August 10,2004 

Ms. Merlene Sanchez 

Charrperson 

Guilville Band of Pomo Indians 

P.O. Box 339 

Talmage CA 95481 

Re: Approval of gaming ordmance 

Dear Chairperson Sanchez: 

This is in response to your June 28,2004, letter seehg review and approval of the newlyadopted Guidiville Inlan Rancheria gaming ordinance. The ordrnance is consistent both 

with the requirements of the Inlan Gaming Regulatory Act (IGRA) and this agency's 

regulations, and it is therefore approved. The Tribe may in the future wish to adopt technical 

amendments that correct typographcal errors in cross-references contained in Article 111. 

te that the gaming ordmance is approved for gaming only on 

RA, over whch the Tribe has jurislction. 

have any questions or require further assistance, 

at 202-632-7003. 

Phhp N. Iiogen 

Chairman 

NATIONAL HEADQUARTERS 1441 L St NW Su~te 9100 Wash~ngton DC 20005 Tel 202 632 7003 Fax 202 632 7066 www.~lcc.cov 

REGIONAL OFFICES Poriland OR Sacramento CA Phoenix AZ St Paul MN Tulsa OK 
Y.O. ROS 3.19 T,41ARIAGE, CA 95481 * I'Ii: 7071462-3682 FAX: 707/362-9183 

\ViIEKE.4S, Guidiviile Indian Ranclic~.ia is a federally rccog~~ized 7'1-il?c as a I-csulr 

of the Scotts Valley cf. 01 V. tlie United Stares of America case of 

Septc~nbcr (5, 1991 (30. C-86-3660-VK\Z:); and: 

\+?14k:KE24S, '1'11~ Tribal Council of the Guidi\~ille Indian Ranchcria is tlic duly 

authorized go\~erning body of the Tribe to fully excrclse govcl-nmental 

respo~isibi lit ics, and is empowered to 17lake Tribal policy: pass Tribal 

codcs a11d o~-ilinanccs, appro\je contracts, and can-y our Tribal business 

uriclcr the a[;rhurity of the Co~~stitutio~l of the (;uidi\.ille India11 

Kanchc;:ia; and, 

\\'I-IEREAS, The Tribal Council has determined that and ordinance ro reguli!te 

gaming on 1311ds \1litl1in the ji~risdictioll of thc 7'ril)c that is co~l~patible 

\vith fedcral st3tiles and regulations is in the best interests of the Tribe 

and its mcn~bcl-s; and 

U'IIEREAS, A Ganiing 01-dinance for the regulation of Class I1 and Class 111 

gaming \\:ithin 111~. ju~~isdictio~~f the Tribal go\:ernment has been 

prepared and re\.ic\i'cd by stafr. legal counsel and the Tribal Cou~~cil 

for co~isistency \\fitl~ federal la\v and tribal laws and regulations. 
7'I.lEREFOKE HE IT RESOLVED, that tl?e Tribal Council as t11c go\'el-ning body 

of the CJuidi\>illc Band of Porno India~~s does 1:creby appl-o\:e and adopt ~hc attacl-rcd 

Guidi\!ille Iianclieria Gaming Oldina~lce, and hereby author~zes Chai~person: h4crlcne 

Sanche~ to cxecutc the Gamins Ol.dinance on behalf of thc C;uidi\:illc Rancherla. 

This is to certify that T<esolution + 64-05 was approved a1 a special mecling 01' the 

(;uid~\:ille Indian 1l:tnchcria l'ribal Co~~ricil on June 22, 2004, at \i.hich a quorum \?'as 

present and rhat this' resolution was adoptcd by a \:ore 3 For. 0 Opl)oscd, 0 

Abstentions. 

'This resolution has not been rescinded or anlcndcd in any \\ray. \Ye further certifj, 

that this doculnent \\:as esecutcd in duplicate, and that each certified copy corltain~ng 

original sigature is a n-uc and correct copy of the original docunicnt on file \vith rhc 

Sccrstc?ry of tlic Guidivillc Indian Ranchcria. 

L- ,/,']. ..;I *. 

I 

/ ,; 1 ,.Li'(- , , . , . - Date: June 22: 2004 

Vcrlene Sancllez, C 

2' 

Datc: June 22. 2003 ,. ' . GBIICCS ~onzakz? %&-eta;j". ' L:;,7-*e- 
GUlDlVlLLE RANCHERIA 

GAMING ORDINANCE 

Adopted 6/22/03 
TABLE OF CONTENTS 

ARTICLE I: GENERAL PROVISIONS 

91. Purpose 

92. Findings and Declarations 

93. Definitions 

94. Jurisdiction 

ARTICLE II: GAMING 

31. Gaming Authorized 

92. Ownership of Gaming 

93. Use of Gaming Revenues 

94. Audit 

95. Protection of Environment, Public Health, and Safety 

36. Minimum Age Requirements 

97. Firearms Control 

98. Resolution of Patron Disputes 

99. Indian Preference in Contracts 

ARTICLE Ill: LICENSES 

91. Purpose of Article 

92. License Required 

93. Gaming Facility 

94. Gaming Resource Supplier 

§5. Financial Sources 

96. Powers and Duties of Gaming Agency 

97. Background Investigations 

98. Eligibility Determinations 

99. Required lnformation General 

910. Required lnformation - Business Entities 

911. Privacy Notice 

912. Notice Regarding False Statements 

§13. Fingerprinting 

914. Confidentiality 

915. Reporting to NlGC 

916. Reporting to State Gaming Agency 

917. Granting a Gaming License 

918. Duration and Renewal of License 

§19. Fees 

920. Limitation 

921. Identification Cards 

§22. Denial, Revocation and Suspension of License 

923. Standards of Conduct 

924. Due Process 

925. Additional Requirements 

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Adopted 6/22/04 
ARTICLE IV: ENFORCEMENT. 

51. Prohibited Activities 

52. Enforcement Actions 

53. Enforcement Process 

54. Civil Penalties 

ARTICLE V: MISCELLANEOUS PROVISIONS 

51. Service of Process 

52. Notice 

53. Delegation of Authority to Conduct Gaming to Tribal Entity 

54. Sovereign Immunity 

55. Repeal 

56. Severability 

57. Amendment of Ordinance 

58. Effective Date 

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Adopted 6/22/04 
GUlDlVlLLE BAND OF POMO INDIANS 

GAMING ORDINANCE 

ARTICLE I: GENERAL PROVISIONS 

1 Purpose. 

The Guidiville Band of Pomo Indians, acting through its Tribal Council, pursuant to the Tribe's 

inherent authority and the Tribe's Constitution to enact ordinances, hereby enacts this Ordinance in 

order to set the terms for class II and class Ill gaming operations on the Guidiville Rancheria. 

§ 2. Findinas and Declarations. 

The Guidiville Band of Pomo lndians finds and declares that - 

(a) Gaming on the Rancheria provides economic development opportunities and a 

source of revenue for the Guidiville Band of Pomo Indians and its members that are 

needed to promote economic self-sufficiency, employment, job training, a strong tribal 

government and to fund and ensure essential social programs and services; and 

(b) It is in the interests of the Tribe and its members to regulate and control gaming in a 

manner that will protect the environment, the Guidiville Band of Pomo Indians, the 

health, security and general welfare of the Tribe, the players and the community. 

