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April 28, 2023

VIA EMAIL

Chairwoman Glenda Nelson

Estom Yumeka Maidu Tribe of the Enterprise Rancheria

2133 Monte Vista Avenue

Oroville, CA 95966

Re: Estom Yumeka Maidu Tribe of the Enterprise Rancheria Amended Gaming Ordinance

Dear Chairwoman Nelson:

This letter responds to the February 21, 2023 submission on behalf of the Estom Yumeka Maidu 

Tribe of the Enterprise Rancheria ("Tribe") informing the National Indian Gaming Commission that the 

Tribe amended its gaming ordinance. The amendments to the tribal gaming code were intended to reflect 

the Tribe’s current practices and needs and recent regulatory changes.

Thank you for bringing these amendments to our attention. The amended ordinance, as noted 

above, is approved as it is consistent with the requirements of the Indian Gaming Regulatory Act and 

NIGC's regulations. If you have any questions or require anything further, please contact Rachel Hill at 

(918) 581-6214.

Sincerely,

E. Sequoyah Simermeyer

Chairman

CC: John A. Maier, Attorney, Maier Pfeffer Kim Geary & Cohen, LLP
Enterprise Rancheria

Estom Yumeka Maidu Tribe

 Ph: (530) 532-9214 

2133 Monte Vista Ave Fax: (530) 532-1768

Oroville, CA 95966 Email: info@enterpriserancheria.org

GENERAL COUNCIL RESOLUTION NO.: GC-23-01

RESOLUTION TO: (i) APPROVE THE SECOND AMENDED AND RESTATED GAMING ORDINANCE, 

(ii) DELEGATE AND GRANT THE TRIBAL COUNCIL THE AUTHORITY TO APPROVE CHANGES TO 

THE ORDINANCE AS MAY BE REQUIRED FOR THE ORDINANCE TO BE APPROVED BY THE NIGC 

CHAIR, AND (iii) AUTHORIZE THE TRIBE’S LEGAL COUNSEL TO SUBMIT THE ORDINANCE TO 

THE NIGC FOR APPROVAL.

WHEREAS: The Estom Yumeka Maidu Tribe of the Enterprise Rancheria is a federally recognized Indian 

tribe listed in the Federal Register as the Enterprise Rancheria of Maidu Indians of California (the 

“Tribe”) and organized pursuant to the Constitution of the Enterprise Rancheria Estom Yumeka 

Maidu, as amended, revised and ratified on June 4, 2016 (the “Constitution”); and

WHEREAS: Article IV, Section 3 of the Constitution provides that the governing body of the Tribe is the 

General Council; and

WHEREAS: Article VI, Section 3 provides that the Tribal Council has the power to promulgate and pass 

legislative rules and regulations; and

WHEREAS: Article VI, Section 3 of the Constitution specifies that the official gaming related ordinances of 

the Tribe shall be approved by the General Council; and

WHEREAS: The Tribe owns and operates a class III gaming facility, the Hard Rock Hotel & Casino 

Sacramento at Fire Mountain (the “Casino”), on its Indian lands pursuant to the Indian Gaming 

Regulatory Act, 25 U.S.C. §§ 2701 et seq. (“IGRA”), including the class III gaming procedures 

issued by the Secretary of the Interior on August 12, 2016 (the “Secretarial Procedures”) and the 

Amended and Revised Gaming Ordinance No. 2013-01 (the “2013 Ordinance”) approved on 

August 13, 2013, by the Chairwoman of the National Indian Gaming Commission (“NIGC”); and

WHEREAS: The 2013 Ordinance established the Enterprise Rancheria Gaming Commission (the “ERGC”) as 

a non-political and independent arm of the Tribal government with jurisdiction over the regulation 

of the Tribe’s gaming operations and related facilities and enterprises; and 

WHEREAS: The ERGC has identified the need to amend and update the 2013 Ordinance to better reflect 

ERGC’s regulatory practices and structure and changes made to the NIGC’s regulations since 

2013, and to address other issues; and 
WHEREAS: In consultation with the Tribal Council and the Tribe’s legal counsel, the ERGC has prepared an 

amended and restated gaming ordinance (the “Second Amended and Restated Gaming 

Ordinance” or “Ordinance”) that conforms with the Secretarial Procedures and updated 

regulations promulgated by the NIGC pursuant to IGRA; and

WHEREAS: The Second Amended and Restated Gaming Ordinance and other documentation required under 

25 C.F.R. Part 522 must be submitted to the NIGC for approval by the Chairman of the NIGC 

before it takes effect under IGRA; and

WHEREAS: The NIGC may request minor changes to the Second Amended and Restated Gaming Ordinance 

to ensure that the Ordinance conforms to IGRA before the NIGC Chairman approves the 

Ordinance. 

NOW, THEREFORE BE IT RESOLVED THAT the General Council hereby approves the Second 

Amended and Restated Gaming Ordinance.

BE IT FURTHER RESOLVED THAT the General Council hereby delegates and grants the Tribal 

Council the authority to approve changes to the Second Amended and Restated Gaming Ordinance as may be 

required for Ordinance to be approved by the NIGC Chairman.

BE IT FURTHER RESOLVED THAT the General Council hereby authorizes the Tribe’s legal 

counsel, Maier Pfeffer Kim Geary & Cohen, LLP, to submit the Second Amended and Restated Gaming 

Ordinance and other documentation as required to the NIGC for approval. 

CERTIFICATION

We the undersigned to hereby certify that the foregoing resolution GC-23-01was duly adopted by the General 

Membership on the 11th day of February 2023, at a General Council meeting at which a quorum of the 

registered voters was present by a vote of 106 for, 0 opposed, and 1 abstaining, and that said Resolution has not 

been rescinded or amended in any way.

