Bulletin No. 2018-1

Date: January 10, 2018

Subject: Revised Model Gaming Ordinance

This Bulletin provides guidance for tribal governments on the development and updating 

of a tribal gaming ordinance. It revises and supersedes the guidance previously provided 

and published by the NIGC in Bulletin No. 2014-2 (May 5, 2014), Bulletin 05-05 (August 24, 

2005) and Bulletin 93-1 (June 10, 1993). The Commission offers this revised Model Gaming 

Ordinance (“Model Ordinance”) to assist tribes with meeting the ordinance requirements of 

IGRA and the NIGC’s regulations, and with crafting effective ordinances that address each 

tribe’s unique regulatory needs.

The Model Ordinance not only contains provisions that are required by IGRA and NIGC 

regulations, but also provisions that are recommended but are not required. Many section 

and provisions of this Model Ordinance were taken from a variety of tribal gaming 

ordinances so that tribes could benefit from the collective knowledge and experience of the 

more than 250 gaming tribes. Some sections of the Model Ordinance present different 

options so that tribes may adopt and use language and provisions that will work best for 

them.

Explanatory footnotes and matters that appear in italics in the text of the Model Ordinance 

are for reference only and should not be included in a tribe’s gaming ordinance. Shaded 

areas are included for a tribe to insert its specific information.

In addition to the revised Model Ordinance, the NIGC is also posting the checklist used by 

the Office of General Counsel when performing the review of an ordinance. The checklist 

includes all the provisions required by IGRA and the NIGC’s regulations.

For any questions about the revised Model Ordinance or the checklist, please contact the 

Office of General Counsel at (202) 632-7003.
Table of Contents to Revised Model Gaming Ordinance

Section 1. Purpose.............................................................................................................................1

Section 2. Applicability.....................................................................................................................1

Section 3. Definitions........................................................................................................................1

Section 4. Gaming Authorized..........................................................................................................6

Section 5. Ownership of Gaming......................................................................................................7

Section 6. Use of Net Gaming Revenues ..........................................................................................8

Section 7. Per Capita Payments........................................................................................................8

Section 8. Gaming Commission........................................................................................................9

Section 9. Audits..............................................................................................................................15

Section 10. Environment and Public Health and Safety.................................................................15

Section 11. Patron Dispute Resolution............................................................................................16

Section 12. Facility Licenses.............................................................................................................16

Section 13. Agent for Service of Process .........................................................................................18

Section 14. Tribal Access to Financial Information........................................................................18

Section 15. License Application Forms............................................................................................19

Section 16. License Fees ...................................................................................................................20

Section 17. Background Investigations ...........................................................................................20

Section 18. Procedures for Conducting Background Investigations.............................................23

Section 19. Investigative Reports ....................................................................................................24

Section 20. Eligibility Determinations.............................................................................................25

Section 21. Notice of Results of Background Investigations..........................................................25

Section 22. Granting Gaming Licenses ............................................................................................26

Section 23. Denying Gaming Licenses .............................................................................................28

Section 24. Gaming License Suspensions and Revocations ...........................................................29

Section 25. Records Retention .........................................................................................................29

Section 26. Licenses for Vendors .....................................................................................................30

Section 27. Submission of a Vendor License Application ..............................................................30

Section 28. Contents of the Vendor License Application ...............................................................30

Section 29. Vendor Background Investigations..............................................................................32
Section 30. Vendor License Fees......................................................................................................33

Section 31. Vendor Background Investigation Reports .................................................................33

Section 32. Vendors Licensed by Recognized Regulatory Authorities .........................................33

Section 33. Compliance with Federal Law ......................................................................................33

Section 34. Repeal.............................................................................................................................33

Section 35. Effective Date .................................................................................................................34
1

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

Revised Model Gaming Ordinance1

Section 1. Purpose

The [Tribal Council or other authorized Tribal governing body] of the [name of 

Tribe] (“Tribe”), empowered by the [Tribe’s Constitution and/or other governing 

authority] to enact ordinances, hereby enacts this ordinance in order to govern and 

regulate the operation of [class II and/or class III] gaming operations on the Tribe’s 

Indian lands.

OR

The [Tribal Council or other authorized government body] of the [name of Tribe] 

(“Tribe”), empowered by the [Tribe’s Constitution and/or other governing 

authority] to enact ordinances, hereby enacts this ordinance to promote tribal 

economic development, self-sufficiency and sovereignty; to shield the operation of 

gaming from organized crime and other corrupting influences; and to ensure that 

gaming is conducted fairly and honestly by both the operator and players.

[25 U.S.C. § 2702(1)-(3)]

Section 2. Applicability

Unless specifically indicated otherwise, all provisions of this ordinance shall apply 

to [class II and/or class III] gaming on the Tribe’s Indian lands.

Section 3. Definitions2

 

1 Provisions, or text, in black are recommended for a tribal gaming ordinance, but are not required by 

IGRA or the NIGC’s regulations. Provisions, or text, in green are not required to be included in a tribal 

gaming ordinance, but, if included, must be consistent with the language used in IGRA and/or the NIGC’s 

regulations. Provisions, or text in blue are required by IGRA and/or NIGC’s regulations to be included in 

a tribal gaming ordinance. Provisions, or text, in red are required to be submitted to the NIGC with a 

tribe’s request for approval of its gaming ordinance, but may instead be included in the ordinance itself.

For ease of reference, a color key is included at the bottom of each page.

2 A tribe may expand on its “Definitions” section by including definitions which reflect features unique to 

the tribe and the structure, size, and regulation of its gaming operation. If a tribe choses to include 
2

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

The following terms shall have the same meaning and effect as those same terms as 

defined in the Indian Gaming Regulatory Act (“IGRA”), 25 U.S.C. §§ 2701 et seq., and 

the National Indian Gaming Commission (“NIGC”) regulations, 25 C.F.R. §§ 500 et 

seq., if they are defined in IGRA and the NIGC‘s regulations.

A. Class I gaming.

1. Social games played solely for prizes of minimal value; or

2. Traditional forms of Indian gaming when played by individuals in 

connection with tribal ceremonies or celebrations.

[25 U.S.C. § 2703(6); 25 C.F.R. § 502.2]

B. Class II gaming.

1. Bingo or lotto (whether or not electronic, computer or other technologic 

aids are used) when players:

a. Play for prizes with cards bearing numbers or other designations;

b. Cover numbers or designations when objects, similarly numbered or 

designated, are drawn or electronically determined; and

c. Win the game by being the first person to cover a designated pattern on 

such cards;

2. Pull-tabs, punch boards, tip jars, instant bingo and other games similar to 

bingo, if played in the same location as bingo or lotto;

3. Non-banking card games that:

a. State law explicitly authorizes, or does not explicitly prohibit, and are 

played legally anywhere in the state; and

b. Players play in conformity with state laws and regulations concerning 

hours, periods of operation, and limitations on wagers and pot sizes;

 

definitions in its ordinance, it may, alternatively, cite directly to IGRA or the NIGC’s regulations and

forego repeating language from IGRA or the NIGC’s regulations. For instance, a definition could read: 

“’Class I gaming’ means those gaming activities as defined as class I gaming in IGRA at 25 U.S.C. § 

2703(6), and the NIGC’s regulations at 25 C.F.R. § 502.2.”
3

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

4. Card games played in the states of Michigan, North Dakota, South Dakota or 

Washington, if:

a. A tribe actually operates the same card games as played on or before 

May 1, 1988, as determined by the NIGC Chair; and 

b. The pot and wager limits remain the same as on or before May 1, 1988, 

as determined by the NIGC Chair;

5. Individually owned class II gaming operations –

a. That were operating on September 1, 1986;

b. That meet the requirements of 25 U.S.C. § 2710(b)(4)(B);

c. Where the nature and scope of the game remains as it was on October 

17, 1988; and

d. Where the ownership interest or interests are the same as on October 

17, 1988.