Therefore, the Tribal Council adopts this Ordinance to protect and promote the political integrity, 

economic security, health, safety and welfare of the Tribe, its members, and all persons living on 

or passing through the Guidiville Rancheria. 

§3. Definitions. 

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

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

seq.) and its regulations (25 C.F.R. § 500 et seq.). 

For the purposes of this Ordinance, the following words shall have the following meanings: 

(a) The term "allecled violator" means any person alleged by the Gaming Agency, 

and/or its Executive Director, to have committed a violation of this Ordinance or any 

regulation or standard adopted pursuant to this Ordinance. 

(b) The term "applicant" or "license ap~licant" means an applicant for a license for 

a gaming employee, a gaming resource supplier or persons extending financing, 

directly or indirectly, to the Tribe's gaming facility or persons with a financial interest 

in the revenue generated from the gaming facility as a result of an investment of time 

expertise or service described as good and valuable consideration in a contract that 

relates to the gaming facility(s), in accordance with the licensing provisions of this 

Adopted 6/22/04 
Ordinance and any regulations, standards or procedures adopted pursuant to this 

Ordinance. 

(c) The term "Compact" means a Tribal-State Compact between the Tribe and the 

State of California authorizing class Ill gaming activities, as required by Indian 

Gaming Regulatory Act, 25 U.S.C. 5 2710(d)(l)(C) and amended from time to time. 

(d) The term "Gamins Aqency" means the Guidiville Band of Pomo lndians 

Gaming Agency established pursuant to the Ordinance Establishing the Guidiville 

Band of Pomo lndians Gaming Agency, duly adopted by the Tribal Council. 

(e) The term "samins facility" means any building in which class II or class Ill 

gaming activities are offered by the gaming operation within the boundaries of the 

Guidiville Band of Pomo lndians Rancheria 

(f) The term "IGRA" means the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 et 

seq. and its regulations, 25 C.F.R. § 500 et seq. 

(g) The term "key employee" means: 

(1) A person who performs one or more of the following functions: 

(i) bingo caller; 

(ii) counting room supervisor; 

(iii) chief of security; 

(iv) custodian of gaming supplies or cash; 

(v) floor manager; 

(vi) pit boss; 

(vii) dealer; 

(viii) croupier; 

(ix) approver of credit; or 

(x) custodian of gambling devices including persons with access to cash and 

accounting records within such devices; If not otherwise included, any other 

person whose total cash compensation is in excess of fifty-thousand dollars 

($50,000.00) per year; or 

(2) If not otherwise included, the four (4) most highly compensated persons in the 

gaming operation. 

(h) The term "Municipal Services Aqreement" means an agreement between the 

Tribe and a city or county local municipality for services including but not limited to, fire, 

police, water, wastewater, traffic control etc. 

Adopted 6/22/04 2 
(i) The term "NIGC" means the National Indian Gaming Commission established 

pursuant to 25 U.S.C. § 2704. 

(j) The term "patron" means an individual who uses the services of the Tribe's 

gaming operation. 

(k) The term "person" means any individual, corporation, firm, partnership, joint 

venture, association, social club, estate, trust, the United States, Tribe, State, County, 

City, district or other political subdivision of any state, or any other group or combination 

acting as a unit. 

(I) The term "primarv manaqement official" means: 

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

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

policy for the gaming operation; or 

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

responsibility. 

(mp) The term "Rancheria" means all land water and resources which are held in 

trust or restricted status within the former boundaries of the Guidiville Rancheria, 

consistent with the terms of the decision in Scotts Vallev Band of Pomo Indians of the 

Sugar Bowl Rancheria et al, v. U.S.A., Civil No. C-86-3660-VRW (N.D. Cal. 1991), 

and to other such lands, water and resources as have been or may hereafter be 

acquired by the Tribe. 

(n) The term "State Gaminq Aqency" means the State of California Gambling 

control commission 

(0) The term "Tribal Council" means the Tribal Council of the Guidiville Band of 

Pomo Indians. 

(p) The term "Tribal Court" means the Guidiville Band of Pomo Indians Tribal 

Court or such other judicial forum as designated by the Tribal Council. Any notices 

may be filed with the Tribal Court as designated by the Tribal Council, or, in the 

absence of such designation, with the Tribal Council at the office of the Tribal Council. 

(q) The term "Tribal Member" means any individual who is duly enrolled in the 

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

may be enacted by the Tribe, as amended from time to time. 

(r) The term "Tribe" means the Guidiville Band of Pomo Indians, a federally 

recognized Indian tribe. 

Adopted 6/22/04 
§ 4. Jurisdiction. 

(a) The applicability of this Ordinance shall extend to all persons who provide 

gaming services or who engage in gaming on the Rancheria or other territory over 

which the Tribe has jurisdiction. 

(b) Any person who enters onto the Rancheria or other territory over which the 

Tribe has jurisdiction shall become subject to this Ordinance and shall be deemed to have 

consented to the jurisdiction of the Tribe and to be bound by the lawful enactments of 

the Tribe. 

ARTICLE 11: GAMING 

1. Gaminq Authorhed. 

(a) Class II and class Ill gaming, as defined in 25 U.S.C. §§ 2703(7)(A) and 2703(8) and 

by the regulations promulgated by the NlGC at 25 C.F.R. §§ 502.3 and 502.4, is hereby 

authorized on the Rancheria. The class Ill gaming activities authorized by this 

Ordinance are those gaming activities authorized under the Compact. 

(b) The Tribe retains exclusive jurisdiction over Class I gaming on the Rancheria. The 

Gaming Agency may prohibit and prevent any conduct, which is claimed to be Class I 

gaming if the Gaming Agency finds that such conduct is not in accordance with tribal 

customs or practices or violates IGRA or any other law. 

(a) The Tribe shall have the sole propriety interest in and responsibility for the conduct 

of any gaming operation authorized by this Ordinance. 

(b) Nothing in this Ordinance shall prevent the Tribe from entering into contracts for 

the operation and management of gaming operations and facilities on the Rancheria 

pursuant to IGRA and its implementing regulations or as otherwise permitted by law. 

5 3. Use of Garninq Revenues. 

(a) )~et revenues from class II and class Ill gaming shall be used only for the 

following purposes: I 

(1) To fund tribal government operations and programs; 

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

(3) To promote tribal economic development; 

(4) To donate to charitable organizations; 

(5) To help fund operations of local government agencies; andlor 

Adopted 6/22/04 
(b) If the Tribe elects to make per capita payments to tribal members, it shall 

authorize such payments only upon approval of a plan submitted to the Secretary of 

the Interior under 25 U.S.C. §§ 2710(b)(3). 

54. Audit 

(a) The Gaming Agency shall cause to be conducted annually an independent audit 

of gaming operations and shall submit the resulting audit reports to the NIGC. The 

annual audit shall be conducted by an independent certified public accountant, in 

accordance with the auditing and accounting standards for audits of casinos of the 

American Institute of Certified Public Accountants. 