_____________________________________

Glenda Nelson, Tribal Chairperson

ATTEST:

_____________________________________

Cindy Smith, Tribal Secretary
TABLE OF CONTENTS

CHAPTER ONE. AUTHORITY, PURPOSE, AND SHORT TITLE....................................1

CHAPTER TWO. DEFINITIONS...........................................................................................1

CHAPTER THREE. GENERAL PROVISIONS .......................................................................5

CHAPTER FOUR. GAMING COMMISSION. .....................................................................6

CHAPTER FIVE. FACILITY AND OPERATIONAL REQUIREMENTS..............................11

CHAPTER SIX. LICENSING AND BACKGROUND INVESTIGATIONS .....................14

CHAPTER SEVEN. MISCELLANEOUS PROVISIONS ...................................................30
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 1

Effective as of ________, 2023

ESTOM YUMEKA MAIDU TRIBE

OF THE

ENTERPRISE RANCHERIA

SECOND AMENDED AND RESTATED GAMING ORDINANCE

Effective Date:___________, 2023

CHAPTER ONE

AUTHORITY, PURPOSE, AND SHORT TITLE

SECTION:

1.1 Authority. This Ordinance is enacted by the Tribal Council and approved by 

the General Council pursuant to Article VI, Section 3(r) of the Constitution of the Enterprise 

Rancheria Estom Yumeka Maidu, as amended and ratified on June 4, 2016 (the 

“Constitution”), and the inherent sovereign authority of the Tribe.

1.2 Purpose. This Ordinance is enacted to govern and regulate the operation of class 

II and class III gaming on the Tribe’s Indian lands; 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.

1.3 Short Title. This Statute shall be known and cited as the “Enterprise Rancheria 

Second Amended and Restated Gaming Ordinance.”

CHAPTER TWO

DEFINITIONS

SECTION:

2,1 Definitions. The following terms shall have the same meaning and effect as those 

same terms are defined in IGRA and the NIGC’s regulations, 25 C.F.R. §§ 500 et seq., if they are 

defined in IGRA and the NIGC’s regulations:

Class II gaming means those gaming activities as defined as class II gaming in IGRA at 

25 U.S.C. § 2703(7) and the NIGC’s regulations at 25 C.F.R. § 502.3.

Class III gaming means those gaming activities as defined as class III gaming in IGRA at 

25 U.S.C. § 2703(8) and the NIGC’s regulations at 25 C.F.R. § 502.4.

Facility license means a separate license issued by the Tribe to each place, facility or 
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 2

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

FBI means the Federal Bureau of Investigation, an agency of the United States 

Department of Justice. 

Financial source means any person or entity who, directly or indirectly, extends 

financing to the gaming facility or gaming operation as defined in the Secretarial 

Procedures.

Gaming Commission means the Enterprise Rancheria Gaming Commission as 

established herein to perform regulatory oversight of gaming conducted pursuant to IGRA 

and to monitor compliance with tribal, federal, and applicable state regulations.

Gaming enterprise means the entities through which the Tribe conducts, regulates, 

and secures gaming on Indian lands within the Tribe’s jurisdiction pursuant to IGRA.

Gaming operation means 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, or by a management contractor. 

Gaming resources means any goods or services provided or used in connection with 

gaming activities, whether exclusively or otherwise, including, but not limited to, 

equipment, furniture, class III slot machines, and ancillary equipment, implements of class 

III gaming activities such as playing cards, furniture designed primarily for class III gaming 

activities, maintenance or security equipment and services, and class III gaming consulting 

services, or as otherwise defined under the Secretarial Procedures. “Gaming resources” 

does not include professional accounting and legal services.

General Council means the governing body of the Tribe comprised of duly

enrolled lineal members of the Tribe who are eighteen (18) years or older pursuant to 

Article IV and Article V of the Constitution.

IGRA means the Indian Gaming Regulatory Act, 25 U.S.C.§§ 2701 et seq., and

any and all regulations promulgated pursuant thereto.

Indian lands means:

(a) Land within the limits of an Indian reservation; or

(b) Land over which an Indian tribe exercises governmental power and that is either:

(1) Held in trust by the United States for the benefit of any Indian tribe or 

Individual; or
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 3

Effective as of ________, 2023

(2) Held by an Indian tribe or individual subject to restriction by the United States 

against alienation.

Key Employee means:

(a) Any person who performs one or more of the following functions for the gaming 

operation:

(1) Bingo caller;

(2) Counting room supervisor;

(3) Chief of security;

(4) Floor manager;

(5) Pit boss;

(6) Dealer;

(7) Croupier;

(8) Approver of credit; or

(9) Custodian of gaming systems as defined in 25 C.F.R. §547.2 and similar class 

III systems, gaming cash or gaming cash equivalents, or gaming system 

records;

(10) Custodian of surveillance systems or surveillance system records.

(b) Any person authorized by the gaming operation for unescorted access to restricted 

areas designated as restricted areas by the Gaming Commission;

(c) If not otherwise licensed as a key employee or primary management official, the 

four (4) persons most highly compensated by the gaming operation.

(d) Any other employee of the gaming enterprise designated by the Tribe as a key 

employee in this Ordinance.

Licensee means a tribally owned class II or class III gaming operation, or a person 

licensed by the Gaming Commission as a Key Employee or a Primary Management 

Official, gaming vendor, or vendor representative under the provisions of this Ordinance;
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 4

Effective as of ________, 2023

Management Contract means 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.

Net revenues means gross gaming revenues of an Indian gaming operation less:

(a) Amounts paid out as, or paid for, prizes; and

(b) Total gaming-related operating expenses, including all those expenses of the 

gaming operation commonly known as operating expenses and non-operating 

expenses consistent with professional accounting pronouncements, excluding 

management fees.

NIGC means the National Indian Gaming Commission established pursuant to IGRA, 

25 U.S.C. § 2704.

Person means any natural person or entity, including, but not limited to, corporations, 

gaming resource suppliers, vendors, partnerships, and trusts.

Primary management official means:

(a) Any person having management responsibility for a management contract;

(b) Any person who has authority:

(1) To hire and fire employees of the gaming operation; or

(2) To establish policy for the gaming operation; or

(3) To supervise a key employee of the gaming operation.

(c) The chief financial officer or a position with similar duties to a chief financial 

officer.

(d) The general manager or a position with duties similar to a general manager.

(e) Any other employed management official of the gaming enterprise designated by 

the Tribe as a primary management official in this Ordinance.