[25 U.S.C. § 2703(7); 25 C.F.R. § 502.3]

C. Class III gaming. All forms of gaming that are not class I or class II gaming, 

including, but not limited to:

1. Any house banking game, including but not limited to –

a. Card games such as baccarat, chemin de fer, blackjack (21), and pai gow 

(if played as house-banking games); and

b. Casino games such as roulette, craps, and keno;

2. Any slot machines, as defined in 15 U.S.C. § 1711(a)(1), and electronic or 

electromechanical facsimiles of any game of chance; 

3. Any sports betting and pari-mutuel wagering, including but not limited to, 

wagering on horse racing, dog racing or jai alai; or

4. Lotteries.

[25 U.S.C. § 2703(8); 25 C.F.R. § 502.4]
4

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

D. Commission. The Tribal Gaming Commission established to perform 

regulatory oversight and to monitor compliance with tribal, federal and 

applicable state regulations.

E. Commissioner. A Tribal Gaming Commissioner.

F. Directly related to. A spouse, child, parent, grandparent, grandchild, aunt, 

uncle, or first cousin.

G. Director. A member of the Tribal Gaming Board of Directors.

H. Facility License. A separate license issued by the Tribe to each place, facility or 

location on Indian lands where the Tribe elects to allow class II or III gaming;

[25 C.F.R. § 502.23]

I. Gaming Operation. Each economic entity that is licensed by the Tribe, operates 

the games, receives the revenues, issues the prizes, and pays the expenses. A 

gaming operation may be operated by the Tribe directly; by a management 

contractor; or, under certain conditions, by another person or entity.

[25 C.F.R. § 502.10]

J. Indian lands.

1. Land within the limits of an Indian reservation; or

2. Land over which an Indian tribe exercises governmental power and that is 

either;

a. Held in trust by the United States for the benefit of any Indian tribe or 

individual; or

b. Held by an Indian tribe or individual subject to restriction by the United 

States against alienation.

[25 U.S.C. § 2703(4); 25 C.F.R. § 502.12;

See also 25 U.S.C. § 2719; 25 C.F.R. § 292]

K. Key Employee.
5

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

1. A person who performs one or more of the following function:

a. Bingo caller;

b. Counting room supervisor;

c. Chief of Security;

d. Custodian of gaming supplies or cash;

e. Floor manager;

f. Pit boss

g. Dealer;

h. Croupier;

i. Approver of credit; or

j. Custodian of gambling devices, including persons with access to cash and 

accounting records within such devices;

2. If not otherwise included, any other person whose total cash compensation 

is in excess of $50,000 per year;

3. If not otherwise included, the four most highly compensated persons in the 

gaming operation; or

4. Any other person designated by the tribe as a key employee.

3

[25 C.F.R. § 502.14]

L. Licensee. A tribally owned class II or class III gaming operation or a person 

licensed by the Tribal Gaming Commission as a primary management official, 

key employee or other gaming employee under the provisions of this ordinance.

M. Management Contract. Any contract, subcontract or collateral agreement 

between an Indian tribe and a contractor or between a contractor and a 

subcontractor if such contract or agreement provides for the management of all 

or part of a gaming operation.

[25 C.F.R. § 502.15]

N. Net Revenues. Gross gaming revenues of an Indian gaming operation less:

 

3 A tribe may consider expanding the definition of “key employee,” but may not limit it.
6

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

1. Amounts paid out as, or paid for, prizes; and

2. Total gaming-related operating expenses, including all those expenses of the 

gaming operation commonly known as operating expenses and nonoperating expenses consistent with professional accounting 

pronouncements, excluding management fees.

[25 U.S.C. § 2703(9); 25 C.F.R. § 502.16]

O. Primary Management Official.

1. The person(s) having management responsibility for a management 

contract.

2. Any person who has authority:

a. To hire and fire employees; or

b. To set up working policy for the gaming operation; or

c. The chief financial officer or other person who has financial management 

responsibility.

3. Any other person designated by the Tribe as a primary management 

official.4

[25 C.F.R. § 502.19]

P. Tribal-State Compact. An agreement between a tribe and state about class III 

gaming under 25 U.S.C. § 2710(d).

Q. Tribe. The [name of the Tribe].

Section 4. Gaming Authorized

[Class II and/or class III] gaming are authorized to be conducted on the Tribe’s 

Indian lands, if such gaming is conducted in accordance with this ordinance, the 

Indian Gaming Regulatory Act, the NIGC’s regulations, and any other applicable 

laws or regulations.

 

4 A tribe may consider expanding the definition of “primary management official,” but may not limit it.
7

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

Section 5. Ownership of Gaming

A. The Tribe shall have the sole proprietary interest in and responsibility for the 

conduct of any gaming operation authorized by this Ordinance, except as 

expressly provided in this Ordinance.

[25 U.S.C. § 2710(b)(2)(A); 

25 C.F.R. §§ 522.4(b)(1), 522.6(c)]

B. No person or entity, other than the Tribe, shall conduct gaming without 

obtaining a license from the Tribal Gaming Commission. 5

C. The Tribal Gaming Commission may issue a license for individually-owned 

gaming so long as:

1. The individually owned gaming operation is licensed and regulated 

pursuant to this Ordinance;

2. The income to the Tribe from an individually owned gaming operation is 

used only for the purposes listed in this Ordinance;

3. Not less than 60 percent of the net revenues of the individually-owned 

gaming operation is income to the Tribe;

4. The owner of the individually owned gaming pays an annual assessment to 

NIGC pursuant to 25 C.F.R. § 514.1; and

5. The Tribal Gaming Commission applies licensing standards that are at least 

as restrictive as those established by State law governing similar gaming;

6

 

5 A tribe is not required to allow individually owned gaming, but if it does, it must include these 

provisions in in its ordinance.

6

If a tribe is going to permit individually owned gaming, it develop or reference these standards either 

in its ordinance or its individually owned gaming policies. See 25 U.S.C. § 2710(b)(4) and 25 C.F.R. §

522.10
8

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

6. The Tribal Gaming Commission determines that the owner of the 

individually owned gaming would be eligible to receive a State license to 

conduct the same activity within the jurisdiction of the surrounding State.7. 

[25 U.S.C § 2710(b)(4)(A)-(B); 

25 C.F.R. §§ 502.3(e), 522.4(b)(1), 522.6(c), 522.10, 522.11]

Section 6. Use of Net Gaming Revenues

A. Net revenues from Tribal gaming shall be used only for the following purposes:

1. To fund Tribal government operations or programs;

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

3. To promote Tribal economic development;

4. To donate to charitable organizations; or 

5. To help fund operations of local government agencies.

8

[25 U.S.C. § 2710(b)(2)(B); 

25 C.F.R. §§ 522.4(b)(2), 522.6(b)]

Section 7. Per Capita Payments

A. Net revenues from any [class II and/or class III] gaming activities conducted or 

licensed by the Tribe may be used to make per capita payments to Tribal 

members if:

 

7 This requirement shall not bar the continued operation of an individually owned gaming operation that 

was operating on September 1, 1986, if the gaming activity remains within the same nature and scope as 

it was on October 17, 1988; and the ownership interests are the same as on October 17, 1988.