(b) All gaming related contracts that result in the purchase of supplies, services, or 

concessions in excess of twenty-five thousand dollars ($25,000.00) annually, except 

contracts for professional legal and accounting services, shall be specifically included 

within the scope of the audit that is described in Sub-section (a), above. 

3 5. Protedon of Environment Public Health, and Safetv. 

(a) Class II and class Ill gaming facilities shall be constructed, maintained and 

operated in a manner that adequately protects the environment and the public health 

and safety. 

(b) The Tribal Council shall adopt standards for protecting the environment and the 

public health and safety that are consistent with Tribal law, federal law, Municipal 

Services Agreements and with its obligations under the Compact. 

5 6. Minimum Am Requirements. 

(a) If the Tribe permits the consumption of alcoholic beverages in a gaming facility, 

no person under the age of twenty-one (21) years shall be permitted to be present in 

any area in which class II or class Ill gaming activities are being conducted and in which 

alcoholic beverages may be consumed, to the extent required by the State Department 

of Alcoholic Beverage Control and the Tribal Liquor Control Ordinance. 

(b) No person under the age of eighteen (1 8) years shall be permitted to be present 

in any room in which class II or class Ill gaming activities are being conducted unless 

the person is en-route to a non-gaming area of the gaming facility. 

57. Firearms Control. 

Possession of firearms shall be prohibited at all times in class II and class Ill gaming facilities 

operated under this Ordinance, except for possession of firearms by state, local, or tribal 

security or law enforcement personnel authorized by federal, state or tribal law to possess 

firearms at the facilities. 

Adopted 6/22/04 
3 8. Resolution of Phn Diswtes. 

(a) With respect to Class II and Class Ill gaming, the general of the tribal gaming 

operations shall attempt to resolve on an informal basis any customer complaints 

relating to payment of prizes or services and report any such resolution of the governing 

body of the enterprise. If the complaint cannot be resolved at the general manager 

level, the customer shall be informed that helshe has the right to present his or her 

complaint to the governing body of the gaming enterprise, whose decision shall be final. 

€j 9. lndian Preference in Contra%. 

Any management and investment gaming contracts development contracts or other gaming 

contracts for the construction and operation of any gaming facilities or activities must make 

provision for the preferential hiring of qualified Tribal Members and their spouses followed 

by a preference for qualified Native American lndian people and their spouses from the 

Rancheria and surrounding areas. 

ARTICLE Ill: LICENSES 

This Article describes the procedures to be followed by the Guidiville Band of Pomo Indians 

Gaming Agency when conducting background investigations and issuing licenses in connection 

with any class II or class Ill gaming facilities operated on the Guidiville lndian Rancheria pursuant 

to this Ordinance. 

3 2. License Required. 

(a) The following persons and entities are required to be licensed by the Gaming 

Agency, and, as a basis for issuing a license, the Gaming Agency must conduct or 

cause to be conducted a background investigation, in accordance with the 

requirements of this Article, of those persons listed in Sub-sections (1) - (4), below: 

(1) All employees, including key employees and primary management officials, 

employed at any class II or class Ill gaming enterprise operated under this Ordinance; 

(i) Bingo Caller; 

(ii) Counting room supervisor; 

(iii) Chief of Security; 

(iv) Custodian of gaming supplies or cash; 

(v) Floor manager; 

(vi) Pit boss; 

(vii) Dealer; 

(viii) Croupier; 

Adopted 6/22/04 
(ix) Approver of credit; or 

(ix) Custodian of gambling devices, including persons with access to cash 

and accounting records within such devices; 

(xi) If not otherwise included above, any other person whose total cash 

compensation is in excess of $50,000.00 per year; or 

(xii) If not otherwise included above, the four most highly compensated 

persons in the gaming operation. 

Primary Management Official is any person who: 

(xiii) Has management responsibility for a management contract; 

(xiv) Has authority to hire and fire employees or to set up working policy for 

the gaming operation; or 

(xv) Has financial management responsibility; for example, the chief financial 

officer. 

(2) Gaming resource suppliers and vendors are required to be licensed pursuant to 

Section 5(a) 3(b) of this ordinance. 

(3) Persons extending financing, directly or indirectly, to the Tribe's gaming facility 

or gaming operations, persons having a financial interest in the revenue generated 

from the gaming facility as a result of having provided financing, services or 

earned equity in the revenue generated from the gaming facility, except that a 

federally regulated or state regulated bank, savings and loan or other federally- or 

state-regulated lending institution, any agency of the Tribal federal, state, or local 

government, or any investor who, alone or in conjunction with others, holds less than 

ten (1 0) percent of any outstanding indebtedness evidenced by bonds issued by the 

Tribe are excluded from the licensing requirements of this Article; and 

(4) If not otherwise included in this Ordinance, any other person or business entitiy 

described or required to be licensed pursuant to the terms of the Compact. 

(5) Each place, facility, or location where class I1 or class Ill gaming is conducted 

under this Ordinance. 

(b ) Applicants for a license must submit a license application to the Gaming Agency 

on a form developed or provided by the Gaming Agency and in conformance with the 

application requirements set out in this Ordinance. 

Adopted 6/22/04 
9. Gamins Facility. 

(a) The Gaming Agency shall issue a separate license to each facility where class II 

or class Ill gaming is conducted under this Ordinance. The license shall be posted in a 

conspicuous and public place in the gaming facility at all times. 

(b) The Gaming Agency shall determine and, if appropriate, certify that each 

gaming facility, or the modification or expansion of a gaming facility, meets the Tribe's 

building and safety code and the Americans with Disabilities Act, 42 U.S.C. § 121 01 et 

seq. based an inspection by qualified building and safety experts. 

(1) The Gaming Agency shall give reasonable notice of each inspection to the 

Tribal Chairperson. Within ten (10) days after completion of the inspection report, the 

reports shall be forwarded to the Tribal Chairperson, the Tribe's Building 

Department, and The Tribe's Public Safety Department. 

(c) The Tribe is responsible for ensuring that any gaming facility condition noted in 

an inspection that does not meet the standards set out in Sub-section (b), above, is 

corrected. 

3 4. Gamins Resource Supplier. 

(a) Any gaming resource supplier who, directly or indirectly, provides, has provided, 

or is deemed likely to p r ov i d e at least twenty-five thousand dollars ($25,000.00) in 

gaming resources in any 12-month period, or who has received at least twenty-five 

thousand dollars ($25,000.00) in any consecutive 12-month period within the 24-month 

period immediately preceding application, shall be licensed by the Gaming Agency prior 

to the sale, lease, or distribution, or further sale, lease, or distribution, of any such gaming 

resources to or in connection with the Tribe's gaming facilities. 

(b) The Tribe shall not enter into, or continue to make payments pursuant to, any 

contract or agreement for the provision of gaming resources with any person whose 

application to the St ate Gaming Agency for a determination of suitability has been 

denied or has expired without renewal. Any agreement between the Tribe and a gaming 

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

further liability on the part of the Tribe, except for the bona fide repayment of all 

outstanding sums (exclusive of interest) owed as of, or payment for services or 

materials received up to, the date of termination, upon revocation or non-renewal of the 

supplier's license by the Gaming Agency based on a determination of unsuitability by 

the States Gaming Agency. 