Secretarial Procedures means the procedures prescribed for the Tribe by the 

Secretary of the Interior on August 12, 2016, pursuant to 25 U.S.C. § 2710(d)(7), as may be 

amended, under which the Tribe may conduct class III gaming on its Indian lands in lieu of a 

Tribal-State compact. If the Secretarial Procedures are replaced with a Tribal-State compact, 
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 5

Effective as of ________, 2023

then Secretarial Procedures means that Tribal-State compact and any amendments thereto.

State means the State of California.

State Gaming Agency means the entity or entities authorized to investigate, approve, 

regulate and license gaming pursuant to State law under the Secretarial Procedures or, 

alternatively, if the Tribe enters into a Memorandum of Understanding with the Chair of the 

NIGC pursuant to section 8.2(e) of the Secretarial Procedures, refers to the NIGC. 

Tribal court means any court established by the Tribe to hear disputes of civil or

criminal nature relating to the jurisdiction of the Tribe, pursuant to Article VIII of the

Constitution.

Tribal Council means the legislative body of the Tribe which consists of seven (7) 

members, each elected by the General Council for a term of four (4) years, pursuant to

Article VI of the Constitution.

Tribal member means any duly enrolled member of the Tribe who meets all

membership requirements pursuant to Article III of the Constitution.

Tribe means the Estom Yumeka Maidu Tribe of the Enterprise Rancheria, a federally 

recognized Indian tribe listed in the Federal Register as the Enterprise Rancheria of Maidu 

Indians of California.

CHAPTER THREE

GENERAL PROVISIONS

SECTION:

3.1 Gaming Authorized. Class II and class III gaming are hereby authorized to 

be conducted on the Tribe’s Indian lands, if such gaming is conducted in accordance with 

this Ordinance, IGRA, the NIGC’s regulations, and any other applicable laws or regulations. 

Any class III gaming activities conducted under this Ordinance are limited to those gaming 

activities authorized under Secretarial Procedures.

3.2 Ownership of Gaming. The Tribe shall have the sole proprietary interest in

and responsibility for the conduct of class II and class III gaming activities authorized by

this Ordinance.

3.3 Use of Net Gaming Revenues. Net revenues from gaming shall be used only 

for the following purposes: 

(a) To fund Tribal government operations and programs;
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 6

Effective as of ________, 2023

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

(c) To promote Tribal economic development; 

(d) To donate to charitable organizations; or 

(e) To help fund local government agencies.

3.4 Per Capita Payments. 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--

(a) The Tribe has prepared a plan to allocate revenues to one or more of the five 

uses authorized by Section 3.3 of this Chapter;

(b) The plan is approved by the Secretary of the Interior as adequate, particularly 

with respect to the uses regarding funding for tribal governmental operations 

or programs and for promoting tribal economic development; 

(c) 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

(d) The per capita payments are subject to federal taxation and the Tribe notifies 

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

CHAPTER FOUR

GAMING COMMISSION

SECTION:

4.1 Establishment of the Gaming Commission. The Tribe hereby establishes the 

Enterprise Rancheria Gaming Commission as a non-political and independent unit of Tribal 

government for the exclusive purpose of regulating and monitoring the gaming operation on 

behalf of the Tribe. No member of the Tribal Council may serve on the Gaming Commission,

whose purpose is regulatory, not managerial. By separate ordinance, statute, or resolution, the 

Tribal Council shall establish the number of members of the Gaming Commission, the length 

and staggering of terms for such members, staffing, quorum requirements, compensation, and 

related organizational matters for the Gaming Commission.

4.2 Role of Gaming Commission. The Gaming Commission shall have jurisdiction 

over the regulation of the Tribe’s gaming operations and related facilities and enterprises. The 
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 7

Effective as of ________, 2023

Gaming Commission shall 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 administer background investigations as part of the 

licensing process. The Gaming 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 Gaming Commission shall have unrestricted access to all areas of the 

gaming operation, including all of the gaming operation’s books, records, databases,

communications, software, computers, mobile phones and other electronic and storage devices 

related to the gaming operation. The Gaming Commission shall have authority to take 

enforcement actions, including suspension or revocation of an individual gaming license, when 

appropriate.

4.3 Background Checks on Gaming Commission. The Tribe, through its human 

resources department, shall conduct, or cause to be conducted, a background investigation on 

each prospective member of the Gaming Commission. Each prospective member of the Gaming 

Commission shall satisfy the eligibility standards set forth for primary management officials and 

key employees found in Chapter Six of this Ordinance.

4.4 Powers and Responsibilities of Gaming Commission. The Gaming 

Commission shall:

(a) Conduct background investigations, or cause such investigations to be conducted, 

for, at a minimum, primary management officials and key employees;

(b) Review and approve all investigative work conducted in connection with the 

background investigations of primary management officials and key employees;

(c) Create and maintain investigative reports based on the background investigations 

of primary management officials and key employees;

(d) Obtain and process fingerprints;

(e) Make licensing eligibility determinations;

(f) Submit a notice of results to the NIGC of the background investigations done for 

each primary management official and key employee applicant;

(g) Issue gaming licenses to primary management officials and key employees of the 

gaming operation if warranted by the eligibility determination;

(h) Establish standards for licensing Tribal gaming facilities; 

(i) Issue gaming licenses to Tribal gaming facilities;
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 8

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(j) 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;

(k) Ensure compliance with all Tribal, state, and federal laws, rules and regulations 

regarding Indian gaming;

(l) Investigate any suspicion of wrongdoing associated with any gaming activities;

(m) Hold hearings on patron complaints, in accordance with procedures established in 

this Ordinance and the Tribe’s gaming regulations, or the Secretarial Procedures;

(n) Comply with any and all reporting requirements under IGRA, the NIGC’s 

regulations, the Secretarial Procedures and any other applicable law; 

(o) Promulgate and issue regulations necessary to comply with applicable internal 

control standards; 

(p) Promulgate and issue regulations on the levying of fees and/or taxes associated 

with gaming license applications; 

(q) 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 state gaming regulations, if applicable;

(r) Maintain a list of persons not allowed to game in the Tribe’s gaming facilities in 

order to maintain the integrity of the gaming operation;

(s) Maintain a list of persons who have voluntarily agreed to be excluded from the 

Tribal gaming facilities, and create regulations for enforcing the exclusions;

(t) 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;

(u) Create a list of regulatory authorities that conduct background investigations of, 

and license, vendors who are recognized as trustworthy;

(v) Draft regulations exempting vendors from the licensing and/or background 

investigation requirements if they have received a license from a recognized 

regulatory authority;

(w) Perform such other duties that the Gaming Commission deems appropriate for the 

proper regulation of the Tribal gaming operation; and
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(x) 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.