8 It is not necessary to include all five of the permissible uses in the ordinance, but a tribe may not 

include any additional uses.
9

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

1. The Tribe has prepared a plan9 to allocate revenues to one or more of the 

five uses authorized by section 6(A) of this ordinance;

2. The plan is approved by the Secretary of the Interior as adequate, 

particularly with respect to the uses described in sections 6(A)(1) and 

6(A)(3) of this ordinance;

3. The interests of minors and other legally incompetent persons who are 

entitled to receive any of the per capita payments are protected and 

preserved, and the per capita payments are disbursed to the parents or legal 

guardian of such minors or legal incompetents in such amounts as may be 

necessary for the health, education, or welfare of the minor or other legally 

incompetent person; and

4. The per capita payments are subject to Federal taxation and the Tribe 

notifies its members of such tax liability when payments are made.

[25 U.S.C. § 2710(b)(3); 

25 C.F.R. §§ 522.4(b)(2)(ii), 522.6(b)]

Section 8. Gaming Commission10

A. The Tribe hereby establishes a Tribal Gaming Commission (“Commission”) to 

regulate the Tribe’s gaming operations. The Commission shall consist of [insert 

chosen number] members, including a Chair, Vice-Chair and at least one 

additional Commissioner.

B. The Commission will conduct oversight to ensure compliance with Tribal, 

federal and, if applicable, state laws and regulations. It will serve as the 

licensing authority for individuals employed in the gaming operation and will 

 

9 A tribal revenue allocation plan (“RAP”) must satisfy the BIA regulations in 25 C.F.R. part 290 for 

approval by the Secretary of the Interior. Any questions about RAP requirements or approvals should be 

directed to the U.S. Department of Interior, Office of Indian Gaming.

10 This provision is recommended, but not required by IGRA or the NIGC’s regulations. Usually a tribal 

gaming commission is the entity that acts on behalf of a tribe to regulate its gaming operation. If a tribe 

opts to establish a gaming commission, it may wish to include more details in this section, such as how 

many commissioners should be enrolled tribal members; the length of their appointments; any 

additional restrictions on commissioners’ activities, relationships and holdings; how often written 

reports will be required of the commission; and how complaints will be processed by the commission.
10

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

administer background investigations as part of the licensing process. The 

Commission will also have a role in monitoring compliance with the gaming 

operation’s internal controls and in tracking gaming revenues. In order to carry 

out its regulatory duties, the Commission shall have unrestricted access to all 

areas of the gaming operation and to all of its records. The Commission shall 

have authority to take enforcement actions, including suspension or revocation 

of an individual gaming license, when appropriate.

C. Commissioner positions shall be filled in the following manner:

Through appointment by the [Tribe’s general voting body] pursuant to an 

election.

OR

Through appointment by the [Tribal governing body].

OR

[Insert the Tribe’s chosen method].

D. Terms of office for Commissioners shall be as follows: the Chair shall serve an 

initial term of one (1) year, with subsequent Chairs serving 3-year terms; and 

the Vice-Chair and Commissioner(s) shall serve an initial term of two (2) years, 

with subsequent Vice-Chairs and Commissioners serving 3-year terms.

E. The following persons are not eligible to serve as Commissioners: [Tribal 

governing body] members, while serving as such; current employees of the 

gaming operation; gaming contractors (including any principal of a 

management, or other contracting company); persons directly related to, or 

sharing a residence with, any of the above; and persons ineligible to be key 

employees or primary management officials. Non-tribal members previously 

convicted of any felony or misdemeanor offense of embezzlement, theft or any 

other money-related or honesty-related misdemeanor offense, such as fraud, 

cannot serve as Commissioner. Tribal members previously convicted of any 

felony or misdemeanor offense of embezzlement, theft or any other offense 

related to money or honesty, such as fraud, will only be allowed to serve as a 

Commissioner if the [Tribal governing body] specifically finds that a significant 

amount of time has passed and the person is now of trustworthy character. 
11

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

F. The [Tribal governing body] shall require a criminal history check with 

appropriate law enforcement agencies for each Commissioner candidate; shall 

review the candidate’s criminal history check results; and shall make an 

appropriate eligibility determination before appointing an individual to the 

position of Commissioner.

G. The Tribe recognizes the importance of an independent Tribal Gaming 

Commission in maintaining a well-regulated gaming operation. The 

Commission shall be independent of, and act independently and autonomously 

from, the [Tribal governing body] in all matters within its purview. No prior, or 

subsequent, review by the [Tribal governing body] of any actions of the 

Commission shall be required or permitted except as otherwise explicitly 

provided in this ordinance. To avoid potential conflicts of interest between the 

operation and regulation of the gaming facility, the Tribe requires that, at a 

minimum:

1. No member of the [Tribal governing body] or Tribal Gaming Board of 

Directors may serve on the Tribal Gaming Commission;

2. No member directly related to, or living with, any [Tribal governing body] 

member or Tribal Gaming Board of Directors member may serve on the 

Tribal Gaming Commission;

3. Members of the Commission are prohibited from gambling in the facility;

4. Commissioners are prohibited from accepting complimentary items from 

the gaming operation, excepting food and beverages valued under _____ 

dollars ($ .00); and

5. Commissioners may only be removed from office by the [Tribal governing 

body], prior to the expiration of their respective terms, for neglect of duty, 

misconduct, malfeasance or other acts that would render a Commissioner 

unqualified for the position.

H. Nominees for Commissioner positions must satisfy the eligibility standards set 

forth for primary management officials and key employees found in Section 21 

of this ordinance. All requisite background investigations shall be performed 

under the direction of [office or entity that will conduct the background 

investigations].
12

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

I. The Tribal Gaming Commission shall:

1. Conduct background investigations, or cause such investigations to be 

conducted, for primary management officials and key employees;

2. Review and approve all investigative work conducted in connection with the 

background investigations of primary management officials and key 

employees;

3. Create and maintain investigative reports based on the background 

investigations of primary management officials and key employees; 

4. Designate a law enforcement agency to obtain and process fingerprints and 

conduct a criminal history check that shall include a check of criminal 

history records information maintained by the Federal Bureau of 

Investigation.;

5. Make licensing eligibility determinations, which shall be signed by the Chair 

of the Commission;

6. Submit a notice of results to the NIGC of the background investigations done 

for each primary management official and key employee applicant;

7. Issue gaming licenses to primary management officials and key employees 

of the operation, if warranted by the eligibility determination;

8. Establish standards for licensing Tribal gaming facilities;

9. Issue gaming licenses to Tribal gaming facilities;

10. Inspect, examine and monitor all of the Tribe’s gaming activities, and have 

immediate access to review, inspect, examine, photocopy and audit all 

records of the gaming facilities and operations;

11. Ensure compliance with all Tribal, federal and applicable state laws, rules 

and regulations regarding Indian gaming;

12. Investigate any suspicion of wrongdoing associated with any gaming 

activities;
13

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

13. Hold hearings on patron complaints, in accordance with procedures 

established in this ordinance and the Tribal gaming regulations;

14. Comply with any and all reporting requirements under IGRA, the NIGC’s 

regulations and any tribal-state compact to which the Tribe is a party, and 

any other applicable law;

15. Promulgate and issue regulations necessary to comply with applicable 

internal control standards;

16. Promulgate and issue regulations on the levying of fees and/or taxes 

associated with gaming license applications;

17. Promulgate and issue regulations on the levying of fines and/or the 

suspension or revocation of gaming licenses for violations of this ordinance 

or any Tribal, federal or applicable state gaming regulations;

18. Establish a list of persons not allowed to game in the Tribe’s gaming 

facilities in order to maintain the integrity of the gaming operation;

19. Establish a list of persons who have voluntarily agreed to be excluded from 

the Tribal gaming facilities, and create regulations for enforcing the 

exclusions;

20. Provide referrals and information to the appropriate law enforcement 

officials when such information indicates a violation of Tribal, federal or 

state statutes, ordinances, regulations, codes or resolutions;

21. Create a list of regulatory authorities that conduct background 

investigations of, and licenses, vendors who are recognized as trustworthy;

22. Draft regulations exempting vendors from the licensing and/or background 

investigation requirements if they have received a license from a recognized 

regulatory authority;

23. Perform such other duties the Commission deems appropriate for the 

proper regulation of the Tribal gaming operation; and
14

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

24. Promulgate such regulations and guidelines as deemed appropriate to 

implement the provisions of this ordinance, so long as they are in 

furtherance of, and not in conflict with, any provisions of this ordinance.

