Claudia Brundin, Tribal Chairperson 

Blue Lake Rancheria 

P.O. Box 428 

Blue Lake, California 95525 

Dear Chairperson Brundin: 

This letter responds to your request to review and approve 

the tribal gaming ordinance adopted by Resolution 95-01 on 

January 8, 1995, by the Blue Lake Rancheria (Tribe). This letter 

constitutes such approval under the Indian Gaming Regulatory Act 

(IGRA) . 

Under the IGRA and the regulations of the National Indian 

Gaming Commission (NIGC), the Chairman is directed to review 

ordinances with respect to the requirements of the IGRA and the 

implementing regulations. Thus, the scope of the Chairman's 

review and approval is limited to the requirements of the IGRA 

and the NIGC regulations. Provisions other than those required 

under the IGRA or the NIGC regulations that may be included in a 

tribal ordinance are not subject to review and approval. Also, 

such approval does not constitute approval of specific games. It 

is important to note that the gaming ordinance is approved for 

gaming only on Indian lands as defined in the IGRA. 

With the Chairman's approval of the Tribe's gaming 

ordinance, the Tribe is now required to conduct background 

investigations on its key employees and primary management 

officials. The NIGC expects to receive a completed application 

for each key employee and primary management official pursuant to 

25 C.F.R. § 556.5(a) and an investigative report on each 

background investigation before issuing a license to a key 

employee or primary management official pursuant to 25 C.F.R. 

§ 556.5(b). 

Thank you for submitting the ordinance of the Blue Lake 

Rancheria for review and approval. The NIGC staff and I look 

forward to working with you and the Tribe in implementing the 

IGRA. 

Sincerely yours, 7 

. . 

Chairman 

1850 M STRCE1.N W SUIIE 2!jO M.A';_IIINC;ION DC 20036 ICL 232 632 7003 FAX 202.632.7066 
RESOLUTION 

RELATING TO REVISING 

TRIBAL CLASS I1 GAMING CODE DATED AUGUST 14,1993 

No. 95-a 

SUBJECX Formal authorization to adopt revised Tribal Gaming Code dated 

August 14, 1993. 

WHEREAS, Resolution 94-13, formally adopts the Blue Lake Rancheria's Tribal 

Gaming Code; and 

WHEREAS, Such Resolution and Ordinance must be approved by the National 

Indian Gaming Commission prior to authorization of Class 11 Gaming 

by the ~lue Lake Rancheria Gaming Commission; and 

WHEREAS, The Blue Lake Rancheria Business Council has determined that the 

Blue Lake Rancheria's Tribal Gaming Code should be revised and that 

such revision should also be promptly submitted to the National 

Indian Gaming Commission; and 

WHEREAS, a Revised Blue Lake Rancheria Tribal Gaming Code has been proposed 

for purposes of submission to and approval by the National Indian 

Gaming Commission for approval. 

NOW THEREFORE BE IT RESOLVED, that the Blue Lake Rancheria Business 

Council hereby adopts the Blue Lake Rancheria Revised Tribal Class II Gaming 

Code, attached hereto as Exhibit A. 

CERTIFICATION 

As the Chairperson of the Business Council for the Blue Lake Rancheria, I hereby 

certify that the Business Council this Resolution by vote of for and 

against, and - 7 

- 0 absent ..lm,wW- , 199-S This 

Resolution has not been amended in anv wav. 

Moved by 

I I Seconded by i7 

Attested 

Secretary /Treasurer 
Bluc Lake Rancheria 

Post Office Box 428 

Bluc Lake, California 95525 

Phonc: (707) 6685101 

Fax: (707) 6684272 

EXHIBIT A 

BLUE LAKE RANCHERIA 

REVISED 

TRIBAL CLASS I1 GAMING CODE 

I. DEFINITIONS 

mion 1.01 - Definitions. Unless a different code meaning is clearly indicated, the terms used in this 

Code shall have the same meaning as defined in the Indian Gaming Regulatory Act, Public Law 10- 

497,102 Stat. 2467 (Oct. 17,1988) 

Section. The period beginning January 1 at 12:00:01 and ending the immediately 

following December 31 at 12:M midnight. 

Section. The Chairperson of the Blue Lake Rancheria Gaming Commission. 

4 - Class I u. Social Gaming played solely for prizes of minimal value or traditional 

forms of Indian Gaming engaging in by individuals as a part of, or in connection with, Tribal Ceremonies 

or Celebrations. 

Section 1.05 - Class It Gaming. 

(a) The gaming of chance commonly known as bingo or lotto, whether or not electronic, 

computer or other technologic aids are used in connection therewith: 

(i) Which is played for prizes, including monetary prizes, with cards bearing 

numbers or other designations; 

(i i ) In which the holder of the card covers such numbers or designations when 

objects similarly numbered or designated, are drawn or electronically 

determined; and 

( i i i ) In which the game is won by the first person covering a previously designated 

arrangement of numbered or designated on such cards, including, if played in 

the same location: Pull Tabs, Lotto, Punch boards, Tip Jars, Instant Bingo and 

other games similar to Bingo; and 

(b) Nonbanking card games that are: 

(i) Explicitly authorized by laws of the laws of the State California; 

(ii) Not explicitly prohibited by the laws of the State of California, and are 

played anywhere in the State; and 

(i i i ) Played in conformity with State laws and regulations concerning hours, periods 

of operation, and limitations on wagers and pot sizes. 

(c) The tcrm Class 11 Gaming docs not include any Class III Gaming. 
. All other forms of gambling that are not Class I or Class I1 Gaming as 

defined in the IGRA. 