4.5 Process for Adopting, Amending and Repealing Regulations. Before 

adopting, amending and repealing regulations, the Gaming Commission shall give notice of any 

such proposed action to the Tribal Council, the gaming operation and all other persons whom the 

Gaming 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 Gaming 

Commission.

4.6 Confidentiality. The Gaming Commission shall ensure that all records and 

information obtained as a result of an employee background 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 may 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. The confidentiality requirements 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 Gaming Commission and 

staff in the performance of their official duties.

4.7 Code of Ethics and Conflicts of Interests. Members of the Gaming 

Commission shall be free from corruption, undue influence, compromise, and conflicting 

interests in the conduct of their duties. Prior to accepting a position as a member of the Gaming 

Commission, members shall agree to be bound by the following principles: 

(a) Members shall not be employed by, or have any direct or indirect pecuniary 

interest in, any entity that is a party to a management contract or other gamingrelated contract with the Tribe.

(b) Members shall not be employed by any gaming operation or related facilities.

(c) Members shall not participate in the approval, denial or renewal of any 

application for a gaming license by, or participate in the revocation or suspension 

of, any license granted hereunder to any parent, spouse, sibling, or children of 

such member.

(d) Members shall not engage in any business, transaction or professional activity, 

incur any obligation of any nature, or hold financial interests which conflicts with 

the proper discharge of his or her official duties as regulators.

(e) Members shall not solicit or accept any gift or other item of monetary value, 

including complimentary items or services, from any person or entity seeking 
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 10

Effective as of ________, 2023

official action or inaction from, doing business with, or conducting activities 

regulated by the Gaming Commission, or whose interests may be substantially 

affected by the performance or nonperformance of the members’ duties. 

(f) Members shall not use their positions for private gain. 

(g) Members shall act impartially, in accordance with applicable laws, and shall not 

give preferential treatment to any private organization or individual, including to 

any persons related to the members.

(h) Members shall not engage in outside employment or activities, including seeking 

or negotiating future employment, which conflict with their official duties and 

responsibilities.

(i) Members shall disclose any real or apparent financial or personal conflicts. If 

there is a real conflict or the appearance of one, the member shall not take part in

any decision related to the conflict.

4.8. Participation in Gaming Prohibited. 

(a) No primary management official or employee of the gaming operation shall 

participate as a player in any class II or class III games conducted by the Tribe in 

the department where they are employed. The Gaming Commission shall be 

responsible for (with Tribal Council approval) creating regulations for the 

restrictions on use of class II and class III gaming activities by employees of the 

gaming operation. 

(b) No employee of the gaming operation or Gaming Commission who is employed 

in the surveillance and compliance areas may participate in any class II or class III 

games.

(c) No blackjack, floor person, pit boss, dealer, shift supervisor, or trainer shall 

participate in the play of blackjack or any other house banked table game. 

(d) No primary management official, employee of the gaming operation or member 

of the Gaming Commission may participate in any class II or class III marketing 

or promotional programs offered by the gaming operation. 

(e) No member of the Gaming Commission may participate in any of the Tribe’s

games of chance, whether class II or class III.
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 11

Effective as of ________, 2023

CHAPTER FIVE

FACILITY AND OPERATIONAL REQUIREMENTS

SECTION:

5.1 Audit. The Tribe shall cause to be conducted independent audits of gaming 

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

conform to generally accepted auditing standards and be conducted by a recognized independent 

accounting firm. 

(a) All gaming relating contracts that result in the purchase of supplies, services, or 

concessions in excess of $25,000 in any year (except contracts for professional 

legal and accounting services) shall be specifically included within the scope of 

the audit conducted under this section.

(b) 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.

5.2 Environment and Public Health and Safety. 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.

(a) No person under the age of twenty-one (21) shall be present in any area in which 

any class III gaming activities are being conducted unless that person is en route

to a non-gaming area of the facility or is employed at the gaming facility in a 

capacity other than as a primary management official or key employee.

(b) The possession of firearms by any person in the gaming facility is prohibited at all 

times, except for federal, state, tribal, or local law enforcement or security 

personnel authorized by tribal law and federal or state law to possess firearms at 

the gaming facility.

(c) The Gaming Commission 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.

5.3. Facility Licenses. 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.

(a) Issuance of Gaming Facility License. The Gaming Commission is responsible for 

issuing new or renewed facility licenses to each place, facility or location in 

compliance with this section, and any additional requirements specified under the 
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 12

Effective as of ________, 2023

NIGC’s regulations at 25 C.F.R. Part 559 or the Secretarial Procedures. Each 

license shall be reviewed and renewed every two (2) years provided that the 

facility remains in compliance with the standards set forth herein.

(b) The Gaming Commission shall require that a facility license checklist be 

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

gaming place, facility or location.

(c) The 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:

(1) 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, NIGC Office of General Counsel and Department 

of the Interior Solicitor Offices’ Indian lands legal opinions, judicial 

decisions and any other applicable law.

(d) The 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.