J. Before adopting, amending and repealing regulations, the Commission shall 

give notice of any such proposed action to the [Tribal governing body], the 

gaming operation(s) and all other persons whom the Commission has reason to 

believe have a legitimate interest in the proposed action. The notice shall invite 

comments and describe the general nature of the proposed action and the 

manner in which comments on the proposed action shall be received by the 

Commission.

K. The Commission shall ensure that all records and information obtained as a 

result of an employee background investigation, including but not limited to, 

the identity of each person interviewed in the course of an investigation, shall 

remain confidential and shall not be disclosed to any persons who are not 

directly involved in the licensing and employment processes. Information 

obtained during the course of an employee background investigation shall be 

disclosed to members of management, human resource personnel and/or 

others employed by the Tribal gaming operation on a need-to-know basis, for 

actions taken in their official capacities.

L. The confidentiality requirements in Section 8(J), above, do not apply to requests 

for such records or information from any Tribal, federal or state law 

enforcement or regulatory agency, or for the use of such records or information 

by the Commission and staff in the performance of their official duties.

M. A majority of the Commission shall constitute a quorum. The concurrence of a 

majority of the Commissioners shall be required for any final determination by 

the Commission. The Commission may act in its official capacity, even if there 

are vacancies on the Commission.

N. Commissioners shall be compensated at a level determined by the [tribal 

governing authority]. In order to ensure the Commission is not improperly 

influenced, a Commissioner’s compensation shall not be based on a percentage 

of gaming revenue.

O. The Commission shall keep a written record of all its meetings.
15

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

Section 9. Audits

A. The Tribe shall cause to be conducted independent audits of gaming operations 

annually and shall submit the results of those audits to the NIGC.

[25 U.S.C. § 2710(b)(2)(C); 

25 C.F.R. § 522.4(b)(3)]

B. Annual audits shall conform to generally accepted auditing standards.

[25 C.F.R. § 571.12(b)]

C. All gaming-related contracts that result in the purchase of supplies, services or 

concessions for more than $25,000 in any year11 (except contracts for 

professional legal and accounting services) shall be specifically included within 

the scope of the audit conducted under Section 9(A) of this ordinance.

[25 U.S.C. § 2710(b)(2)(D); 

25 C.F.R. §§ 522.4(b)(4), 522.6(b)]

D. Copies of the annual audit of each licensed gaming operation, and each audit for 

supplies, services or concessions of each gaming operation, shall be furnished to 

the NIGC within 120 days after the end of each fiscal year of the gaming 

operation.

[25 C.F.R. § 571.13]

Section 10. Environment and Public Health and Safety

A. Each gaming facility shall be constructed, maintained, and operated in a manner 

that adequately protects the environment and the health and safety of the 

public.

[25 U.S.C. § 2710(b)(2)(E);

25 C.F.R. §§ 522.4(b)(7), 522.6(b), and 559.4]

 

11 The amount may exceed, but not be less than, $25,000.
16

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

B. [Tribal official or group] shall identify and enforce laws, resolutions, codes, 

policies, standards, or procedures, which are applicable to each gaming place, 

facility or location, to ensure adequate protection of the environment and the 

health and safety of the public.

[25 C.F.R. § 559.4]

Section 11. Patron Dispute Resolution12

Patrons with complaints against the gaming establishment shall have as their sole 

remedy the right to file a petition for relief with the Tribal Gaming Commission. 

Complaints shall be submitted in writing. The Commission shall hold a hearing 

within 30 days of receipt of the petitioner’s complaint. The petitioner may have 

counsel present at the hearing. The petitioner may be allowed to present evidence, 

at the discretion of the Commission. After the hearing, the Commission shall render 

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

patron complaint must be submitted to the Commission within thirty (30) days of 

the incident giving rise to the complaint. All claims by patrons shall be limited to a 

maximum recovery of [enter dollar amount] per occurrence, and a cumulative limit 

of [enter dollar amount] per patron in any 12-month period, except disputes 

relating to a patron’s entitlement to a game prize, which shall be limited to the 

amount of such prize. The Commission’s decision shall constitute the complainant’s 

final remedy.

[25 C.F.R. § 522.2(f)]

Section 12. Facility Licenses

A. The Tribe 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.

[25 U.S.C. § 2710(b)(1);

25 C.F.R. §§ 522.4(b)(6), 522.6(b) and 559]

 

12 25 C.F.R. § 522(f) requires a tribe to include in its ordinance a description of the procedures in place 

for resolving disputes between the gaming public and a tribe or the gaming public and a tribe’s 

management contractor. This section provides an example of a dispute resolution process used by tribes 

with gaming operations. 
17

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

B. The Tribal Gaming Commission is responsible for issuing new or renewed 

facility licenses to each place, facility or location.

C. The Tribal Gaming Commission shall require that a facility license application 

be completed by the chief management official of the gaming facility for each 

gaming place, facility or location.

D. The Tribal Gaming Commission shall identify the environmental, health and 

public safety standards with which the place, facility or location must comply, 

and specify the form, conditions and content of a facility license application. The 

application shall include:

E. A legal description of the lands upon which the facility is located, and a 

certification that the site constitutes “Indian lands,” as defined in IGRA, the 

NIGC’s regulations, the NIGC Office of General Counsel and DOI Solicitor Offices’ 

Indian lands legal opinions, judicial decisions and any other applicable law.

F. The Tribal Gaming Commission shall only issue a facility license if the 

application includes the required information and documentation, and 

sufficiently satisfies any additional conditions deemed necessary by the Tribe.

G. The Tribe or Tribal Gaming Commission shall submit to the NIGC Chair a notice 

that issuance of a facility license is under consideration by the Tribal Gaming 

Commission.13 This notice must be submitted at least 120 days before the 

opening of any new place, facility or location on Indian lands where [class II 

and/or class III] gaming will occur.14

[25 C.F.R. § 559.2(a)]

 

13 The facility license notice shall contain the information and documentation set out in 25 C.F.R. § 

559.2(b).

14 The NIGC does not notify the tribe that a facility complies with the requirements for gaming on Indian 

land unless the tribe specifically requests such notice.
18

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

H. The Tribal Gaming Commission shall submit a copy of each newly issued or 

renewed facility license to the NIGC Chair within 30 days of issuance, along with 

any other required documentation.15

[25 C.F.R. § 559.3]

I. The Tribe shall notify the NIGC Chair within 30 days if a facility license is 

terminated or expires, or if a gaming place, facility, or location closes or 

reopens.

[25 C.F.R. § 559.5]

Section 13. Agent for Service of Process

The Tribe designates [identity of an official position]

16 as the agent for service of 

any official determination, order or notice of violation.