3 5. Financial Sources. 

(a) Any person extending financing, directly or indirectly, to the Tribe's gaming 

facilities or gaming operations shall be licensed by the Gaming Agency prior to 

extending that financing, provided t h a t any person who is extending financing at the 

time of the execution of the Compact shall be licensed by the Gaming Agency within 

ninety (90) days of such execution. 

Adopted 6/22/04 
(b) Any agreement between the Tribe and a financial source shall be deemed to 

include a provision for its termination without further liability on the part of the Tribe, except 

for the bona fide repayment of all outstanding sums (exclusive of interest) owed as of the 

date of termination, upon revocation or non-renewal of the financial source's license by the 

Gaming Agency based on a determination of unsuitability by the State Gaming Agency or 

upon the denial, revocation or non-renewal of a license by the Gaming Agency under the 

terms of this Ordinance. 

(c) The Tribe shall not enter into, or continue to make payments pursuant to, any 

contract or agreement for the provision of financing with any person whose application to 

the State Gaming Agency for a determination of suitability has been denied or has expired 

without renewal. 

(d) A gaming resource supplier who provides financing exclusively in connection with 

the sale or lease of gaming resources obtained from that supplier may be licensed solely in 

accordance with licensing procedures applicable, if at all, to gaming resource suppliers. 

(e) Any person or entity who has a financial interest in the revenue generated by the 

gaming facility exceeding $100,000 resulting from the investment of funds, the provision of 

services or through equity earned in a business transaction relating to the gaming facility. 

(f) The Gaming Agency may, at its discretion, exclude from the licensing requirements 

of this section, financing provided by a federally regulated or state-regulated bank, savings 

and loan, or other federally- or state-regulated lending institution; or any agency of a Tribal, 

federal, state, or local government; or any bond investor who, alone or in conjunction with 

others, holds less than 1O0/0 of any outstanding indebtedness evidenced by bonds issued 

by the Tribe. 

5 6. Powers and Duties of Garninq Agency. 

(a) The Gaming Agency has the following powers and responsibilities: 

(1) To conduct or cause to be conducted background investigations; 

(2) To receive, directly or through its agents, state summary criminal history 

information, as defined in Sub-section 11 105(a) of the California penal Code, as 

maintained under a license applicant's name by the California Department of 

Justice, and to take such measures as are reasonably necessary to prevent the 

release of such records or information to persons who are not authorized by law to 

receive the record or information; 

(3) To prepare or cause to be prepared an investigative report in compliance with 

this Ordinance; 

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

(5) To obtain and process fingerprints, directly or through its agents; 

(6) To forward license applications and the results of the background investigations 

to the NlGC and the State Gaming Agency, to the extent required by IGRA and the 

Compact; 

Adopted 6/22/04 
d 

(7) To make eligibility determinations in accordance with ~ectionxof this Article; 

(8) To issue, deny, suspend, revoke and renew licenses in accordance with the 

provisions of this Ordinance; 

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

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

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

or was revoked or denied; and 

(1 0) To carry out such other duties and powers as described in this Ordinance. 

(a) The Gaming Agency shall conduct or cause to be conducted all necessary 

background investigations reasonably required by the Gaming Agency, the Compact 

or IGRA to determine whether an plicant is eligible for a license in accordance with 

the standard set forth in Sections f this Article. The minimum procedures for 

conducting background investigations on applicants for licenses are as follows: 

(2) Civil history check; 

(3) Financial and credit check; 

(4) Reference check; 

(5) Previous business and employment check; 

(6) Relative check; 

(7) Business and personal associates check; 

(8) Fingerprint check; and 

(9) Educational verification. 

(b) The information submitted pursuant to Sub-section (a), above, by the applicant 

may be verified by written or oral communication. The disposition of all potential 

problem areas noted and disqualifying information obtained shall be documented by 

the Gaming Agency. 

(c) In conducting a background investigation, the Gaming Agency or its agent shall 

keep confidential the identity of each person interviewed in the course of the 

investigation. 

(d) At the sole discretion of the Gaming Agency, in lieu of completing its own 

background investigation, and to the extent that doing so does not conflict with or 

violate IGRA, the Gaming Agency may contract with the State Gaming Agency or a 

private investigation firm for the performance of background investigations, may rely on 

a state certification of non-objection previously issued under a gaming compact 

Adopted 6/22\04 10 
involving another tribe, or may rely on a California State gaming license previously 

issued to the applicant to fulfill some or all of the Gaming Agency's background 

investigation duties. 

(e) If the National Indian Gaming Commission has received an investigative report 

concerning an individual who another Tribe wishes to employ as a Key Employee or 

Primary Management Official or person having a financial interest in the revenue 

generated by the gaming facility, and if the Gaming Commission has access to the 

investigative materials held by the first Tribe, the Gaming Agency may update the 

investigation and update the investigative report with the information from another 

Tribe. 

3 8. Eliqibilitv Determinations. 

(a) The Gaming Agency shall review a license applicant's prior activities, criminal 

record, if any, and reputation, habits and associations to make a finding concerning an 

applicant's eligibility for a license. A license may not be issued unless the Gaming 

Agency is satisfied that the applicant is a person of good character, honesty and integrity. 

(b) The Gaming Agency shall not license a person if the Gaming Agency 

determines that the licensing of the person: 

(I) poses a threat to the public interest or to the effective regulation of gaming; 

(2) creates or enhances dangers of unsuitable, unfair, or illegal practices and 

methods and activities in the conduct of gaming or the carrying on of business and 

financ~al arrangements incidental thereto; or 

(3) will undermine public perception and trust that tribal gaming is free from criminal 

activities and\or dishonest 

(c) In making findings concerning the eligibility of license applicants, the Gaming 

Agency shall take into consideration any of the following circumstances: 

(1) Whether the applicant knowingly and intentionally provided false statements or 

information or omitted relevant information on the application or otherwise 

misrepresented or failed to disclose a material fact to the Gaming Agency; 

(2) Whether the prior activities, criminal record, reputation, habits, and association 

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

regulation and control of gaming; 

(3) Whether association with or employment of this applicant creates or enhances the 

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

conduct of gaming or the carrying on of the business and financial arrangements 

incidental thereto; 

(4) Whether the applicant has violated, failed, or refused to comply with the 

provisions, requirements, conditions, limitations, or duties imposed by any provision of 

the Compact, this Ordinance, or other Tribal gaming facilities. 