7 - -mission. The Blue Lake Rancheria Gaming Commission. 

Section. . . A member of the Blue Lake Rancheria Gaming Commission. 

. The Blue Lake Business Council, the highest governing body of the Blue Lake 

Rancheria. 

- w. TheDirector of the Gaming Commission. The Director is the Chief 

Administrator of Blue Lake Gaming. 

Section. . . To deal, operate, cany on, conduct, maintain or expose for 

play any game played with:'Cards, Dire, Equipment or any Mechanical, Electromechanical or 

Electronic Device or Machine for Money, Property, Checks, Credit or any representative of value, 

including (without limiting the generality of the forgoing) Faro, Monte, Roulette. Keno, Bingo FanTan, 

Bingo, Twenty-one (Blackjack), Seven-and-a-Half, Big Injun, Klondike, Craps, Poker, Chuck-a-Luck 

(Dai-shu), Wheel of Fortune, Chemin de Fer, Baccarat, Pai-Gow, Beat the Banker, Parlguigui, Slot 

Machines, Video Poker Machines, Pull-tabs, any banking or percentage game, or any other game or 

device approved by the Commission. Gaming or Gaming Activity not include games played with cards 

in private homes or residences in which no person makes or changes money for operating the game, 

except as a player. 

.. Gamine. The Tribal Class I1 Gaming Code of Blue Lake Rancheria, as revised. 

Section 1.12 - Gaminv Devia. Any equipment or mechanical, clectromcchanical or electronic 

contrivance, component or machine used remotely or directly in connection with gaming or any game 

which affects the result of a wager by determining win or loss. The term includes a system for processing 

information that may alter the normal criteria of random selection, which affects the operation of any 

game, or facilities used or maintained in connection with such gaming. 

Section 1.13 - gamin^ Establishment or Gaminv Premises. Any premises where gaming, other than 

Class I Gaming, is operated or conducted, including all buildings, improvements, equipment and 

facilities used or maintained in connection with such gaming. 

Section 1.14 - Gross Revenue. The total monetary value that would be due to any operator of a Gaming 

Activity for any chance taken, for any table fee for card playing, or other fee charged for participation 

or admittance, as evident by reqliircd records. The value shall be stated in U.S. currency, before any 

deductions or allowances for prizes, pay out of winnings, cost of operation, taxes, labor expenses, 

equipment or materials used, or any other expenses. In the absence of records, gross revenue shall be the 

maximum that would be due to an operator from that particular activity if operated at maximum 

capacity. 

4a - 1GK.A. The Indian Gaming Regulatory Act, Pub. L. 1W97,25 U.S.C. 592701, a=., 

including any amcndments thereto. Where appropriate, "IGRA" also means regulations duly 

promulgated by the NIGC under the IGRA which arc valid intcrprctations of the IGRA. 
(a) All land within the limits of the reservation of Blue Lake Rancheria; or 

(b) Land over which the Blue Lake Rancheria exercises governmental power and that is 

ei ther-- 

(i) Held in trust by the United States for the benefit of the Rancheria Tribe or 

individual; or 

(i i) Held by the Tribe or individual subject to restriction by the United States 

against alienation. 

5 - Key EX@QJXS. 

(a ) All employees who have authority over receipt or distribution of revenues from the 

Gaming Activity, includes (but not be limited to): bingo caller, counting room supervisor, 

Chief of security, custodian of gaming supplies or cash, floor manager, custodian of 

gambling devices including persons with access to cash and accounting records within 

such devices, head cashiers, pit bosses, floor managers, supervisors and any other 

individual who has the authority to sign checks or handle cash or currency. 

(b) If not otherwise included, any person whose total cash compensation is in excess of 

$50,000 per year; 

(c) If not otherwise included, the four most highly compensated persons in each gaming 

opera tion. 

Section 1.16a - Lender. Any person who provides financing to the gaming operation and is not in the 

position of nor has any interest as a Key Employee, Owner or Controlling Person. 

Section 1.17 -Licensee. Any person who has been issued a valid and current license pursuant to the 

provision of this Gaming Code. 

Section 1.17a - NIGC, The National Indian Gaming Commission established pursuant to the IGRA, 25 

U.S.C. 52704. 

Section 1.18 - Net Revenues (earnine). For the purposes of this Code shall mean the Gross Gaming 

Revenue (Win) of the Enterprise from Gaming less all Gaming related Operating Expenses, excluding 

the Management Fee, in accordance with Generally Accepted Accounting Principles. 

Section 1.18a - Net Revenues (otherL Gross Revenues, as heretofore defined, of the Enterprise from all 

sources other than Gaming, including food, beverage, entertainment, and retail sales, less all nonGaming related Operating Expenses, excluding the Management Fee in accordance with Generally 

Accepted Accounting Principles. 

b - Net. Net Revenues (gaming) and Net Revenues (other), as heretofore 

defined, of the Enterprise from all sources less all Management Fees in accordance with Generally 

Accepted Accounting Principles. 

Sgctian 1.19 - Manaeement Contrad. Any contract, agreement or other document establishing a 

relationship between the Tribal Government and any person or entity in which such a person or entity 

Page 3 
has managerial responsibilities for a Tribally Owned Class I1 or in the event of an approved 

Tribal/Statc Compact, a Class 111 Gaming Operation. The term Management Contract shall include all 

collateral agreements. 

Section. Any moneys paid from Gaming Revenue to any person or entity 

contracted and/or licensed to operate a Gaming Establishment. Such terms shall not include moneys 

paid to the owner of a Gaming Establishment licensed pursuant to Section 3.03 of this Code. 