[25 C.F.R. §§ 519.1, 522.2(g), 522.6(a)]

Section 14. Tribal Access to Financial Information

A copy of the Tribal gaming operation’s annual audit will be made available for 

review, upon request, to:

[the Tribe’s Business Committee]

OR

[enrolled Tribal member]

 

15 Under 25 C.F.R. § 559.4, a tribe is required to submit an attestation certifying that by issuing the 

facility licenses, the tribe has determined that the construction and maintenance of the gaming facility, 

and the operation of that gaming, is conducted in a manner which adequately protects the environment 

and the public health and safety.

16 The NIGC recommends identifying an official position rather than naming a specific person as the 

agent for service of process.
19

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

OR

[desired Tribal group]

Section 15. License Application Forms17

A. The following notice shall be placed on the Tribe’s license application form for a 

key employee or a primary management official before it 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 granted a gaming license. The information will be 

used by the Tribal gaming regulatory authorities and by the National Indian 

Gaming Commission members and staff who have need for the information in 

the performance of their official duties. The information may be disclosed by 

the Tribe or the NIGC to appropriate Federal, Tribal, State, local or foreign law 

enforcement and regulatory agencies when relevant to civil, criminal or 

regulatory investigations or prosecutions or when pursuant to a requirement 

by a tribe or the NIGC in connection with the issuance, denial, or revocation of a 

gaming license, or investigations of activities while associated with a tribe or a 

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

will result in a tribe being unable to license you for a primary management 

official or key employee position.

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

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

[25 C.F.R. § 556.2(a)]

B. The following additional notice shall be placed on the application form for a key 

employee or a primary management official before it is filled out by an 

applicant:

 

17 The provisions related to the Privacy Act and False Statement notifications must be included in the 

ordinance exactly as written in the NIGC’s regulations.
20

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

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

denying a license or the suspension or revocation of a license. Also, you may be 

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

[25 C.F.R. § 556.3(a)]

Section 16. License Fees

The Tribe may charge a license fee, to be set by the Tribal Gaming Commission, to 

cover its expenses in investigating and licensing key employees and primary 

management officials of the gaming operation.

Section 17. Background Investigations18

A. The Tribe shall perform a background investigation for each primary 

management official and key employee in its gaming operation.19 The 

investigation must be sufficient to allow the Tribal Gaming Commission to make 

an eligibility determination under Section 20 of this ordinance.

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. §§ 522.4(b)(5), 556.4]

B. The Tribal Gaming Commission is responsible for conducting the background 

investigations of primary management officials and key employees. The 

background investigation shall include a check of criminal history records 

information maintained by the Federal Bureau of Investigations.

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. §§ 522.2(h), 522.6(a)]

 

18 Unless a tribal-state compact provides that a state has exclusive jurisdiction over conducting 

background investigations and issuing licenses for class III gaming operations, the background 

investigation provisions apply to both class II and class III gaming.

19 Background investigations, and the related procedures and standards in 25 C.F.R. part 556, are 

required for primary management officials and key employees of a tribe’s gaming operation. A tribe 

may, however, wish to require all employees of its gaming operation to undergo background 

investigations. 
21

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

C. The Tribe shall request fingerprints from each primary management official and 

key employee. The law enforcement agency designated to take fingerprints is 

[name of responsible law enforcement agency].

20

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. §§ 522.2(h), 522.6(a), 556.4(a)(14)]

D. The Tribal Gaming Commission shall request from each primary management 

official and key employee all of the following information:

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

date, place of birth, citizenship, gender and all languages (spoken and/or 

written);

2. 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;

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 paragraph (C)(2) of this 

section;

4. Current business and residential telephone numbers, and all cell phone 

numbers;

5. A description of any existing and previous business relationships with other 

tribes, including any 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;

 

20 A tribe is required to submit the name of the law enforcement agency that will take fingerprints and 

provide a description of the procedures for conducting a criminal history check by a law enforcement 

agency; however, it is not required to include such information in the ordinance. See 25 C.F.R. §§ 

522.2(h), 522.6(a).
22

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

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 of 

disposition, if any; 

9. For each misdemeanor conviction or ongoing misdemeanor prosecution 

(excluding minor traffic violations) within 10 years of the date of the 

application, the name and address of the court involved and the date of 

disposition, if any;

10. For each criminal charge (excluding minor traffic charges), whether or not 

there is a conviction, if such criminal charge is within 10 years of the date of 

the application, and is not otherwise listed pursuant to paragraphs (C)(8) or 

(C)(9) of this Section, the criminal charge, the name and address of the court 

involved, and the date of disposition, if any;

11. 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;

12. A photograph;21

13. Any other information the Tribe deems relevant; and

14. Fingerprints obtained in accordance with procedures adopted by the Tribe

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. §§ 522.2(h), 522.4(b)(5), 522.6(a), 556.4(a)(1)-(14)]

E. When a primary management official or key employee is employed by the Tribe, 

a complete application file, containing all of the information listed in Section 

18(C), shall be maintained.

[25 U.S.C. § 2710(b)(2)(F);

 

21 A current photograph is recommended.
23

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

25 C.F.R. §§ 522.4(b)(5), 556.6(a)]

F. The Tribal Gaming Commission, and its investigators, shall keep confidential the 

identity of each person interviewed in the course of conducting a background 

investigation.

[25 C.F.R. §§ 522.4(b)(5), 556.4(c)]

Section 18. Procedures for Conducting Background Investigations22

A. The Tribal Gaming Commission, or its agent, shall employ or engage an 

investigator to conduct a background investigation of each applicant for a 

primary management official or key employee position. The investigator shall:

1. Verify the applicant’s identity through items such as a social security card, 

driver’s license, birth certificate or passport;

2. Contact each personal and business reference provided in the license 

application, when possible; 

3. Conduct a personal credit check;

4. Conduct a civil history check;

23

5. Conduct a criminal history records check;

24 25

 

22 Most of the actions recommended in this provision are not required to be included in the ordinance. 

However, an ordinance must require that a background investigation be sufficient for a tribe to make an 

eligibility determination for licensing purposes. Additionally, an authorized tribal official must be able to 

review a person’s prior activities, criminal record (if any), and reputation, habits and associations to 

make an eligibility finding for licensing purposes. See 25 U.S.C. § 2710(b)(2)(F)(II); 25 C.F.R. § 556.5.

23 A tribe should look for items of concern including past or outstanding judgments, current liens, past or 

pending lawsuits, and any other information deemed to be relevant.

24 A tribe should check federal, state and tribal court records for any criminal activity or any other 

information deemed to be relevant. 

25 A tribe may want to perform a check of tribal criminal history also. Tribal criminal records are not 

reflected in federal or state databases. 
24

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

6. Based on the results of the criminal history records check, as well as 

information acquired from an applicant’s self-reporting or from any other 

source, obtain information from the appropriate court regarding any past 

felony and/or misdemeanor convictions or ongoing prosecutions within the 

past 10 years;26

7. Inquire into any previous or existing business relationships with the gaming 

industry, including with any tribes with gaming operations, by contacting 

the entities or tribes;

8. Verify the applicant’s history and current status with any licensing agency 

by contacting the agency; and

9. Take other appropriate steps to verify the accuracy of the information, 

focusing on any problem areas noted.

[25 U.S.C. § 2710(b)(2)(F); 25 C.F.R. §§ 522.4(b)(5), 556.5]

Section 19. Investigative Reports

A. A Tribe shall create and maintain an investigative report for each background 

investigation of a primary management official or key employee.

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. §§ 522.4(b)(5), 556.6(b)(1)]

B. Investigative reports shall include all of the following information:

a. Steps taken in conducting the investigation;

b. Results obtained;

c. Conclusions reached; and

d. The basis for those conclusions.