(e) Notice in Advance of Initial Facility License. The Tribe or the Gaming 

Commission shall submit to the Chair of the NIGC notice that the initial facility 

license is under consideration at least 120 days before opening any new place, 

facility, or location on Indian lands where class II and/or class III gaming will 

occur. The Gaming Commission may request an expedited 60-day review of the 

notice. The notice shall contain the following:

(1) The name and address of the property; 

(2) A legal description of the property;

(3) The tract number for the property as assigned by the Bureau of Indian 

Affairs, Land Title and Records Offices, or, if not maintained by the 

Bureau of Indian Affairs, Department of the Interior, a copy of the trust or 

other deed(s) to the property or an explanation as to why such 

documentation does not exist;

(4) If not maintained by the Bureau of Indian Affairs, Department of the 

Interior, documentation of the property’s ownership; and

(5) A certification that the property constitutes “Indian lands,” as set forth 

above in paragraph (c)(1) of this section. 
Enterprise Rancheria Second Amended and Restated Gaming Ordinance Page 13

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(f) Notice of Issuance. The Gaming Commission shall submit to the Chair of the 

NIGC a copy of each newly issued or renewed facility license within 30 days of 

issuance. The license shall be accompanied by an attestation certifying that by 

issuing the facility license, the Gaming Commission has determined that the 

construction and maintenance of the gaming facility, and the operation of that 

gaming, is conducted in accordance with the laws, resolutions, codes, policies, 

standards or procedures applicable to the gaming facility and in a manner which 

adequately protects the environment and the public health and safety. 

The Gaming Commission shall also submit to the State Gaming Agency a copy of 

each newly issued or renewed facility license for a gaming facility that offers 

class III gaming within 20 days after issuance of the license or renewal in 

accordance with the Secretarial Procedures and post the facility license in a 

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

(g) Renewals. Each subsequent application for the renewal of such facility license 

shall identify any changes or additions to the legal description of the property and 

applicable environmental, health and safety standards, and include current 

certifications of compliance therewith. The Gaming Commission shall only issue 

such licenses if the corresponding applications include the required information 

and certifications and such further conditions as the Gaming Commission shall 

have specified.

5.4 Service of Process. The Tribe designates the Tribe’s Chairperson as the agent for 

service of any official determination, order, or notice of violation.

5.5 Procurement. All purchases of services or supplies shall comply with the 

tribally adopted procurement policies and procedures for the gaming operation and related 

facilities.

5.6 Indian Preference. Where applicable, any contract pertaining to the gaming 

operation must make provisions for complying with any Indian hiring preferences adopted by the 

Tribe.

5.7 Patron Disputes. Patrons with disputes over the play or operation of any game, 

including any refusal by the gaming operation to pay to a patron any alleged winnings from any 

gaming activities, shall have the right to request resolution of the dispute by the Gaming 

Commission pursuant 25 C.F.R. § 522(f) and section 10.0 of the Secretarial Procedures, and in 

accordance with regulations promulgated by the Gaming Commission at ERGC III-004 as may 

be amended from time to time.

5. 8. Tribal Minimum Internal Control Standards. The Tribe shall adopt and 

implement minimum internal control standards for the conduct of class II gaming activities to the 

extent such standards are required under federal law and for the conduct of class III gaming 
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activities to the extent such standards are required under the Secretarial Procedures. 

CHAPTER SIX

LICENSING AND BACKGROUND INVESTIGATIONS

SECTION:

6.1 General Licensing Requirements. The following persons and entities are 

required to be licensed by the Gaming Commission:

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

employed at any class II and/or class III gaming enterprise operated under this 

Ordinance;

(b) Vendors of gaming services or supplies (other than for professional legal and 

accounting services) with a value of $25,000 or more, including, but not limited 

to, vendors identified as gaming resource suppliers under the Secretarial 

Procedures; and

(c) Any financial source that is not otherwise excluded from licensing at the 

discretion of the Gaming Commission pursuant to the Secretarial Procedures.

6.2 License Application Forms.

(a) Privacy Notice. The following notice shall be placed on the license application 

form for a key employee or a primary management official 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 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 
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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.

(b) Notice Regarding False Statements. The following additional notice shall be 

placed on the application form for a key employee or primary management 

official before it is filled out by an applicant.

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).

6.3 License Fees. The Gaming Commission shall establish a fee schedule for 

licenses to cover its expenses in investigating and licensing key employees and primary 

management officials of the gaming operation. Application fees shall be nonrefundable, 

regardless of whether or not a license is issued. Such fees shall be made payable to the Tribe.

6.4. Fingerprints. The Tribe shall perform a background investigation for each primary 

management official and key employee of the gaming operation. The Tribe shall request 

fingerprints from each primary management official and key employee. 

6.5 Background Investigations.

(a) Investigations Required. The Tribe shall perform a background investigation for 

each primary management official and key employee in its gaming operation. 

The Gaming Commission is responsible for conducting the background 

investigations of primary management officials and key employees.

(b) Conducting Investigations. The Gaming Commission shall conduct or cause to be 

conducted an investigation sufficient to make an eligibility determination finding 

an applicant eligible for a gaming license under this Ordinance. The Gaming 

Commission shall request from each 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 driver’s license numbers;
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(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 (b)(2) of 

this section;

(4) Current business and residence telephone numbers, and all cell phone 

numbers;

(5) A description of any existing and previous business relationships with

Indian tribes, including ownership interests in the businesses;

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

gaming industry generally, including ownership interests in the 

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, if any;

(10) 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 paragraph 

(b)(8) or (b)(9) of this section, the criminal charge, the name and address 

of the court involved and the date and 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 current photograph;

(13) Fingerprints obtained in accordance with procedures adopted by the Tribe 

pursuant to 25 C.F.R. § 522.2(h); and

(14) Any other information the Tribe deems relevant.
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(c) Retention of Information. When a primary management official or key employee 

is employed by the Tribe, a complete application file, containing all of the 

information listed in paragraph (b) of this section, shall be maintained.

(d) Confidentiality. The Gaming Commission and its investigators shall keep 

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

background investigation. 