Adopted 6/22/04 11 
(5) Whether the applicant knowingly caused, aided, abetted, or conspired with 

another to cause any person or entity to violate any of the laws of any Tribal Federal, 

State or local laws, the provisions of the Compact or this Ordinance; 

(6) Whether the applicant has ever obtained a license by fraud, misrepresentation, 

concealment, or through inadvertence or mistake; 

(7) Whether the applicant has ever been convicted of, or forfeited bond upon a 

charge of, or plead guilty to forgery, larceny, extortion, conspiracy to defraud, willful 

failure to make required payment or reports to any Tribal, State, or U.S. Government 

agency at any level, or filed false reports therewith, or of any similar offense(s), or of 

bribing or otherwise unlawfully influencing a public official or employee of a Tribe, a 

State, or the U.S. "Government, or of any felony or misdemeanor involving any gaming 

activity, physical harm to individuals or moral turpitude; 

(8) Whether the applicant is subject to current prosecution or pending charges, or a 

conviction under appeal for any of the offenses listed above; upon request of the 

applicant, the Gaming Agency may defer decision on the application pending the 

results of such prosecution or appeal; 

(9) Whether the applicant has demonstrated a willful disregard for compliance with 

a gaming regulatory authority or bad faith business dealings in any jurisdiction or has 

ever had a gaming license issued by any State, Tribe or foreign gaming regulatory 

agency suspended, revoked or denied; and/or 

(1 0) Whether the applicant has failed to provide any information requested by the 

Gaming Agency within fourteen (14) days of the request for the information; 

(1 1) Whether the association of the applicant with the gaming facility as an 

employee, a key management person, a vendor, a finance provider, or an individual 

or entity creates a public perception that the gaming facility is associated with 

criminal activity is otherwise unfair or dishonest. 

9. Required Information - General. 

(a) The Gaming Agency shall request from each license applicant all of the 

following information: 

(1) Full name, other names used (oral or written), social security number(s), birth 

date, place of birth, citizenship, gender, all languages spoken or written; 

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

positions held, ownership interests in those businesses, business and residence 

addresses, and drivers license numbers. 

(3) The names and current addresses of at least three (3) personal references, 

including one (1) personal reference who was acquainted with the applicant during 

each period of residence listed under Sub-section, (a)(2) 

(4) Current business and residence telephone numbers; 

Adopted 6/22/04 12 
(5) A description of any existing and previous business relationships with Indian 

tribes, including ownership interests in those businesses; 

(6) A description of any existing and previous business relationships with the gaming 

industry generally, including ownership interests in those businesses; 

(7) 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; 

(8) 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 and disposition if 

any; 

(9) 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 and disposition; 

(1 0) For each criminal charge (excluding minor traffic charges), whether or not there 

is a conviction, if such criminal charge is within ten (10) years of the date of the 

application and is not otherwise listed pursuant to Sub-section (a)(8) or (9), above, 

the criminal charge, the name and address of the court involved and the date and 

disposition; 

(1 1) The name and address of any licensing or regulatory agency with which the 

person has filed an application for an occupational license or permit, whether or not 

such license or permit was granted; 

(1 2) A current photograph; 

(1 3) Any other information the Gaming Agency deems relevant; and 

(14) Fingerprints consistent with procedures adopted by the Gaming Agency 

according to 25 C.F.R. 5 522.2(h). 

Reuuired Information - Business Entities. 

(a) In addition to the information required under SectionhQof this Article, the Gaming 

Agency shall request from an applicant that is a business entity all of the following 

information, if two (2) or more business entities having a commonality of the characteristics 

identified in the following sub-sections 1-5, inclusive, the entity may be deemed to be a 

single business entity: 

(1) Each of its officers and directors; 

(2) Each of its principal 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; 

Adopted 6122!04 
(4) Each of its shareholders who owns more than ten percent (1O0/0) of the shares of 

the corporation, if a corporation; and 

(5) Any person or entity who has a financial interest in the revenue generated by the 

gaming facility exceeding $1 00,000 resulting from the investment of funds, the provision 

of services or through equity earned in a business transaction. Each person or entity 

(other than a financial institution that the Gaming Agency has determined does not 

require a license under the Compact or this Ordinance) that, alone or in combination 

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

gaming authorized under the Compact, shall be licensed if that person or entity 

provided more than ten percent (10%) of: 

(i) The start-up capital; 

(ii) The operating capital over a 12-month period; or 

(iii) A combination thereof. 

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

standardized application forms as may be adopted by California Tribes and the State of 

California pursuant to the Compact, shall be placed on the license application form 

before that form is filled out by an applicant: 

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

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

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

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

with a gaming operation. The information will be used by the Guidiville 

Band of Pomo Indians Agency, the State Gaming Agency, and the 

National Indian Gaming Commission members and staff who have need 

for the information in the performance of their official duties. The 

information may be disclosed to appropriate Federal, Tribal, State, local, 

or foreign law enforcement and regulatory agencies when relevant to 

civil, criminal or regulatory investigations or prosecutions or when 

pursuant to a requirement by a tribe, the State Gaming Agency, or the 

National lndian Gaming Commission in connection with the hiring or f ring 

of an employee, the issuance or revocation of a gaming license, or 

investigations of activities while associated with a tribe or a gaming 

operation. Failure to consent to the disclosures indicated in this notice will 

result in a tribe's being unable to hire you or do business with you. The 

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

failure to supply a SSN may result in errors in processing your 

application. 

(b) Unless they have been previously so notified, existing licensees shall be notified 

in writing that they shall either: 

Adopted 6122104 
(1) Complete a new application form that contains a Privacy Act notice; or 

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

uses described in that notice. 

5 12. Notice Reqardinq False Statements. 

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

standardized application forms as may be adopted by California Tribes and the State of 

California pursuant to the Compact, shall be placed on the license application form 

before that form is filled out by an applicant: 

A false statement on any part of your application may be grounds for 

denial or revocation of a license. In the case of license applications for 

employees, a false statement on any part of your application may be 

grounds for not hiring you or for firing you after work begins. Also, 

you may be punished by fine or imprisonment. (U. S. Code, title 78, 

section 1 00 7 .) 

(b) Unless they have been previously so notified, the Gaming Agency shall notify 

in writing existing licensees that they shall either: 

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

or 

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

The Gaming Agency shall be deemed to be the Tribe's law enforcement agency for the 

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

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

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

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

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

in order to obtain criminal history record information. 

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

kept confidential. 

5 15. Reportinn to NIGC. 

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

operation authorized by this Ordinance, the Gaming Agency shall forward to the NlGC 

/a completed application for employment and co uct the background investigation and 

make the determination referred to in Section @ $P fthis Article. Within sixty (60) days 

after a key employee or primary management official begins work or within sixty (60) 

days of the a p p rova I of this Ordinance by the Chairman of the NIGC, the Gaming 

Agency shall prepare and forward to the NIGC an investigative report on each 

Adopted 6!22/04 15 
nd investigation and a copy of the eligibility determination made under 

of this Article. The background investigation report shall include all of the 

following: 

(1) Steps taken in conducting a background investigation; 

(2) Results obtained; 

(3) Conclusions reached; and 

- (4) The basis for those conclusions. 

(b) With respect to key employees and primary management officials, if a license is 

not issued to an applicant, the Gaming Agency shall notify the NlGC and may forward 

copies of its eligibility determination and investigative report (if any) to the NlGC for 

inclusion in the Indian Gaming Individuals Records System. 

(c) With respect to key employees and primary management officials, the Gaming 

Agency shall retain applications for employment and reports (if any) of background 

investigations for inspection by the Chairman of the NlGC or his or her designee for no 

less than three (3) years from the date of termination of employment. 

16. R&nq to State Gaminq Agency, 

(a) Except for an applicant for licensing as a non-key gaming employee, as defined by 

agreement between the Gaming Agency and the State Gaming Agency, the Gaming 

Agency shall require the applicant to also file an application with the State Gaming 

Agency, prior to issuance of a license, for a determination of suitability for licensure under 

the California Gambling Control Act. 