1 - Op-. Any expense incurred in the daily operation of a Gaming Activity 

that is specifically designated as an operating expense in a management contract; provided (in the case 

of an establishment licensed by the Rancheria pursuant to Section 3.03), the term shall mean an expense 

specifically designated as an operating expense in any regulation adopted the Commission. 

la- 0- 

(a) Any natural person having a direct financial interest in any Managcment Contract; 

(b) Any beneficiary or trustee when a trust is a party to a Managerncnt Contract; 

(c) Any partner when a partnership is a party to a Managcment Contract; 

(dl Any person who is an officer or director or who holds at least ten (10) percent of the 

issued and outstanding stock alone or in combination with another stockholder who is a 

spouse, parent, child or sibling; or 

(el Any/all persons having an interest in a management contract, whether an entity other 

than a natural person in a trust partnership or corporation, all parties of that entity are ' 

deemed to be persons having a direct financial interest in a Management Contract. 

Section 1.22 - Patron. Any person or group of persons on Indian Land who participate as players in games 

as defined by this Code, or who are physically present on premises wherein or whereon such games are 

being played. 

Section 1.23 - Person. Any association, partnership, corporation, firm, trust or other form of business 

association as well as a natural person. 

Section 1.24 - Primarv Manaaernent Officials. Includes all officials of the Gaming Activity who 

exercise authority over daily operation of the Gaming; covering the authority to hire and fire 

employees, supervise employees or establish operational policy for the Gaming Activity. Such 

officials shall include, but not be limited to, all owners, officers, shareholders or partners of the 

management contractor, it any. 

Section 1.25 - Regulations. The regulations and rules promulgated by the Gaming Commission under this 

Code. 

Section 1.26 - Reservation. 

1. The area of approximately 31 acres lying within thc survey boundaries of the Blue 

Lake Ranchcria in Blue Lake, California. 
I 

2. Any additional lands to be acquired by the Blue Lake Rancheria to be put in trust 

pursuant to Public Law 101-42, but not yet surveyed; and 

3. Any other land designated as reservation land for the Blue Lake Rancheria by the 

Secretary of the Department of Interior. 

- Services. Labor provided by one person or another, where such labor is provided in pursuit 

of the purpose of Gaming on the Bluc Lake Rancheria. 

7a - Tribal The attorney representing the Blue Lake Rancheria. 

- A written document, either negotiated and agreed to 

by the Blue Lake Rancheria and an official or agency of the State of California; or prescribed by the 

Secretary pursuant to 25 U.S.C. 2710 (7) (B) (vii), governing the conduct of Class 111 Gaming activity on 

Indian Lands. 

9 - Rancheria. The Blue Lake Rancheria, also known as Blue Lake Rancheria of California; 

a Federally recognized tribe of a diverse mixture of Wiyot, Tolowa, Yurok, and Cherokee Indians of 

Blue Lake, California. 

Section 1.30 - Tribal Court. The Tribal Court of the Bluc Lake Rancheria of California. 

Section 1.31 - Workinp Dav~. Monday through Sunday or 365 days a year. 

ords.and. Tense, number and gender. In constructing the provisions of this Code, 

have when otherwise plainly declared or clearly apparent from the context. 

(a) Words in the present tense shall include the future tense; 

(b) Words in the masculine, feminine and neuter genders shall include all genders; 

(c) Word in the singular shall include the plural - and in the plural shall include the 

singular. 

Page 5 
11. ADMINISTRATION AND ENFORCEMENT 

- . Any Indian who commits any act of unauthorized Gaming on this 

Reservation or on any ~ndian land shall be guilty of a crime and shall be prosecuted in Tribal Court. 

Prosection for such a crime in Tribal Court is not meant to be exclusive. A finding of guilt or imocence 

shall not deprive the Federal Government from criminal jurisdiction. 

- to Benefit. The Rancheria shall have sole propriety 

interest in and sole responsibility for the conduct of the Gaming Activity. Such provisions do not limit 

the Tribe's ability to enter into a management contract wherein Net Tribal Revenues will go to the 

Tribe and upon the of a plan by the Business Council to allocate revenues; Net Tribal 

Revenues may be ~lsed only for the following purposes: 

(a) To fund Tribal Government Operations or Programs; 

(b) To provide for the General Welfare of the Tribe and its members; 

(c) To promote Tribal Economic Development; 

(d) To donate to Charitable Organizations; 

(e) To help fund operations of local Government Agencies; or 

(f) To make Per Capita payments to members of the Tribe (such plan approved by the 

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

Section 2.03 - Establishment d Commissior\. The Blue Lake Rancheria Gaming Commission is hereby 

established. The Commission shall consist of five (5) members appointed by the majority vote of the 

Council. The Commission shall consist of at lcast one individual with an accounting background, one 

with a legal or law enforcement background and one with at least five years of business experience. At 

least three (3) members of the Commission shall be members of the Blue Lake Rancheria. A 

Commissioner shall serve for three (3) years by a majority vote of the Council. In order to establish an 

annually staggered Commission appointment schedule similar to that of the Council, the first two (2) 

members shall serve three (3) year terms, two (2) members shall xrve two (2) year terms and one (1) 

member shall serve one (1) year term for the initial appointment only. Thereafter all successive terms 

of appointment shall run for three (3) years. In the absence of a duly constituted Commission, 

Commission shall be the Blue Lake Business Council. A vacancy on the Commission through death, 

resignation, or removal from office shall be filled by appointment by the Council to complete the 

unexpired term. 