 

26 A tribe may want to perform a check of tribal criminal history also. Tribal criminal records are not 

reflected in federal or state databases.
25

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. §§ 522.4(b)(5), 556.6(b)(1)]

Section 20. Eligibility Determinations

A. Before a license is issued to a primary management official or key employee, an 

authorized Tribal official shall make a finding concerning the eligibility of that 

person for receiving a gaming license by reviewing the applicant’s prior 

activities, criminal record, if any, and reputation, habits and associations.

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. §§ 522.4(b)(5), 556.5(a)]

B. If the authorized Tribal official, in applying the standards adopted in this 

ordinance, determines that licensing the person poses a threat to the public 

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

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

the conduct of gaming, he or she shall not license that person in a key employee 

or primary management official position.

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. § 556.5(b)]

C. Copies of the eligibility determination shall be included with the notice of 

results that must be submitted to the NIGC before the licensing of a primary 

management official or key employee.

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. § 556.6(b)(2)]

Section 21. Notice of Results of Background Investigations

A. Before issuing a license to a primary management official or key employee, the 

Tribal Gaming Commission shall prepare a notice of results of the applicant’s 

background investigation to submit to the NIGC.
26

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

B. The notice of results must be submitted to the NIGC no later than 60 days after 

the applicant begins working for the Tribe.

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. § 556.6(b)(2)]

C. The notice of results shall include the following information:

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

2. The date on which the applicant began, or will begin, working as a primary 

management official or key employee;

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

including:

a. licenses that have previously been denied;

b. gaming licenses that have been revoked, even if subsequently reinstated;

c. every known criminal charge brought against the applicant within the 

last10 years of the date of the application; and

d. every felony offense of which the applicant has been convicted or any 

ongoing prosecution; and

4. A copy of the eligibility determination made in accordance with Section 21.

[25 C.F.R. § 556.6(b)(2)(i)-(iv)]

Section 22. Granting Gaming Licenses27

A. All primary management officials and key employees of the gaming operation 

must have a gaming license issued by the Tribe.

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. § 558.3(c)]

 

27 The procedures and standards of 25 U.S.C. part 558 apply only to licenses for primary management 

officials and key employees. See 25 C.F.R. § 558.1.
27

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

B. The Tribal Gaming Commission28 is responsible for granting and issuing gaming 

licenses to primary management officials and key employees.

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. § 558.1]

C. The Tribal Gaming Commission may license a primary management official or 

key employee applicant after submitting a notice of results of the applicant’s 

background investigation to the NIGC, as required by Section 22.

[25 C.F.R. § 558.3(a)]

D. The Tribal Gaming Commission shall notify the NIGC of the issuance of a license 

to a primary management official or key employee within 30 days of issuance.

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. § 558.3(b)]

E. The Tribe shall not employ an individual in a primary management official or 

key employee position who does not have a license after 90 days of beginning 

work at the gaming operation.

[25 C.F.R. § 558.3(c)]

F. The Tribal Gaming Commission must reconsider a license application for a 

primary management official or key employee if it receives a statement of 

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

objections are received within 30 days of the NIGC receiving a notice of results 

of the applicant’s background investigation.

[25 C.F.R. § 558.2(c)]

G. The Tribal Gaming Commission shall take the NIGC’s objections into account 

when reconsidering a license application.

[25 C.F.R. § 558.2(c)]

 

28 Unless a tribal-state compact assigns responsibility to an entity other than a tribe, the licensing 

authority for class II or class III gaming is a tribal authority. See 25 C.F.R. § 558.1.
28

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

H. The Tribe will make the final decision whether to issue a license to an applicant 

for a primary management official or key employee position.

[25 C.F.R. § 558.2(c)]

I. If the Tribal Gaming 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 25.

[25 C.F.R. § 558.2(d)]

Section 23. Denying Gaming Licenses

A. The tribal Gaming Commission shall not license a primary management official 

or key employee if an authorized Tribal official determines, in applying the 

standards in Section 21 for making a license eligibility determination, that 

licensing the person:

1. Poses a threat to the public interest;

2. Poses a threat to the effective regulation of gaming; or

3. Creates or enhances the dangers of unsuitable, unfair or illegal practices, 

methods and/or activities in the conduct of gaming.

[25 U.S.C. § 2710(b)(2)(F);

25 C.F.R. § 556.5(b)]

B. When the Tribal Gaming 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:

1. Notify the NIGC; and

2. Forward copies of its eligibility determination and notice of results of the 

applicant’s background investigation to the NIGC for inclusion in the Indian 

Gaming Individuals Record System.

[25 C.F.R. § 558.3(d)]
29

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

Section 24. Gaming License Suspensions and Revocations

A. If, after a license is issued to a primary management official or a key employee, 

the Tribe receives notice from the NIGC that the primary management official or 

key employee is not eligible for employment, the Tribal Gaming Commission 

shall do the following:

1. Immediately suspend the license;

2. Provide the licensee with written notice of the suspension and proposed 

revocation; and

3. Provide the licensee with notice of a time and place for a hearing on the 

proposed revocation of the license.29

[25 C.F.R. § 558.4(a)-(c)]

B. Following a revocation hearing, the Tribe shall decide whether to revoke or 

reinstate the license at issue.

[25 C.F.R. § 558.4(e)]

C. The Tribe shall notify the NIGC of its decision to revoke or reinstate a license 

within 45 days of receiving notification from the NIGC that a primary 

management official or key employee is not eligible for employment.

[25 CFR § 558.4(e)]

Section 25. Records Retention

A. The Tribal Gaming Commission shall retain, for no less than three years from 

the date a primary management official or key employee is terminated from 

employment with the Tribe, the following documentation:

 

29 Upon granting a permanent license under an ordinance approved by the Chair of the NIGC, a tribe 

must provide the right to a revocation hearing pursuant to 25 C.F.R. § 558. This section does not limit or 

prohibit a tribe from providing a hearing in other circumstances as well.
30

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

1. Application for licensing;

2. Investigative Reports; and

3. Eligibility Determinations.

[25 C.F.R. § 558.3(e)]

Section 26. Licenses for Vendors30

Vendors of gaming services or supplies, with a value of $25,00031 or more 

annually, must have a vendor license from the Tribal Gaming Commission in 

order to transact business with the Tribal gaming operation. Contracts for 

professional legal and accounting services are excluded from this Section.

Section 27. Submission of a Vendor License Application

In order to obtain a gaming vendor license, the business must complete a 

vendor application and submit to background checks of itself and its principals. 

Principals of a business include those officers, directors, managers, owners, 

partners, and non-institutional stockholders that either own 10% or more of 

the business’ stock or are the 10 largest stockholders, as well as the on-site 

supervisors or managers designated in an agreement with the Tribe, if 

applicable.

Section 28. Contents of the Vendor License Application

A. Applications for gaming vendor licenses must include the following:

1. Name of business, business address, business telephone number(s), federal 

tax identification number (or social security number, if a sole 

proprietorship), main office address (if different from business address), 

 

30 This provision is recommended, but not required by IGRA or the NIGC’s regulations. A tribe may leave 

this optional section in its ordinance or may create a separate vendor licensing regulation.

31 A tribe may wish to evaluate the $25,000 minimum based on the size of the operation and the average 

amount of its contracts.
31

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

any other names used by the applicant in business, and type of service(s) 

applicant will provide;

2. Whether the applicant is a partnership, corporation, limited liability 

company, sole proprietorship or other entity;

3. If the applicant is a corporation, the state of incorporation and the 

qualification to do business in the State of [insert State name], if the gaming 

operation is in a different state then the state of incorporation.