6.6 Procedures for Conducting Background Investigations. The Gaming 

Commission shall employ or engage an investigator to conduct a background investigation of 

each applicant for a primary management official or key employee position. The investigation 

must be sufficient to allow the Gaming Commission to make an eligibility determination under 

Section 6.8 of this Chapter. The investigator shall:

(a) Verify the applicant’s identity through items such as a social security card, 

driver’s license, birth certificate or passport;

(b) Contact each personal and business reference provided in the license application, 

when possible;

(c) Conduct a personal credit check;

(d) Conduct a civil history check for past or outstanding judgments, current liens, past 

or pending lawsuits, and any other information deemed to be relevant;

(e) Conduct a criminal history records check by submitting the applicant’s 

fingerprints to the NIGC or to another law enforcement agency for forwarding to 

the FBI to perform a criminal history records check utilizing the FBI’s data base;

(f) 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;

(g) 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;

(h) Verify the applicant’s history and current status with any licensing agency by 

contacting the agency; and

(i) Take other appropriate steps to verify the accuracy of the information, focusing 

on any problem areas noted.
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6.7 Investigative Reports

(a) The Tribe shall create and maintain an investigative report for each background 

investigation of a primary management official or key employee. Investigative 

reports shall include all of the following information:

(1) Steps taken in conducting the background investigation;

(2) Results obtained;

(3) Conclusions reached; and

(4) The basis for those conclusions.

(b) Prior Results. If, in the course of a background investigation, the Gaming 

Commission discovers that applicant has a notice of results on file with the NIGC 

from a prior investigation and the Gaming Commission has access to the earlier 

investigative materials, the Gaming Commission may rely on those materials and 

update the investigation and investigative report to be provided to the NIGC under 

Section 6.8 of this Chapter.

6.8 Eligibility Determinations.

(a) Before a license is issued to a primary management official or key employee, the 

Gaming Commission 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. A license may not 

be issued unless the Gaming Commission is satisfied the applicant is a person of 

good character, honesty and integrity. In making findings concerning the 

eligibility of license applicants, the Gaming Commission shall take into 

consideration any of the following circumstances:

(1) If 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 Commission;

(2) If the prior activities, criminal record, reputation, habits and associations 

of the person indicate that the person may be a threat to the public interest 

or to the effective regulation and control of gaming; 

(3) If 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;
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(4) If the applicant has violated, failed, or refused to comply with the 

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

provision of this Ordinance or the Secretarial Procedures, or possesses 

knowledge that such violation has occurred upon any premises occupied 

or operated by any such person or over which he or she has/had substantial 

control;

(5) If the applicant knowingly caused, aided, abetted, or conspired with 

another to cause any person or entity to violate any of the laws of any 

jurisdiction, the provisions of this Ordinance or the Secretarial Procedures;

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

concealment, or through inadvertence or mistake;

(7) If 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) If the applicant is subject to current prosecution, pending charges, or a 

conviction under appeal for any of the offenses listed above. Upon 

request of the applicant, the Gaming Commission may defer decision on 

the application pending the results of such prosecution or appeal;

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

gaming regulatory authority in any jurisdiction or has ever had a gaming 

license issued by any State, Tribe or foreign gaming regulatory agency 

suspended, revoked or denied; or

(10) If the applicant has failed to provide any information requested by the 

Gaming Commission within fourteen (14) days of the request for the 

information.

(b) If the Gaming Commission, 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 dangers of unsuitable, 

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

Gaming Commission shall not license that person in a key employee or primary 

management official position.
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(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.

6.9 Notice of Results of Background Investigations.

(a) Before issuing a license to a key employee or primary management official, the 

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

background investigation to submit to the NIGC. 

(1) The notice of results must be submitted to the appropriate Regional Office 

of the NIGC no later than 60 days after the applicant begins working for 

the Tribe.

(b) 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 applicant began or will begin work as a key employee 

or primary management official;

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

including:

(i) licenses that have been previously denied;

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

reinstated;

(iii) every known criminal charge brought against the applicant within 

the last 10 years of the date of the application; and

(iv) every felony of which the applicant has been convicted or any 

ongoing prosecution.

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

6.8 of this Chapter.

6.10 Reporting to State Gaming Agency.

(a) Notice of Intent to License. With respect to gaming employees, upon receipt of a 

completed license application and a determination to issue a temporary or 

permanent license, the Gaming Commission shall transmit within twenty-one (21) 

days to the State Gaming Agency for a determination of suitability for licensure 
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under the California Gambling Control Act a notice of intent to license the 

applicant, together with all of the following:

(1) A copy of all tribal license application materials and information received 

by the Gaming Commission from the applicant which is not otherwise 

prohibited or restricted from disclosure under applicable federal law or 

regulation; 

(2) A complete set of fingerprint impressions, rolled by a certified fingerprint 

roller, which may be on a fingerprint card or transmitted electronically; 

(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 Commission.

(b) List of Gaming Employees. Upon request, the Gaming Commission shall provide 

the State Gaming Agency with the name, badge identification number (if any), 

and job title of all gaming employees.

(c) Gaming Resource Suppliers. Within twenty-one (21) days of the issuance of a 

license to a gaming resource supplier, the Gaming Commission shall transmit to 

the State Gaming Agency a copy of the license and a copy of all tribal license 

application materials and information received by it from the applicant which is 

not otherwise prohibited or restricted from disclosure under applicable federal law 

or regulation. 

(d) Financial Sources. Within twenty-one (21) days of the issuance of a license to a 

financial source, the Gaming Commission shall transmit to the State Gaming 

Agency a copy of the license. Upon issuance of a license, the Gaming 

Commission shall direct the financial source licensee to transmit to the State 

Gaming Agency within twenty-one (21) days a copy of all license application 

materials and information submitted to the Gaming Commission.

(e) Renewals. Prior to renewing a license, the Gaming Commission shall forward to 

the State Gaming Agency copies of all information and documents received in 

connection with the application for renewal of the Tribal gaming license, which is 

not otherwise prohibited or restricted from disclosure under applicable federal law 

or regulation, for purposes of the State Gaming Agency’s consideration of 

renewal of its determination of suitability.

(f) Limitation on State Reporting Requirements. Notwithstanding any requirements 

to the contrary in this Ordinance, if the Tribe operates a gaming facility that offers 

only class II gaming and not class III gaming, or the Tribe is not otherwise subject 
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to State reporting requirements, the Gaming Commission’s reporting and other 

obligations pursuant to this Ordinance shall be limited to those required under 

applicable federal law. In such case, the Gaming Commission’s ability to issue a 

license shall not be dependent on receiving a determination of suitability from the 

State Gaming Agency unless otherwise required by applicable federal law.