(b) Upon receipt of a completed license application and a determination by the 

Gaming Agency that it intends to issue a license, the Gaming Agency shall transmit to the 

State Gaming Agency a notice of intent to license the applicant, together with all of the 

following: 

(1) A copy of the license application materials and information received by the Gaming 

Agency from the applicant; 

(2) An original set of fingerprint cards; 

(3) A current photograph; and 

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

information, waivers, and other completed and executed forms as have been obtained 

by the Gaming Agency. 

(c) Upon receiving notice of the State Gaming Agency's denial of an application for 

a determination of suitability, the Gaming Ag e n cy shall promptly notify the Tribal 

Council and, The Tribal Council shall have the sole and final discretion to issue the 

license. 

Adopted 6/22/04 
(e) Nothing in this Ordinance shall prevent the Gaming Agency from issuing a 

temporary license under this Ordinance prior to the State Gaming Agency completing 

a suitability determination for a given applicant under the terms of the Compact. 

17. Grantinu a Gaminu License. 

(a) For all key employees and p r i ma ry management officials, the Gaming Agency shall 

carry out the following procedures in granting a gaming license: 

(1) If, within a 30-day period after the NlGC receives a report, the NlGC notifies the 

Gaming Agency that it has no objection to the-issuance- of-a license'pursuant to a 

license application filed by a key employee or a primary management official for 

whom the Gaming Agency has provided an application and investigative report to the 

NIGC, the Gaming Agency may issue a license to such applicant. 

(2) The Gaming Agency shall respond to a request for additional information from 

the Chairperson of the NlGC concerning a key employee or a primary management 

official who is the subject of a report. Such a request shall suspend the 30-day period 

until the Chairperson of the NlGC receives the additional information. 

(3) If, within the 30-day period described above, the NlGC provides the Gaming 

Agency with a statement itemizing objections to the issuance of a license to a key 

employee or to a primary management official for whom the Gaming Agency has 

provided an application and investigative report to the NIGC, the Gaming Agency 

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

NIGC. The Gaming Agency shall make the final decision whether to issue a license to 

such applicant. 

(b) For all license applicants except applicants for a gaming facility, the Gaming 

Agency shall carry out the following procedures in granting a gaming license: 

(1 ) Pending completion of an investigation for a license, the Gaming Agency may 

issue a preliminary license of no more than ninety (90) days duration if, in its sole 

discretion, the Gaming Agency deems it appropriate to do so, provided that the 

Gaming Agency has no information suggesting the applicant would either be 

automatically disqualified from obtaining a license or that would cause a reasonable 

person to investigate further before issuing a license. 

(i) Such licenses shall permit the licensee to engage in such activities and 

pursuant to such terms and conditions as may be specified by the Gaming 

Agency. 

(ii) Such preliminary licenses shall expire ninety (90) days from the date of 

issuance, upon the issuance of a temporary or regular license, upon a final 

determination on the application, or at an earlier specified expiration date, 

whichever occurs first. 

(2) If an applicant has completed a license application to the satisfaction of the 

Gaming Agency, and the Gaming Agency has conducted a preliminary background 

investigation, the Gaming Agency may issue a temporary license and impose such 

Adopted 6/22/04 17 
conditions thereon as it deems appropriate pending completion of the licensing 

process, including a determination of suitability by the State Gaming Agency, provided 

that the Gaming Agency has no information suggesting the applicant would either be 

automatically disqualified from obtaining a license or that would cause a reasonable 

person to investigate further before issuing a license. 

(3) The Gaming Agency may issue a r ular license to a person who meets the 

eligibility standards set out in Sections i! f this Article after receiving a determination of 

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

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

determination of suitability, the Gaming Agency shall revoke any temporary license 

issued to the applicant and deny the applicant a license, except that the Gaming 

Agency shall have discretion to renew a license if the person is an enrolled member 

of the Tribe or has been continuously employed by the Tribe for at least three (3) 

years prior to the effective date of the Compact and also meets the following criteria: 

(i) The person holds a valid and current license issued by the Gaming 

Agency; 

(ii) The person is not an employee or agent of any other gaming operation; and 

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

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

antedate the filing of the person's initial application to the State Gaming Agency 

for a determination of suitability. 

18. Duration and Renewal of License. 

(a) All regular I ice n s e s issued under this Article shall be effective for two (2) 

years from the date of issue. 

(b) Temporary licenses shall expire upon issuance of a regular license, upon a final 

determination on the license application, or at an earlier specified expiration date, 

whichever occurs first, but in no case shall a temporary license be valid for more than 

two (2) years. 

(c) Renewal applications must be received by the Gaming Agency at least thirty 

(30) days prior to the expiration of the license. 

(1) Applicants for renewal shall provide updated material as requested by the 

Gaming Agency but shall not be required to resubmit information already available 

to the Gaming Agency. Additional background investigations may be performed at 

the discretion of the Gaming Agency. Updated criminal history checks are required. 

(2) Upon receiving a renewal application, the Gaming Agency shall inform the 

applicant of his or her obligation to apply to the State Gaming Agency for renewal of his 

or her determination of suitability. 

(3) Any licensee applying for renewal may continue to be employed or engaged 

under the expired license until the Gaming Agency takes action on the renewal 

application. 

Adopted 6/22/04 
(4) Prior to renewing a license, the Gaming Agency shall forward to the State 

Gaming Agency copies of the renewal application and related documents. 

(5) With respect to gaming facilities, the Gaming Agency shall provide verification to 

the State Gaming Agency that it has reviewed and, if appropriate, renewed a 

gaming facility's license. 

519. Fees. 

(a) All applicants for a license under this Article shall be required to pay all 

applicable licensing fees and costs when due in accordance with a fee schedule for 

licenses established by the Gaming Agency. Such fees shall be submitted to the 

Gaming Agency and made payable to the Tribe, to be used for discretionary Gaming 

Agency purposes. 

(b) Application fees shall be nonrefundable, regardless of whether or not a license 

is issued. 

520. Limitation. 

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

have a regular license or a temporary license after ninety (90) days. 

5 21. Identification Cards. 

All persons who are required to be licensed pursuant to the Gaming Ordinance shall wear, in 

plain view at all times while in a gaming facility licensed by the Gaming Agency, identification 

badges issued by the Gaming Agency. The identification badges must display the person's 

photograph, identification number, name, and expiration date of his or her license. 

5 22. Denial, Revocation and Suspension of License. 