(a) Resh-ictions. Commissioners may hold other Tribal positions and engage in business, 

provided that they shall not engage in any business which is subject to the provisions of 

this Gaming Code. Commissioners may not gamble in the Gaming Establishment nor 

have any personal financial interest in any gambling by any person. A Commissioner 

shall immediately resign from the Commission upon the Commissioner's conviction in a 

Federal or State Court of competent jurisdiction for any felony or for any misdemeanor 

related to illegal gambling or bribery or upon conviction in the Tribal Court or any 

charge that the Council finds relates to the Commissioner's honesty or ability to fulfill 

Page 6 
his duties. If a Commissioner is convicted of violating any part of this Code, he shall 

immediately resign from the Commission. 

(b) Oualifications. In order to qualify for appointment to the Commission, an applicant 

must satisfy all of the following requirements: 

(i ) Be age 21 or older. 

(ii) Have at least a high school or General Equivalency Diploma equivalent 

education and have knowledge of or experience in the gaming industry. 

(iii ) Have no prior criminal record of conviction of, or entry of a plea of guilty or no 

contest to, any of the following in any hibal, county, state or federal court, 

unless he or she has been pardoned: 

(1 A felony. 

(2) Any gaming-related offense. 

(3) Fraud or misrepresentation in any connection. 

(4) A violation of any provision of any rule promulgated by the California 

Gaming Agency, of this Code or any other ordinance of the Tribe 

regulating or prohibiting gaming. 

(v) Not be a person whose prior activities, criminal record, if any, or reputation, 

habits and associations pose a threat to the public interest or ti, the effect 

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

unfair, or illegal practices, methods, or activities in the operation of gaming or 

the carrying on of the business and financial arrangements incidental thereto. 

(vi) Not be employed by any Gaming Operation. 

(vi i) Not be a Primary Management Official or Owner or Controlling Person with 

respect to any Management Contract, and not be a Relative of an Owner or 

Controlling Person with respect to any Management Contract. 

(c) Removal. Any Commissioner may be removed by an affirmative vote of a majority of 

the Council acting at a meeting at which a quorum is present. Such removal shall only 

be for cause, including malfeasance, dereliction or neglect of duty, unexcuscd failure to 

attend three successive meetings of the Commission, failure to continue to meet the 

qualifications for appointment to the Commission, conviction of a felony in any tribal, 

county, state or federal court while in office, any willful and persistent misconduct 

reflecting on the dignity and integrity of the Council or the Tribe, or failure to comply 

with any provisions of the Tribe's Constitution and Bylaws and other applicable laws. 

Any Commissioner being considered for removal shall bc provided with notice in 

writing stating the grounds for removal, and he or she shall have 30 days to provide an 

explanation to the Council in person or in writing, which explanation shall be 

considered by the Council in voting on the removal question. All removal questions 

shall be considered by the Council in open session at or after the end of the 30-day 

notice period at which the Commissioner and his or her attorney shall have the right 

to be present. Judicial review of such Council determinations may be obtained by 

bringing an appeal in Tribal Court within 15 days after the date of the determination. 

e. . . Commissioners shall be compensated at the rate to be 

established annually by the Commission and approved by the Council. Commissioners shall be 

reimbursed for actual expenxs incurred on Commission business, including necessary travel expenses. 

Page 7 
. The Commission shall select from its membership a 

chairperson, who shall have the power to convene special meetings of the Commission upon 48 hours' 

prior written notice to Members of the Commission. 

(a) @en Meetings. All meetings and hearings of the Commission (except executive 

sessions) shall be open to all members of the Tribe, and to non-members upon invitation 

of the Commission, the Council, or the Tribal General Counsel. Balloting at all sessions 

shall be as the presiding officer shall direct. The Commission may, upon motion duly 

passed, go into executive session. At such sessions all persons shall be excluded from the 

meeting chamber, and any persons whose presence shall be required before the 

Commission shall be designated by the presiding officcr, and no other persons shall be 

allowed to be present other than the Commissioners. 

(b) Notice of Mcctin~s. The Commission shall post notice of any meeting or hearing in a 

pronunent, noticeable place in the Tribe's Executive Office no less than 48 hours prior to 

the meeting or hearing unless an emergency requires shorter notice, and shall also 

publish, if possible, such notice at or before the date of posting in a Tribal newspaper, or 

if a Tribal newspaper is not currently in publication, in such other local newspaper 

serving the local community. The notice shall state the date, time and place of the 

hearing. 

(c) Commission Rules of Practice and Procedure. The Commission's rules and procedures to 

compel attendance or the production of documents, and to provide for pre-hearing 

discovery are subject to any limitations set forth in this Code. Such rules may be 

amended by the Commission at any time, but amendments shall not be effective until 

approved by the Council. 

Section 2.08 - Ouorurn. A quorum shall consist of three members of the Commission. All decisions shall 

be made by a majority vote of the Commission, unless indicated otherwise in this Code. 

mion 2.09 - Monthlv Revo*. The Commission shall make monthly reports to the Council within 30 

days after the close of the month for which the information is being required. The reports shall include 

a full and complete statement of Gaming revenues paid to the Tribe, expenses and all other financial 

transactions of the Commission and a summary of all licensing and enforcement actions. 