6.11 Granting a Gaming License.

(a) All primary management officials and key employees of the gaming operation 

must have a gaming license issued by the Tribe.

(b) The Gaming Commission is responsible for granting and issuing gaming licenses 

to primary management officials and key employees. 

(c) The 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 under this Ordinance. 

(d) The 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. 

(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. 

(f) The 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 form the NIGC, and those objections are 

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

applicant’s background investigation. 

(1) The Gaming Commission shall take the NIGC’s objections into account 

when reconsidering a license application.

(g) The Tribe will make the final decision whether to issue a license to an applicant 

for a primary management official or key employee position. 

(h) If the Gaming Commission has issued a license to a primary management official 

or key employee before receiving the NIGC’s statement of objections, notice and 

hearing shall be provided to the licensee pursuant to the procedures in this 

Ordinance and consistent with the requirements under 25 C.F.R. Part 558.

6.12 Temporary Licenses. If an applicant has completed a license application to the 

satisfaction of the Gaming Commission, and the Gaming Commission has conducted a 

preliminary background investigation, the Gaming Commission may issue a temporary license 
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and impose such conditions thereon as it deems appropriate pending completion of the licensing 

process, provided that the Gaming Commission 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. 

6.13 Denying Gaming Licenses.

(a) The Gaming Commission shall not license a primary management official or key 

employee if the Gaming Commission determines, in applying the standards under 

Section 6.8 of this Chapter 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.

(b) When the Gaming Commission does not issue a license to an applicant for a 

primary management official or key employee position, or revokes a previously 

issued license after reconsideration, it shall:

(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.

6.14 Gaming License Suspensions and Revocations.

(a) If, after a license is issue 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 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.
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(b) The right to revocation hearing vests only when a license is granted under an 

ordinance approved by the NIGC Chair.

(c) Following a revocation hearing, the Tribe shall decide whether to revoke or 

reinstate the license at issue. 

(d) 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. 

(e) In the event the State Gaming Agency denies an applicant a determination of 

suitability or refuses to renew a determination of suitability, the Gaming 

Commission shall revoke any temporary or conditional license issued to the 

applicant and deny the applicant a license subject to any exceptions permitted 

under the Secretarial Procedures and subject to the applicant’s appeal rights 

available under state law.

(f) The Gaming Commission shall suspend, revoke, or deny a license upon the 

occurrence of any of the following:

(1) Notification by the NIGC as set forth in this section, or by any other 

reliable source, that the licensee is not eligible for a license under this 

Ordinance;

(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 Commission has probable cause to believe that the licensee 

has, by act or omission, violated provisions of this Ordinance or the 

Secretarial Procedures, the Tribe’s gaming regulations, any condition of a 

conditional gaming license, or any other federal, State or Tribal laws or 

regulations;

(4) The Gaming Commission 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 Commission 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 operation or the Tribe, or interferes 

with the normal operation of the Tribe’s gaming facilities;
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(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 Commission 

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

(9) The licensee’s employment with the Tribe’s gaming operation is 

terminated, voluntarily or involuntarily.

6.15 Records Retention.

(a) The Gaming Commission shall retain, for no less than three (3) years from the 

date a primary management official or key employee is terminated from 

employment with the Tribe, the following documentation:

(1) Applications for licensing;

(2) Investigative Reports; and 

(3) Eligibility Determinations. 

6.16 Licenses for Vendors. Vendors of gaming services or supplies, with a value of 

$25,000 or more annually, including vendors identified as a gaming resource supplier or a 

financial source requiring licensure under the Secretarial Procedures, must have a vendor license 

from the Gaming Commission in order to transact business with the Tribe’s gaming operation. 

Contracts for professional legal and accounting services are excluded from this section. 

(a) Gaming Resource Suppliers. Every gaming resource supplier (as defined in the 

Secretarial Procedures) shall be licensed by the Gaming Commission prior to the 

sale, lease or distribution, or further sale, lease, or distribution, of any gaming 

resources to or in connection with the gaming operation or facility. Except as 

otherwise provided under the Secretarial Procedures, the gaming resource supplier 

shall also apply to, and the Gaming Commission shall require it to apply to, the 

State Gaming Agency for a determination of suitability at least thirty (30) days 

prior to the sale, lease, or distribution, or further sale, lease, or distribution, of any 

gaming resources to or in connection with the Tribe’s gaming operation or 

facility. If the State Gaming Agency denies or revokes a determination of 

suitability, the Gaming Commission shall immediately deny or revoke the license 

and shall not reissue any license to that gaming resource supplier unless and until 

the State Gaming Agency makes a determination that the gaming resource 

supplier is suitable.

(b) Financial Sources. Every financial source (as defined in the Secretarial 

Procedures) subject to (and not excluded from) licensing by the Gaming 

Commission under the Secretarial Procedures shall, contemporaneously with the 
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filing of its tribal license application, apply to the State Gaming Agency for a 

determination of suitability. In the event the State Gaming Agency denies the 

determination of suitability, the Gaming Commission shall immediately deny or 

revoke the license. A gaming resource supplier who provides financing

exclusively in connection with the provision, 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 and need not be 

licensed as a financial source under the Secretarial Procedures.

6.17 Submission of a Vendor License Application. 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 or gaming operation, if applicable.

6.18 Contents of the Vendor License Application.

(a) Applications for a gaming vendor license 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), 

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, if the gaming operation is in a 

different state than 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;
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(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;

(9) Names, addresses and telephone numbers of three 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;

(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 or such higher amount as the Gaming Commission may establish by 

regulation;

(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 or the Gaming Commission 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 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.

6.19 Vendor Background Investigations. The 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:
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(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 conducing a Better Business 

Bureau check on the vendor;

(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.

6.20 Vendor License Fees. The Tribe may a charge a license fee, to be set by the 

Gaming Commission, to cover its expenses in investigating and licensing vendors of the gaming 

operation.

6.21 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 Gaming Commission.