(a) A license may be suspended, revoked or denied upon the occurrence of any of 

the following: 

L (1) Notification by the NIGC, or by other reliable source, that the licensee is not 

eligible for a license under 

(2) Notification by the State Gaming Agency that it intends to deny an application 

for a determination of suitability or a renewal of determination of suitability; 

(3) The Gaming Agency has probable cause to believe that the licensee has, by act 

or omission, violated provisions of the Compact, this Ordinance, the Tribe's 

Gaming Regulations, any gaming license, or any other Federal, State or Tribal laws 

or regulation 

Adopted 6/22/04 
(4) The Gaming Agency has reason to believe that the continued licensing of a 

person constitutes an immediate threat to the public health, safety or welfare; 

(5) The Gaming Agency has reason to believe that the licensee is involved in any 

theft, misappropriation, misuse or abuse of Tribal assets; 

(6) The licensee engages in any conduct that brings discredit or embarrassment to 

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

of the Tribe's gaming facilities or the Tribal government or is known to have 

committed other acts of interference with other tribal gaming facilities or tribal 

governments; 

(7) The licensee fails to disclose any required information on any State or Tribal 

gaming license application; 

(8) The licensee fails to respond to a request from the Gaming Agency within 

fourteen (14) days of the date of the initial request; or 

(9) The licensee's employment or business or contractual relationship with the 

Tribe's gaming operations is terminated, voluntarily or involuntarily. 

(b) The Gaming Agency shall notify the NlGC in writing of any final decision to 

suspend or revoke a license. 

3 23. Standards of Condud 

(a) All persons engaged by or associated with any gaming facility or operation on 

the Rancheria shall conduct themselves with honesty, integrity, and with such decorum 

and manners as may be necessary to reflect positively on the Tribe, its members and 

the gaming facility and gaming operation involved. 

(b) Any failure to abide by such standards of conduct, or any violation of any 

ordinance, rule, custom or tradition of the Tribe, is grounds for immediate suspension 

or revocation of any license issued under this Ordinance. 

5 24. Due Process. 

The following procedures shall apply to the denial, suspension or revocation of a license 

pursuant to this Article: 

(a) All decisions of the Gaming Agency to deny, suspend or revoke a license shall 

be effective when issued. 

(b) Upon taking such action, the Gaming Agency shall issue a notice of the denial 

s u sp e n s i o n or revocation of a license to the applicant or licensee by U.S. mail, return 

receipt requested, or personal delivery. 

(1) Such notice shall include a warning that if the applicant or licensee does not 

respond within seven (7) business days, the denial, suspension or revocation of a 

license shall become final and the person will forfeit any further right to appeal. 

Adopted 6/22\04 
(c) Within seven (7) business days of receipt of the notice of the denial, suspension or 

revocation of a license, the applicant or licensee may file a written petition with the 

Gaming Agency requesting a hearing to reconsider the decision to deny, suspend or 

revoke a license. 

(d) If a hearing is requested, the Gaming Agency must hold a hearing within fifteen 

(1 5) days of receiving the request. 

(e) The Gaming Agency shall make a ruling within fifteen (15) days of the hearing, 

and the licensee shall be notified in writing of the ruling within three (3) days of the 

ruling. 

(1) Such notice shall include a statement that the licensee or applicant may file a 

petition with the Gaming Agency for a rehearing within fifteen (1 5) days of the 

written notice. 

(f) Within fifteen (1 5) days of receipt of the written notice of the Gaming Agency's 

ruling, the licensee or applicant may file a written petition with the Gaming Agency for a 

rehearing on the G a mi n g Agency's ruling. Any such petition for rehearing must 

include additional information not previously considered by or made available to the 

Gaming Agency to justify the need for a rehearing and provide the reasons for changing 

the Gaming Agency's ruling. 

(g) If the licensee or applicant files a petition for a rehearing within fifteen (15) days 

of receipt, the Gaming Agency shall review any additional information submitted by the 

licensee or applicant with the petition, issue a decision within fifteen (1 5) days of 

receiving the petition, and notify the licensee in writing of its decision. 

(h) The decisions of the Gaming Agency are final and no further rights of appeal 

are permitted. 

5 25. Additional Requirements. 

(a) The Tribal Council may adopt, and the Gaming Agency shall implement, 

regulations providing for such additional licensing and background investigation 

requirements and procedures as it deems appropriate, provided that such additional 

requirements are at least as stringent as those contained in IGRA (i.e., 25 U.S.C. 

§2710(b)(2)(F) and 25 C.F.R. Parts 556 and 558) and the Compact. 

(b) The Gaming Agency is authorized to adopt and implement such additional 

licensing regulations and procedures it deems appropriate to carry out its duties and 

functions under this Ordinance. 

Adopted 6/22/04 
ARTICLE IV: ENFORCEMENT 

5 1. Prohibi Activities. 

(a) No person s ha I I violate any provision of this Ordinance, any condition of a 

gaming license issued under this Ordinance, or any rule or regulation adopted pursuant to 

this Ordinance. 

(b) No person shall be employed by or conduct business with a gaming facility 

unless properly licensed under this Ordinance. 

( c ) No person shall k n ow i n g l y make false statements during a background 

investigation or other investigation or inquiry by the Gaming Agency, or aide, abet or 

conspire with a person to evade the provisions of this Ordinance. 

(d ) No person shall use fraud or misrepresentation in making an application for, or 

for renewal of, a gaming license. 

(e) No person s ha l l violate any provision of any other tribal gaming ordinance or 

regulations, IGRA or the Compact. 

(a) If the Executive Director determines that a violation of this Ordinance has 

occurred, the Executive Director may take any one of the following actions which 

hetshe deems most appropriate considering the gravity of the offense, the economic 

benefit of noncompliance, and the circumstances of the person committing the violation: 

(1 ) Contact the alleged violator about possible violations of this Ordinance or 

practices which may result in violations of this Ordinance to assist the alleged 

violator in adhering to the requirements of this Ordinance; 

(2) Issue a warning of violation, in the form of a letter from the Executive Director to 

the alleged violator, containing an explanation of the basis for the warning, 

measures required to correct the violation, and an explanation of the steps the 

Executive Director may take if the alleged violator does not take positive corrective 

action; 

(3) Following the procedures set out in Section 3, below, assess a civil fine, not to 

exceed 25,000 per violation, where each day in which the violation occurs is a new 

violation, against the alleged violator after considering the economic benefit of 

noncompliance, the seriousness of the violation, the respondent's history of 

violations, the degree of fault of the respondent in causing or failing to correct the 

violation, the degree of the respondent's good faith in attempting to achieve rapid 

compliance after issuance of any warning of violation; 

(4) Following the procedures set out in Section 3, below, issue an order to the 

alleged violator to cease and desist from further commission of such violation; 

Adopted 6/22/04 2 2 
(5) Following the procedures set out in Section 3, below, assess a civil fine or 

penalty as described in Section 4, against the alleged violator; 

(6) Following the procedures set out in Section 3, below, seize the gaming 

machines or other gaming equipment that are in violation of this Ordinance and/or 

the proceeds from the gaming machines that are in violation of this Ordinance; 

(7) Following the procedures set out in Section 3, below, order a temporary closure 

of the gaming facility, or the affected portion(s) thereof, where the violation has 

occurred or is occurring; 

(8) Following the procedures set out in Section 3, below, order the gaming facility to 

halt any payments to or cease continued relations with any person where such 

payment or continued relationship is in violation of this Ordinance; and/or 

(9) Following the procedures set out in Section 3, below, impose other appropriate 

and reasonable sanctions within the Gaming Agency's jurisdiction. 

(b) The operator of the gaming facility shall close the operation, or the affected 

portions thereof, upon service of an order of temporary closure pursuant to this section, 

unless the order provides otherwise. 