0 - Pow. The Commission shall exercise all powers necessary to effectuate the purposes of 

this Code. The Commission may exercise any proper power and authority necessary to perform in this 

Chapter. The Commission shall meet with the Director not less than once each month to make 

recommendations and set policy, to approve or reject reports of the Director and transact other business 

that may be properly brought before it. The Commission shall promulgate rules and regulations for the 

governance of any Gaming Activity and the operation of any Gaming Establishment; shall hear and 

resolve all disputes regarding any act to promote and ensure integrity, security, honesty and fairness of 

the operation and administration of all Gaming Activities. The Commission shall have the power and 

authority to investigate any ~icensee; to deny any application; to limit, condition, suspend or restrict 

any license, make a finding of suitability or approval of a license, or a finding of suitability or 

approval of or the iniposition of a fine upon any person licensed, for any cause deemed reasonable by the 

Commission. 

Page 8 
c. In adopting, amending and repealing regulations, the Commission 

shall give prior notice of the proposed action to all Licensees and other persons whom the Commission 

or Director has reason to believe have legitimate and interest in such proposed action. Said notice 

shall inform such persons as to the general nature of the proposed action and advise them as to the 

manner in which comments on said proposed action shall be received by the Commission. In 

emergencies, the Commission may summarily adopt, amend or repeal any regulation if at the time the 

Commission determines such action is necessary for the immediate preservation of the public peace, 

health, safety, morals, good order or general welfare, together with a statement of facts constituting 

the emergency; provided the Commission shall schedule such emergency action for a regular hearing 

within 15 days. 

(a) Notice of Auulications. After an Application has been filed with Commission, the 

Commission shall post notice of the Application in a prominent, noticeable place on the 

premises where the games are to be held for at least seven (7) days prior to 

consideration by the Council or the Commission and shall publish such notice at least 

once or before the date of posting in a Tribal newspaper, or if a Tribal newspaper is not 

in publication, in such other local newspaper serving the community that may be 

affected by the License as authorized by the Commission. The notice shall state the 

date, time and place when the Application shall be considered by the Council or the 

Commission and also shall state whether the Applicant is seeking a waiver of any 

requirements set forth in Sec. 3.03a(a)(iv). 

(b) Notice to Auulicant or License. The Commission shall provide written notice to the 

Applicant or Licensee of the hearing at least seven (7) days prior to the date set for the 

hearing. The notice shall be sent by regular mail, or may be personally xrved upon the 

Applicant or Licensee. The notice shall state the date, time and place of the hearing. 

The notice shall also state the purpose of the hearing, including, but not limited to: 

(i Whether the Commission is holding the hearing for the purpose of obtaining 

further informa tion; 

(i i Whether the Commission will be considering the grant or denial of the License 

application; 

(iii) Whether the Commission will be examining any alleged violations of this 

Code, the IGRA, the conditions of any License issued by the Commission, any 

order by the Commission or Council, or any other applicable laws, regulations 

or agreements, including, but not limited to any agreement with the Blue Lake 

Ranchcria of California or in the event of such an agreement, a Tribal/State 

Compact. 

Section 2-12 - Commission Hearinps: Request for Commission Action. 

(a ) Any person who is determined by the Commission or Director to be a real party in 

intercst may file a petition in a manner and form approved by the Commission 

requesting the adoption, amendment or repeal of a regulation. Upon receipt of the 

petition, the Commission shall within 30 days deny the request in writing or schedule 

the matter for action pursuant to this Code. 

(b) The Commission shall afford a Licensee the opportunity for a hearing prior to taking 

final action resulting on the imposition of any penalties which the Commission is 

authorized to impose pursuant to this Code. 

Page 9 
(c) Nothing in this section shall limit the Commission's authority to suspend a License 

summarily without a hcaring pursuant to this Code. 

(d) The burden of proving fitness and suitability for a License shall be on the Applicant. 

(e) Where a person or entity is charged with violation of this Code, an order of the 

Commission, a License condition, the IGRA or any other applicable laws, regulations or 

agreements, including but not limited to any agreement relating to gaming with the 

Blue Lake Rancheria of California (including in the event of a Tribal/State Compact), 

the party alleging the violation shall carry an initial burden of establishing a prima 

facie case of violalion. If the Commission finds that a prima facie case has been 

established, the burden to rebut the charge shall shift to that person or entity. 

(a ) No cx parte communication relative to any matte&) being considered by the 

Commission, or a threat or offer of reward shall be made, before a decision is rendered, 

to any mcmbcr of the Commission or any member of the Council by an Applicant or 

Licensee, its legal counsel, representative, agent or employee. 

(b) Nothing in this section shall prohibit the Applicant, Licensee or it authorized agent 

from communicating with the Tribal General Counsel or its authorized agents. 

(c) Any member of the Commission or the Council who receives an ex parte communication 

shall immediately report such communication in writing to the Tribal General Counsel. 

(d) For the purposes of this section only, "any matter(s) being considered by the 

Commission," means those matters identified in the written notice as provided in 

Section 2.11 of this Code, as well as any other matters that are actually considered by 

the Commission during a hcaring. All matters identified in the written notice shall be 

subject to the prohibition against ex parte communications. All matters not identified 

in the written notice that are considered by the Commission during a hearing become 

subject to the prohibition against ex parte communications as soon as they are discussed 

during the hearing. 

(c) The Commission shall have the power to impose any sanction pursuant to Section 2.14b 

upon its determination that an Applicant or Licensee, its legal counsel, agent, 

representative or employee, has made an ex parte communication in violation of this 

Section. 

(a) Parties to all hearings governed by this Code may appear personally or through an 

attorney, except that a party must personally attend any hearing on the merits unlcss 

attendance has been waived, in writing, by the Commission. 

(b) When a party has appeared through an attorney, service of all notices, motions, orders, 

decisions and other papers shall thereafter be made upon the attorney, unless the party 

requests otherwise in writing. 
(c) When a party is represented by an attorney, the attorney shall sign all motions, 

notices, rduests, and other papers on behalf of the party, including a request for 

subpoenas. 