6. 22 Exemption of Vendors Licensed by Recognized Regulatory Authorities. The 

Gaming Commission may adopt regulations naming specific licensing authorities that it 

recognizes and may authorize exemptions to the vendor licensing process from vendors who 

have received a license from one of the named regulatory authorities. The Gaming Commission 

may, at its discretion, exclude from licensing those financial sources identified as not requiring a 

license under the circumstances specified under section 6.4.5(g) of the Secretarial Procedures.

6.23 Identification Cards. All persons who are required to be licensed pursuant to 

this Ordinance shall be required to wear, in plain view at all times while in a gaming facility 

licensed by the Gaming Commission, identification badges issued by the Gaming Commission. 

The identification badges must display the person’s photograph, identification number, name, 

and expiration date of his or her license.

6.24 Due Process. The denial, suspension or revocation of a license pursuant to this 

Ordinance shall require:

(a) Written, certified, return receipt requested or personally hand-delivered 

notification of the denial, suspension or proposed revocation be given to the 

licensee ten (10) days in advance of the proposed action.
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(b) Such written notification shall include information concerning the licensee’s right 

to a hearing, shall specify the date, time and place for the hearing, and shall also 

advise the licensee that failure to appear for a scheduled hearing shall forfeit any 

further right to appeal.

(c) The Gaming Commission shall make a ruling within three (3) days, and the 

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

ruling and the licensee’s right to file a petition with the Gaming Commission for a 

rehearing within fifteen (15) days of the receipt of the written notification.

(d) If the licensee files a petition for a rehearing within fifteen (15) days of receipt of 

the written notification described in the preceding paragraph, the Gaming 

Commission shall review any additional information submitted by the licensee 

with the petition and notify the licensee in writing of its decision, which shall be a 

final decision. 

(e) If the licensee is providing management services to the gaming facility pursuant 

to a management contract approved by the NIGC, said licensee may file a request 

for a rehearing directly with the Tribal Council following an adverse ruling issued 

by the Gaming Commission subsequent to a hearing or rehearing. The Tribal 

Council is authorized to reverse the adverse decision if the Tribal Council 

determines, by a majority vote where a quorum is present, any of the following:

(1) The Gaming Commission’s decision was unreasonable, arbitrary, 

capricious, an abuse of discretion, or otherwise not in accordance with 

applicable Tribal, federal and State laws;

(2) The Gaming Commission exceeded its jurisdiction, authority, or 

limitations, under applicable Tribal laws; or

(3) The Gaming Commission’s decision is unsupported by substantial 

evidence or unwarranted by the facts presented, either orally or 

substantively.

(f) Notwithstanding subparagraph (a) above, the Gaming Commission may suspend 

or revoke a license without advance notice if, in the opinion of the Gaming 

Commission, the continued licensing of the person:

(1) falsified a license application;

(2) poses an immediate threat to the integrity of the gaming operation;

(3) poses a threat to public health or safety; or

(4) violates the Gaming Commission’s licensing standards.
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6.25 Duration and Renewal. All regular licenses shall be issued for a specified 

period not to exceed two (2) years from the date of issue, except that an entity providing 

management services to the gaming facility pursuant to a management contract approved by the 

NIGC may be licensed for a period of no more than seven (7) years, provided such management 

contractor continues to apply for renewal of a determination of suitability by the State Gaming 

Agency at least every two (2) years in accordance with the Secretarial Procedures. Renewal 

applications must be received by the Gaming Commission at least thirty (30) days prior to the 

expiration of the license. Upon receiving a renewal application, the Gaming Commission shall 

inform the applicant of his or her obligation, if any, to apply to the State Gaming Agency for 

renewal of his or her determination of suitability. Any licensee applying for renewal may 

continue to be employed or engaged under the expired license for not more than 90 days 

following the expiration of the license. Applicants for renewal shall provide updated material as 

requested by the Gaming Commission on the appropriate renewal forms but, at the discretion of 

the Gaming Commission, may not be required to resubmit information already available to the 

Gaming Commission. Additional background investigations may be performed at the discretion 

of the Gaming Commission. Updated criminal history checks are required.

Prior to renewing a license, the Gaming Commission shall forward to the State Gaming 

Agency copies of the renewal application and related documents as required under the 

Secretarial Procedures. With respect to gaming facilities, the Gaming Commission shall provide 

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

gaming facility’s license.

6.26 Additional Requirements. The Tribal Council shall adopt, and the Gaming 

Commission 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 at 25 U.S.C. § 

2710(b)(2)(F) and the NIGC’s regulations at 25 C.F.R. Parts 556, 558, and 559, and the 

Secretarial Procedures.

CHAPTER SEVEN

MISCELLANEOUS PROVISIONS

SECTION:

7.1 Enforcement. The Tribal Council shall promulgate regulations authorizing the 

Gaming Commission or other agent of the Tribe to investigate reported violations of this 

Ordinance, other Tribal gaming ordinances or regulations, IGRA, or the Secretarial Procedures, 

and to impose fines or other sanctions within the Tribe’s jurisdiction against persons who 

interfere with the Tribe’s obligations under this Ordinance, other Tribal gaming ordinances or 

regulations, IGRA, or the Secretarial Procedures.
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7.2 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.

7.3 Severability. If any provision of this Ordinance shall in the future be declared 

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. 

7.4 Amendments. This Ordinance may be amended by the General Council upon 

approval by the Chair of the NIGC. 

7.5 Effective Date. This Ordinance shall take effect immediately upon its approval 

by the Chair of the NIGC.

CERTIFICATION

 We the undersigned do hereby certify that the foregoing Enterprise Rancheria Second 

Amended and Restated Gaming Ordinance was duly adopted by the General Membership 

pursuant to Resolution No. GC-23-01 on the 11th day of February, 2023, at a General Council 

meeting at which a quorum of the registered voters was present, by a vote of 106 for 0 opposed, 

and 1 abstaining, and that said Resolution has not been rescinded or amended in any way. 

_____________________________________ 

Glenda Nelson, Tribal Chairperson 

ATTEST:

_____________________________________ 

Cindy Smith, Tribal Secretary