(c) The operator of the gaming facility shall halt any payments to or cease continued 

relations with any person upon service of an order to halt payments pursuant to this 

section, unless the order provides otherwise. 

3 3. Enforcement Process. 

(a) The following procedures shall govern enforcement actions taken pursuant to 

Section 2(a) (3) - (9) of this Article, above: 

(1) The Executive Director shall issue a notice of violation, describing the violation 

and the proposed penalty or other enforcement action, to the person who is 

charged with the violation. 

(i) The notice of violation shall be served by personal delivery or U.S. mail, 

return receipt requested. Notice shall be considered received on the date of 

personal delivery or three (3) days after the notice is mailed by U.S. mail. 

(ii) The notice shall include a warning that if the person does not respond 

within seven business (7) days, the assessed civil penalty or other enforcement 

action will become permanent, and the person will lose all rights to appeal. 

(2) Within seven (7) days of receipt of the notice of violation, the person who is 

charged with the violation may submit a written request for a hearing before the 

Gaming Agency on the proposed enforcement action described in the notice of 

violation. 

Adopted 6:'22/04 
(i) If a hearing is requested, the Gaming Agency must hold a hearing within 

thirty (30) days of receiving the request. If the person requesting the hearing 

makes a showing, supported by a declaration or other written documentation that 

the proposed enforcement action will result in great financial loss or harm to 

person or property before the Gaming Agency is required to hold a hearing, the 

Gaming Agency may hold a hearing immediately or may delay or reverse any 

enforcement action until the Gaming Agency holds the requested hearing. 

(ii) If the alleged violator does not request a hearing within seven (7) days of 

receipt of the notice of violation, the assessed civil penalty or other enforcement 

action will become permanent, and the person shall lose all rights to appeal. 

(3) At any hearing before the Gaming Agency, the alleged violator must come 

forward with evidence, including declarations, written documents, and statements by 

witnesses, indicating that the person is not guilty of the violation as described in the 

notice of violation. 

(4) Within fifteen (15) days of the hearing, the Gaming Agency shall issue a decision 

on whether to affirm or retract the proposed penalty or other enforcement action 

described in the notice of violation, based on the evidence submitted by the alleged 

violator at the hearing. 

(i) The Gaming Agency shall serve a notice of the decision on the violator. 

The notice of decision shall be served by personal delivery or U.S. mail, return 

receipt requested. Notice shall be considered received on the date of personal 

delivery or three (3) days after the notice is mailed by U.S. mail. 

(5) The decision of the Gaming Agency pursuant to any hearing on a proposed penalty 

or other enforcement action may be appealed to the Tribal Court upon written request 

submitted to the Tribal Court within seven (7) days of the receipt of the notice of 

decision after the initial hearing. The request for a hearing before the Tribal Court 

must state the grounds for overturning the Gaming Agency's decision. 

(i) The Tribal Court shall hold a hearing within thirty (30) days, upon a finding 

that the violator has stated reasonable grounds for overturning the Gaming 

Agency's decision. 

(ii) The violator and the Gaming Agency shall have the opportunity to present 

oral arguments at the hearing. 

(iii) The written record from the hearing before the Gaming Agency, together 

with all papers and requests filed in the proceeding before the Tribal Court, shall 

constitute the exclusive record for decision on appeal. 

(iv) The Tribal Court shall set aside the Gaming Agency's decision only upon 

a finding that the Gaming Agency's decision was arbitrary, capricious, an abuse 

of discretion, or otherwise not in accordance with the law. 

(v) Within sixty (60) days of the hearing, the Tribal Court shall issue a 

decision on the appeal. 

Adopted 6/22/03 
(vi) The Tribal Court shall serve a notice of the decision on the violator. The 

notice of decision shall be served by personal delivery or U.S. mail, return receipt 

requested. 

(vii) Decisions of the Tribal Court are final 

(b) The Gaming Agency and/or the Tribal Court, or a representative authorized by 

either body, may institute proceedings in any judicial for u m of competent jurisdiction 

to enforce a penalty issued by the Gaming Agency and/or upheld by the Tribal Court 

on appeal. 

54. Civil Penalties. 

(a) Any person engaging in a prohibited activity under this Ordinance is subject to 

a civil fine in an amount not to exceed twenty-five thousand dollars ($25,000.00) for 

each day in which the violation occurs, to be assessed by the Gaming Agency. In 

addition to any monetary fine, any person violating the provisions of a license issued 

under this Ordinance is subject to a civil penalty of probation or suspension, revocation, 

non-renewal, or denial of a license, to be assessed by the Gaming Agency. 

(b) In determining the type and amount of the penalty and/or fine, the Gaming Agency 

shall consider the appropriateness of such fine and/or penalty in light of the gravity of the 

economic benefit of noncompliance, the seriousness of the violation, the respondent's 

history of violations, the degree of fault of the respondent in causing or failing to correct the 

violation, and the degree of the respondent's good faith in attempting to achieve rapid 

compliance after issuance of any warning of violation. 

ARTICLE V: MISCELLANEOUS PROVISIONS 

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

order, or notice of violation. 

82. Notice. 

(a) Unless othewise specifically provided for in this Ordinance, written notice shall be 

served by U.S. mail, return receipt re q u e s t e d , or personal delivery. 

(b) Notice shall be considered received on the date of personal delivery or three (3) 

days after the notice is mailed by U.S. mail. 

5 3. Dehmtion of Authoritv to Conduct Gaminq to Tribal Entitv. 

Nothing in this Ordinance shall prevent the Tribal Council from delegating the authority to 

conduct gaming to one or more tribal commissions or corporations, so long as any such tribal 

commissions or corporations to which such authority is delegated meet all criteria and 

requirements established under this Ordinance. 

Adopted 6/22/04 
5 4. Sovereiqn Immunity. 

The sovereign immunity of the Tribe is in no manner waived by this Ordinance or by any action 

by the Tribal Council or staff of the Tribe acting pursuant to this Ordinance. 

55. Repeal. 

This Ordinance supercedes any conflicting or contrary superceding ordinances passed by 

the Tribe. 

If any provision of this Ordinance or the application thereof to any person or circumstance is 

held invalid by a court of competent jurisdiction, the invalid provision or provisions shall be severed 

and the remaining provisions shall continue in full force and effect. 

3 7. Amendment of Ordinance. 

This Ordinance may be amended or repealed by majority vote of the Tribal Council. 

§ 8. Effective Date. 

This Ordinance shall become effective immediately upon its approval by the Chairman of the 

NlGC or ninety (90) days after the date of its submission to the Chairman of the NlGC if he or she 

fails to approve or disapprove this Ordinance within those ninety (90) days. 

CERTIFICATION 

As the Chairperson of the Tribal Council for the Guidiville Band of Pomo Indians, I hereby certify 

that the Tribal Council adopted this Ordinance at a duly called meeting at which a quorum was 

present by a vote of 4 for, with 0 against, with 0 abstaining, on this 22 day of June, 2004. 

e: June 22,2004 

ATTEST: 

&&'# 4f124 Date: June 22,2004 

Frances Gonzalez, Ev' 

Adopted 6/22/04