(a) The Tribal General Counsel and the Licensee shall exchange a list of persons that each 

party intends to call as witnesses no later than three (3) business days before a 

scheduled enforcement hearing. Each witness shall be identified by name, if known, 

position, and business address. If no business address is available, a home address for 

the witness shall be provided. Any witness not identified in accord with this Section 

may be prohibited from testifying at a hearing in the Commission's discretion. 

(b) The Tribal General Counsel and the Licensee shall exchange a copy of all documents or 

tangible things that they intend to offer as evidence in support of the party's case in 

chief. This exchange shall be made to the opposing party no later than thrce (3) 

business days before a scheduled enforcement hearing. Failure to make available any 

document or tangible thing in accord with this section may, in the Commission's 

discretion, bc grounds to deny the admission into evidence of such docunient or tangible 

thing. 

(a) Prior to making any documents available to the Tribal General Counsel, the Applicant 

or Licensee may designate any document it believes to contain confidential information 

as "Subject to a Confidentiality Claimf' by so marking the document prior to providing a 

copy of the document to the Tribal General Counsel. 

(b) No document provided to the Tribal General Counsel which has been in accord with 

Subs. (a) above, and no non-public information contained with the document, shall be 

made a part of the public record of the Commission proceedings or otherwise disclosed 

by the Commission to any person other than its authorized agents (or except as may be 

required under any laws, regulations, court or administrative order, or in the event of a 

Tribal/State Compact), without first providing the Applicant or Respondent with the 

opportunity to seek a ruling by the Commission that the documents and/or non-public 

information contained therein should not be made public. The request for such a ruling 

and any discussion relating to the document shall be heard and ruled upon by the 

Commission in an Executive Session meeting. If the request for such a ruling is made 

during a public hearing session, the hearing session shall be adjourned and the 

Commission shall conduct an Executive Session meeting in order to hear and rule upon 

the Applicant's or Respondent's request. The Applicant or Licensee may present to the 

Commission in Executive Session written and oral argument regarding the 

confidentiality claim, along with any facts the Applicant or Licensee believes to be 

relevant to such argument. 

(a) The Commission has the power and discretion to issue subpoenas. 

Page 11 
(b) Subpoenasmaybe issued only to compel any person to appear at any hearing before the 

Commission to give oral testimony, or to produce documents or other tangible things. 

(a) The Commission shall make all determinations of issues before it by a majority vote of 

at least a quorum of the Commission. Any Commission vote in approving, 

disapproving, revoking, suspending, limiting or conditioning a license under this Code 

shall be by secret ballot only; provided that in an emergency a secret phone vote may be 

polled, pursuant to Commission Regulations. 

(b) All significant determinations made by the Commission shall be documented in a 

written resolution. Significant determinations include the grant, denial or cancellation 

of a License, a finding of a violation of the Code, the IGRA, the conditions of any 

license issued by the Commission, any order of the Commission, or any other applicable 

laws, regulations or agreements, including, but not limited to, any agreement with the 

Blue Lake Rancheria of California, in the event of any Tribal/State Compact, and the 

imposition of any sanctions or penalties. 

(c) A copy of any resolution reached pursuant to this section shall be Sewed upon the 

Applicant or Respondent by registered or certified mail, or may be servcd personally. 

(dl Should an Applicant disagree with the determination of the Commission, the 

Commission shall hold a hearing to review its decision within three (3) working days 

from the date an Applicant files his disagreement with the Commission. At the 

hearing, the burden shall be on the Applicant to show cause why the Commission's 

determination was incorrect. 

Section 2.14 - Hearin Proceedin@: Commission Findinq. 

(a) The Chair of the Commission shall preside over all hearings, and shall call the 

proceedings to order, control the presentation of evidence, the appearance of witnesses, 

and the order of the proceedings. 

(b) The Commission may require any person, including, but not limited to, any Applicant or 

Licensee, or any agent, employee or represen ta tive of any Applicant or Licensee, to 

appear and testify before it with regard to any matter within its jurisdiction at such 

time and place as it may designate. Such testimony shall be under oath and may 

include any matters which the Commission deems relevant to the discharge of the 

Commission's official duties. Testimony shall be recorded by a duly certified court 

reporter and may bc used by the Commission as evidence in any proceedings or matter 

before the Commission. Failure to appear and testify fully at the time and place 

designated shall result in sanctions. Failure to appear may constitute grounds for: 

(i) Refusal to grant a License to the person summoned, and/or that person's 

principal or employer; 

( i i ) Cancella tion or suspension of a License held by the person summoned, and/or 

that person's principal or employer; or 

( i i i ) Inference that the testimony of the person summoned would have been adverse 

to that person and/or that person's principal or employer. 
(c) Any party to the hearing may call and examine witnesses. The Commission shall 

exercise its discretion to limit the testimony of witnesses where that testimony is 

argumcnta tive or repetitive. 

ti) The Commission shall have the authority to eject from the hearings any person 

who is disruptive, disorderly, or who shows a lack of proper respect for the 

Commission or the nature of the proceedings. 

(ii) Persons shall be permitted to speak only when recognized by the Commission. 

(i i i ) Any member of the Commission may ask questions of witnesses, and may request 

or allow additional evidence at any time. 

(iv) Any party to the hearing may conduct crossexaminations reasonably required 

for a full and true disclosure of the facts. 

(v) All hearings held under this Code shall be open to all members of the 

Rancheria and to such other persons who, in the discretion of the Commission or 

the Tribal General Counsel should be allowed to attend. 

