Tribes or with the Gaming industry generally, including the name 

and address of any tribal government or licensing agency with 

which such Person has had a contract relating to Gaming.

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

9.7.2(1).

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

can to determine the character and reputation of each proposed 

management contractor.

(5) If the Tribal Business Council, after reviewing the above described

information, still desires to enter into a management contract with 

the proposed management contractor, such management contract 

shall be placed in writing and submitted to legal counsel for review 

before the Tribal Business Council approves it.

9.7.3 Any Management Contract approved by the Tribal Business Council must

contain at a minimum the following with respect to the Gaming Enterprise

to which the contract is applicable:

(1) A provision requiring a monthly financial accounting of the 

Gaming Enterprise's income and expenses. Such reports shall be 

prepared by an independent auditor who is mutually acceptable to 

the Tribe and the Management Contractor.

(2) A provision guaranteeing the Tribe a minimum guaranteed 

payment that shall always take precedence over the Management 

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 Tribal Business Council is satisfied with the information it receives 

it shall submit its proposed contract along with all of the above-described

information to the Tribal Commission, State Gaming Agency and to the
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Chairman of the National Indian Gaming Commission for Licensure

approval.

SECTION 10. PROCEDURES FOR RESOLVING DISPUTES BETWEEN THE

GAMING PUBLIC AND GAMING MANAGEMENT

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

see that questions, concerns, issues, and/or 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 gaming 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 10 calendar days after said events take place.

10.2.3 Gaming management shall develop formal administrative procedures for

the processing of patron complaints and disputes, such procedures shall be

finalized only after Tribal Council review and approval. The final

procedures shall include the following minimum requirements.

(1) Upon learning about a dispute, gaming management shall 

expediently and informally gather sufficient facts to make an initial 

determination about the dispute (i.e. whether the dispute has any

merit, whether further investigation is required, whether to take 

any corrective action, etc.).

(2) Gaming management shall conduct an investigation, if appropriate 

and inform the complainant, either orally or in writing, about its 

initial determination as soon as is reasonably practicable. At that 

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

concerns or is not satisfied, gaming management shall schedule an 

informal hearing, if practical and appropriate, and thereafter inform 

the complainant of its final determination and inform the 

complainant that if they are dissatisfied with the final 
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determination they may request a review of the initial 

determination by the Tribal Commission.

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 request a review of the initial determination by the Tribal

Commission in writing no later than 5 days after being informed about the

initial determination.

10.3.2 The Tribal Commission may review the initial determination and

investigate the dispute in any manner it chooses. The Tribal Commission,

if it accepts to review the initial determination, may offer the complainant

a fair opportunity to be heard in person or through counsel about the

dispute, either before or after the Tribal Commission makes its own

inquiries. The complainant's opportunity to be heard, if granted, shall take

place within thirty (30) days after the Commission receives the

complainant's written request.

10.3.3 After reviewing and/or investigating (if the Tribal Commission chooses),

and within thirty (30) days after affording the complainant an opportunity

to be heard (if the Tribal Commission chooses), the Tribal Commission

shall issue a written opinion on the complainant's written request for

review, and shall mail a copy of the opinion to the complainant at his/her

last known address. The decision of the Tribal Commission is final.