4. Trade name, other names ever used and names of any wholly owned 

subsidiaries or other businesses owned by the vendor or its principals;

5. General description of the business and its activities;

6. Whether the applicant will be investing in, or loaning money to, the gaming 

operation, and if so, how much;

7. A description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those 

businesses;

8. A list of Indian tribes with which the vendor has an existing or previous 

business relationship, including ownership, financial or management 

interests in any non-gaming activity;32

9. Names, addresses and telephone numbers of three (3) business references 

with whom the company has regularly done business for the last five (5) 

years;

10. The name and address of any licensing or regulatory agency with which the 

business has filed an application for a license or permit related to gaming, 

whether or not such license or permit was granted;

11. If the business has ever had a license revoked for any reason, the 

circumstances involved;

 

32 If a vendor has extensive interaction with Indian tribes, a tribe may want to limit this list to the ten 

(10) biggest contracts.
32

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

12. A list of lawsuits to which the business has been a defendant, including the 

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

13. A list of the business’ funding sources and any liabilities of $50,000 or 

more;33

14. A list of the principals of the business, their social security numbers, 

addresses, telephone numbers, titles and percentage of ownership in the 

company; and

15. Any further information the Tribe deems relevant.

B. The following notice shall be placed on the application form for a vendor and its 

principals:

Inclusion of false or misleading information in the vendor application may be 

grounds for denial or revocation of the Tribe’s vendor license.

C. A vendor may submit to the Tribal Gaming Commission a copy of a recent 

license application to another jurisdiction if it contains the information listed 

above. The vendor will be required to submit, in writing, any changes in the 

information since the other license application was filed, and any information 

requested by the Tribe not contained in the other application.

Section 29. Vendor Background Investigations

The Tribal Gaming Commission shall employ or otherwise engage an investigator 

to complete an investigation of a gaming vendor. This investigation shall include, at 

a minimum, the following steps:

A. Verification of the vendor’s business’ incorporation status and qualifications to 

do business in the state where the gaming operation is located;

B. Obtaining a business credit report, if available, and conducting a Better 

Business Bureau check on the vendor;

 

33 A tribe may want to consider naming a higher amount for larger or publicly traded companies.
33

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

C. Conducting a check of the vendor’s business’ credit history;

D. Calling and questioning each of the references listed in the vendor application; 

and

E. Conducting an investigation of the principals of the vendor’s business, including 

facilitating a criminal history check, obtaining criminal history check results, 

obtaining a credit report, and interviewing the personal references listed.

Section 30. Vendor License Fees

The Tribe may charge a license fee, to be set by the Tribal Gaming Commission, to 

cover its expenses in investigating and licensing vendors of the gaming operation.

Section 31. Vendor Background Investigation Reports

The investigator shall complete an investigative report covering each of the steps 

taken in the background investigation of the gaming vendor and its principals, and 

present it to the Tribal Gaming Commission.

Section 32. Vendors Licensed by Recognized Regulatory Authorities

The Tribal Gaming Commission may adopt regulations naming specific licensing 

authorities that it recognizes and may authorize exemptions to the vendor licensing 

process for vendors who have received a license from one of the named regulatory 

authorities.

Section 33. Compliance with Federal Law

The Tribe shall comply with all applicable federal laws, including the Bank Secrecy 

Act, 31 U.S.C. § 5311 et seq.

Section 34. Repeal

To the extent that they are inconsistent with this ordinance, all prior Tribal gaming 

ordinances are hereby repealed.
34

Black: Recommended, but not required

Green: Not required, but, if included, must 

 be consistent with IGRA and the 

 NIGC regulations

Blue: Must be included

Red: Must be included in ordinance 

 or submitted separately

Section 35. Effective Date

This ordinance shall take effect immediately upon its approval by the NIGC Chair.
REVIEWS OF ORDINANCES, RESOLUTIONS, AND ORDINANCE AMENDMENTS

A CHECKLIST OF STATUTORY & REGULATORY REQUIREMENTS

Tribe:

Ordinance or 

Resolution #:

Classes of Gaming:

Amendment? YES NO 

Date Received:

Internal Due Date:

(45 days from 

receipt)

Due Date: (90 

days from 

receipt)

Date of Review: Reviewer:

Date(s) of Previous Ordinance and/or 

Amendment Approval(s), if any: 

I. Submission Requirements 

 Some of this information may be included within the ordinance, but can also be submitted separately. In the 

case of an ordinance amendment, some of this information may have been previously submitted. 

 For most amendments, only verification of authority is needed; however, the hard file of the previously 

approved ordinance should be reviewed. 

Yes N

o

N/A Cite and/or Comments

1. Copy of an ordinance, resolution, or ordinance 

amendment certified as authentic by an authorized 

tribal official. (§ 522.2(a))

To verify authenticity, the following is required:

 A copy of the tribe’s Constitution or other 

governing document.

 Is the signatory to the tribal gaming ordinance 

recognized by the BIA?

 BIA employee called and date:

 Does the body adopting the ordinance have 

authority under the tribe’s governing 

document?

 Name of body:

 What is the quorum requirement? 

 Did the governing body have a quorum to pass 

the ordinance or resolution?

 Quorum when passed:

2. Copies of all tribal gaming regulations. (§ 522.2(d))

(If missing, please obtain.)
3. Copies of all tribal-state compacts, or Secretarial 

procedures, when an ordinance or resolution 

concerns class III gaming. (§ 522.2(e))

(If missing, please obtain.)

4. A description of procedures for resolving disputes 

between the gaming public and the tribe and/or 

the management contractor. (§ 522.2(f))

5. Designation of an agent for service of any official 

determination, order, or notice of violation, as 

required by § 519.1. (§ 522.2(g))

6. Identification of a law enforcement agency that 

will take fingerprints. ( §522.2(h))

7. A description of procedures for conducting a 

criminal history check by a law enforcement 

agency, including a check of criminal history 

records information maintained by the FBI. (§ 

522.2(h))

II. General Content Requirements 

 An asterisk (*) after any item indicates that the language in the ordinance should generally mimic the language 

in either IGRA or NIGC regulations.

 Ordinance amendments need only be reviewed if the amended provisions fall within the scope of IGRA or 

NIGC regulations. If so, check off the sections being amended, but you should also review the ordinance 

provisions related to any recently revised NIGC regulations.

 If you can answer “yes” to any of the following three questions, please notify your supervisor immediately:

 Is the ordinance, or amendment thereof, site-specific?

 Aside from the games already classified in IGRA or NIGC regulations, does the ordinance or amendment 

thereof, define a specific game as a class II or class III game?

 Does the ordinance, or amendment thereof, authorize the tribe to conduct internet gaming?

Yes N

o

N/A Cite and/or Comments

1. While an ordinance is not required to define terms, 

if it does define any terms, are the definitions of 

said terms consistent with those contained in IGRA 

or NIGC regulations? (If not, please note them.)

§ 522.4 Requirements

2. Does the ordinance provide that the tribe will 

retain the sole proprietary interest in, and 

responsibility for, the conduct of the gaming 

operation? (§ 522.4(b)(1))

3. If the tribe authorizes individually-owned gaming, 

does the ordinance meet the requirements of §§ 

522.10 or 522.11? (§ 522.4(b)(1))

4. Does the ordinance require that net gaming 

revenues be used only for one or more of the 

following purposes: 
37

 to fund tribal government operations or 

programs;

 to provide for the general welfare of the tribe 

and its members;

 to promote tribal economic development;

 to donate to charitable organizations; or

 to help fund operations of local government 

agencies? (§ 522.4(b)(2)) *

If the ordinance provides for the use of net 

revenues for any other purpose, please note and 

list the additional purposes.