(vi) The Commission, in its discretion, has the power to sequester witnesses. 

(d) Following such hearing, the Commission shall, within three (3) days, reach a 

determination concerning: 

(i) The accuracy of the preliminary certifications of facts; and 

(ii) Whether the license in question should be granted, continued, suspended, 

revoked, conditioned, or limited; and 

( i i i ) Whether or not any other action recommended to the Commission including, but 

not limited to, forfeih~res, should be taken. 

(a) In hearings governed by this Code, the Commission shall not be bound by technical rules . 

relating to evidence and witnesses. The Commission shall admit all testimony having 

reasonable probative value, but shall exclude immaterial, irrelevant or unduly 

repetitious testimony. The Commission shall give effect to the rules of privilege unless 

such privilege is waived. Basic principals of relevancy, materiality and probative 

force shall govern the proof of all questions of fact. Objections to evidentiary offers and 

offers of proof of evidence not admitted may be made and shall be noted in the record. 

(b) All evidence, including records and documents in the possession of the Commission or 

which the Commission desires to avail itself, shall be duly offered and made a part of 

the record in the case. Each party shall be afforded adequate opportunity to rebut or 

offer countervailing evidence. 

(c) The Commission may take official notice of any generally recognized fact or any 

established technical or scientific fact; but parties shall be notified either before or 

during the hearing or by full reference in preliminary reports or otherwise, of the facts 

so noticed, and they shall be afforded an opportunity to contest the validity of the 

official notice. 

(dl Documentary evidence may be received in the form of copies or excerpts, if the original 

is not readily available. Upon request, parties shall be given an opportunity to 

compare the copy of the original. 

(el The record in a hearing govcrncd by this Code shall include: 
(i) All~applications, pleadings, intermediate rulings and exhibits and appendices 

thereto; 

(i i) Evidence received or considered, stipulations and admissions, including but not 

limited to confidential evidence received under Sec. 2.11f of this Code. 

(iii) A statement of matters officially noticed; 

( i v) Questions and offers of proof, objections, and rulings thereon; 

(v) Any proposed findings or decisions and exceptions; 

( vi ) Any decision, opinion or report by the Commission; and 

(vii) The transcript prepared by a duly certified court reporter. 

4b- Snnctions. If any party or its attorney fails to comply with any provision of this Code, 

any Commission regulations, the IGRA, the conditions of any license issued by the Commission or 

Council, any order by the Commission or Council, or any other applicable laws, regulations or 

agreements, including, but not limited to, any agreement with the Blue Lake Rancheria of California, 

or in the event of any Tribal/State Compact, regarding any matter, including, but not limited to, 

discovery matters and the failure to appear at a hearing at the scheduled time, the Commission upon 

motion or upon its own initiative, may in its discretion impose upon such party or attorney, or both, 

appropriate sanctions in regard to the failurc(s) as are just, including, but not limited to, the following: 

(a) An ordcr prohibiting the use of any witness, document or tangible thing which should 

have bccn disclosed, produced, exhibited or exchanged pursuant to this Code, the 

Commission's regulations, or any order of the commission; 

(b) An order that designated facts shall be taken as established; 

(c) An order that the disobedient party may not support or oppose designated claims or 

dcfcnses; 

(d) An order striking pleadings or parts thereof, or staying further proceedings or 

dismissing the proceeding or any part thereof, or entering a judgment by default against 

the disobedient party; 

(e) A finding against the disobedient party; or 

(f) Any penalty provided for in Section 2.26 of this Code. 

Section 2.15 - Notification of Commission Decision. Within three (3) working days following a 

determination the Commission shall inform the subject in writing of that determination. The 

Commission and the Council shall post public notices of all actions taken in regard to Licenses and 

License applications in a prominent, noticeable place in the Tribe's offices, on gaming premises and 

shall publish such notice in a Tribal or local newspaper serving the affected community. 

Section 2.16 - Ri~ht to AD?&. The Applicant shall have a right to appeal the determination of the 

Commission to the court of competent jurisdiction. Such appeal must be filed with such court in written 

form on or before the tenth (10) day following the receipt of the written determination of the 

Commission. A determination of such appeal by the court shall be final and no further action may be 

had. In any appropriate case which has been referred to the court for final action, the court shall 

review dc novo the determination of the Commission. The Court's action shall be final and no further 

appeals may be made. 
1. 7 - At>bointment. The Council, upon recommendation of the Commission, shall 

appoint a Director who shall be responsible for the day-today management of the affairs of the 

Commission as well as overseeing the establishment and operation of all Gaming Operations. A 

detailed background investigation shall have been conducted on the Director before his appointment 

and the Commission shall maintain oversight of the Director on an ongoing basis. No one convicted of a 

felony of any kind or a misdemeanor related to illegal gambling or bribery can serve as a Director. The 

Director shall not have any personal interests in any Gaming Activity. The Director may not gamble in 

the Gaming Establishment, nor have any personal financial interest in any gambling by any Gambling 

Establishment patron. 

- Irector's The Director shall be hired on a contract basis. The terms of the 

contract will be negotiated with the Commission and approved by the Council. The Director's 

compensation shall be part of the negotiations. 

8. ..' The Director shall be terminated immediately and without 

the necessity of a vote of the Council upon the Director's conviction in a Federal or State Court of 

competent jurisdiction for any felony or for any misdemeanor related to illegal gambling or bribery. If 

the Director is convicted of violating any part of this Code he shall be immediately terminated. 