5. Does the ordinance specify that per capita

payments will only be made pursuant to an 

approved revenue allocation plan? (§ 

522.4(b)(2)(ii))

6. Does the ordinance require that annual, 

independent audits be conducted and the results 

submitted to the NIGC, including the independent 

audits of all gaming-related contracts resulting in 

purchases of supplies, services or concessions 

amounting to more than $25,000 in any year 

(except contracts for professional legal or 

accounting services)? (§ 522.4(b)(3)-

(b)(4))

7. Does the ordinance require the tribe to perform 

background investigations of PMOs and key 

employees according to requirements that are as 

stringent as those in parts 556 and 558? 

(§ 522.4(b)(5))

 

8. Does the ordinance require the tribe to issue a

separate license to each place, facility, or location 

on Indian lands where a tribe elects to allow class 

II or class III gaming? 

(§ 522.4(b)(6); § 522.6(b); 25 USC 2710(b)(1))

(If the ordinance includes any specific facility 

license provisions, please review for, and note, any 

inconsistencies with 25 CFR part 559.)

9. Does the ordinance require the tribe to construct, 

maintain, and operate a gaming facility in a 

manner that adequately protects the environment 

and the public health and safety? (§ 522.4(b)(7))

Part 556 Requirements
38

10. Does the ordinance require that the application 

form for a PMO or key employee contain a Privacy 

Act notice that incorporates the specific language 

set out in 25 CFR § 556.2(a)?

11. Does the ordinance require that the application 

form for a PMO or key employee contain a false 

statement notice that incorporates the specific 

language set out in 25 CFR § 556.3(a)?

12. Does the ordinance require the tribe, as part of the 

background investigation of each PMO and each 

key employee, to request all of the following 

information? 

a) full name, other names used (oral or written), 

SSN(s), birth date, place of birth, citizenship, 

gender, and all languages spoken or written; 

b) currently and for the previous five years: 

business and employment positions held, 

ownership interests in those businesses, 

business and residential addresses, and driver’s 

license number(s); 

c) the names and current addresses of at least 

three personal references, including one 

personal reference who was acquainted with 

the applicant during each period of residence 

listed above; 

d) current business and residence telephone 

numbers; 

e) a description of any existing and previous 

business relationships with Indian tribes, 

including ownership interests in those 

businesses; 

f) a description of any existing and previous 

business relationships with the gaming 

industry generally, including ownership 

interests in those businesses; 

g) 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; 

h) 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; 

i) for each misdemeanor conviction or ongoing 

misdemeanor prosecution (excluding minor 

traffic charges) within 10 years of the date of 

the application, the name and address of the 

court involved and the date and disposition; 
39

j) for each criminal charge (excluding minor 

traffic charges) whether or not there is a 

conviction, if such criminal charge is within 10 

years of the date of the application and is not 

otherwise listed, the criminal charge, the name 

and address of the court involved, and the date 

and disposition; 

k) 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; 

l) a photograph; 

m) any other information a tribe deems relevant; 

and

n) fingerprints consistent with procedures 

adopted by a tribe according to § 522.2(h). 

§ 556.4(a)(1)-(14) *

13. Does the ordinance require that the tribe keep 

confidential the identity of each person 

interviewed in the course of conducting a 

background investigation? (§ 556.4(c))

14. Does the ordinance require that, in order to make a 

finding concerning the eligibility of a PMO or key 

employee for the granting of a gaming license, an 

authorized tribal official shall review a person’s:

 prior activities;

 criminal record, if any; and

 reputation, habits, and associations. (§ 556.5(a)) 

*

15. Does the ordinance require that if, in applying the 

standards adopted in the ordinance, the 

authorized tribal official determines that licensing 

of the person poses a threat to the public interest 

or to the effective regulation of the gaming, or 

creates or enhances the dangers of unsuitable, 

unfair, or illegal practices, methods, and activities 

in the conduct of gaming, the authorized tribal 

official shall not license that person in a PMO or 

key employee position? (§ 556.5(b)) *

16. Does the ordinance require the tribe to maintain 

an individual’s complete application file containing 

all of the information listed in § 556.4(a)(1)-

(a)(14) when it employs the individual in a PMO or 

a key employee position? (§ 556.6(a))
40

17. Does the ordinance require the tribe, before 

issuing a license to a PMO or to a key employee, to 

create and maintain an investigative report on 

each background investigation that includes all of 

the following:

 steps taken in conducting a background 

investigation;

 results obtained;

 conclusions reached; and

 the basis for those conclusions. (§ 556.6(b)(1)) *

18. Does the ordinance require the tribe, before 

issuing a license to a PMO or to a key employee, to 

submit a notice of results of the applicant’s 

background investigation to the Commission no 

later than 60 days after the applicant begins work, 

that includes: 

 the applicant’s name, date of birth, and SSN;

 date on which the applicant began or will begin 

work as a PMO or key employee;

 a summary of the information presented in the 

investigative report, including:

 license(s) that have previously been denied;

 gaming licenses that have been revoked, even 

if subsequently reinstated;

 every known criminal charge brought against 

the applicant within the last 10 years of the 

date of the application; and

 every felony of which the applicant has been 

convicted or any ongoing prosecution.

 a copy of the eligibility determination made 

under § 556.5. (§556.6(b)(2)) *

Part 558 Requirements

19. Does the ordinance require the tribe to reconsider 

a license application for a PMO or key employee if, 

within 30 days of the NIGC receiving a notice of 

results, the NIGC provides the tribe with a 

statement itemizing objections to the issuance of 

such license? (§ 558.2(c))

20. Does the ordinance require the tribe to take NIGC 

objections into account when reconsidering a 

license application? (§ 558.2(c))
41

21. Does the ordinance provide that, if the tribe has 

issued the license before receiving the NIGC’s 

statement of objection(s), a notice and hearing 

shall be provided to the licensee as required by § 

558.4? (§ 558.2(d))

22. Does the ordinance provide that the tribe may 

license a PMO or key employee after it has 

submitted a notice of results to the NIGC? (§ 

558.3(a))

23. Does the ordinance require the tribe to notify the 

NIGC of the issuance of a license to a PMO or key 

employee within 30 days of its issuance? (§ 

558.3(b))

24. Does the ordinance prohibit the tribe from 

employing an individual in a PMO or key employee 

position who does not have a license after 90 days? 

(§ 558.3(c))

25. Does the ordinance require a tribe that does not 

license an applicant to:

 notify the NIGC; and

 forward copies of its eligibility determination 

and notice of results to the NIGC for inclusion in 

the Indian Gaming Individuals Record System? 

(§ 558.3(d))

26. Does the ordinance require the tribe to retain the 

following documentation for no less than three 

years from the date of a PMO’s or key employee’s 

termination of employment:

 applications for licensing; 

 investigative reports; and

 eligibility determinations? (§ 558.3(e)) *

27. Does the ordinance require the tribe, upon receipt 

of notification from the NIGC that a PMO or a key 

employee is not eligible for employment, to 

immediately suspend the license and provide the 

licensee with written notice of suspension and 

proposed revocation, including notifying the 

licensee of a time and a place for a hearing on the 

proposed revocation of the license? (§ 558.4(b)-

(c)).

28. Does the ordinance provide that the right to a 

revocation hearing vests only upon receipt of a 

license granted under an ordinance approved by 

the NIGC Chair?(§ 558.4(d)).
42

29. Does the ordinance require the tribe to decide to 

revoke or reinstate a license after a revocation 

hearing? (§ 558.4(e))

30. Does the ordinance require the tribe to notify the 

NIGC of its decision to revoke or to reinstate a 

license within 45 days of receiving notification 

from the NIGC that a PMO or key employee is not 

eligible for employment? (§ 558.4(e)).