Section 2.20 - Duties of the Director. The Director shall, subject to the approval of the Commission, 

perform all duties, exercise all powers, assume and discharge all responsibilities and cany out and 

affect all purposes of this Code relating to the establishment of all Gaming Activity. In all decisions, 

the Director shall act to promote and ensure integrity, security, honesty and fairness of the operation 

and administration of all Gaming Activity. The Director's duties include but are not limited to the 

following: 

(a) Negotiating contracts for payments by the Rancheria for the provision of security and 

other professional services. Such contracts must be approved by the Commission and 

the Council and shall not constitute a waiver of criminal jurisdiction by the Rancheria. 

(b) The Director will insure that all gaming fees of the Gaming Enterprise are sent to the 

NIGC on a timely basis. 

(c) Correspond with the NIGC and do wha tcver is necessary to be in compliance with the 

rules and regulations of that agency. Specifically, the Director shall arrange for an 

annual outside audit of authorized Gaming Activity and will provide a copy to the 

NIGC, in compliance with 25 U.S.C. 5 2710(b)(2)(C). In addition, when submitting 

existing Codes and Resolutions to the NIGC, the Director shall provide financial 

statements for the previous fiscal year, the most recent audit report and management 

letter. 

(dl The Director will assure that all Gaming Activity is conducted in a manner which 

adequately protects the environment and the public health and safety; 

(el The Director will establish an adequate system which ensures that background 

investigations are conducted on all primary management officials and key employees of 

any Gaming establishment and that right of such officials and their management is 

conducted on an ongoing basis. The Directors will recommend to the Commission 

(having final authority) on the granting of Tribal licenses for primary management 

officials and key employees. The Director shall immediately notify the NIGC of the 

issuance of such licenses. The Director will review all applications and background 

Page 15 
investigations to ensure that no person shall be eligible for employment in or with any 

part of the Gaming Operation if that person's prior activities, criminal record, if any, 

or reputation, habits and associations pose a threat to the public interest or to the 

effective regulation of Gaming, or create or enhance the dangers of unsuitable, unfair or 

illegal practices, methods and activities in to conduct of Gaming. The Director shall be 

responsible for obtaining and processing fingerprints and shall designate the Humboldt 

County Sheriff's Department to take fingerprints and to conduct a criminal history 

check. The Director shall notify the NIGC in a report of the results of such background 

checks before the issuance of such licenses; 

( f) Hiring, pursuant to the approval of the Commission, such professional, clerical, 

technical and administrative personnel as may be necessary to cany out the provisions 

of this code. 

(g) Reviewing all records, documents and anything else necessary and pertinent to 

enforcement of any provisions of this Code; 

(h ) Recommend to the Commission whether sanctions should be imposed on any person 

subject to the jurisdiction of this Code. 

Sction 2.21 - Ri~ht of Inspection. The Council, Commission, Director and their agents, inspectors and 

employees havc the authority to: 

(a) Inspect and examine all premises wherein Gaming is conducted or gambling devices or 

equipment are manufactured, sold or distributed; 

(b) Inspect all equipment and supplies in, upon or about a Gaming Establishment, or inspect ' 

any equipment or supplies wherever located, which may or have been used in the 

Gaming Establishment; 

(c) Summarily seize and remove from a Gaming Establishment, or wherever located, and 

impound such equipment or supplies for the purpose of examination, evidence or 

forfeiture; 

(d) Demand access to and inspect, examine and audit all papers, books and records of 

Applicants and licenses respecting any income produced by any Gaming business and 

require verification of income and all other matters affecting the enforcement of the 

policy of or any of the provisions of this Code. 

(el Seize and impound any patron's winnings which the Commission may have reasons to 

believe may havc been won or obtained in violation of this Code pending a civil 

forfeiture on such seizure; 

( f) For the purpose of administration and enforcement of this Code the Commission, 

Director and their investigative personnel may, if deemed necessary by the Council, 

have the powers of the peace officer of the Blue Lake Rancheria for purposes of this 

Code only; 
. The Commission and Director may refuse to reveal, in any 

court proceeding, the identity of any informant or the information obtained from the informant, or both 

the identity and the information. 

- -. The Commission may organize itself, and take to the Council for 

approval, a functional division as it may deem necessary and from time to time alter such plan of 

organization as it may deem expedient. The Commission shall establish its own budget for operations 

including a budget for the Director and acquire such furnishings, equipment, supplies, stationary, books, 

motor vehicles and other things as it may deem necessary or desirable in carrying out its functions and 

incur such other expenses, within the limit of funds available to it, as it may deem necessary. Within 

the limits of a Council approved budget, the Commission shall employ and fix the salaries of or 

contract for services of such professional, technical and operational personnel and consultants as the 

execution of its duties and the operation of the Director and Commission may require. At the Council's 

discretion, said budget may be reviewed and modified by the Council every six (6) months. Upon the 

end of the budget year any surplus which exists shall be refunded to the Council at their discretion. 

The Commission and Director shall each keep and maintain a file of all applications for licenses under 

this chapter, together with a record of all action taken with respect to such applications. The 

Commission and Director shall keep and maintain such other files and rccords as they may deem 

desirable and all such records may be open to public inspection as they may deem apprbpriate; provide, 

that the annual Commission budget shall be made available to the Council upon reasonable notice. 

.. . - No fine shall be assessed, nor any action taken for any violation 

under the preceding section unless a charge is filed in proper form with the Commission within the 

Statute of Limitations of the offense. 

Section 2.26 - Violations of Code - Punishment: Enforcement. Any violation of this Code shall be 

punished by a fine of no more than $5,000 for each separate count or violation, or one (1) year in jail or 

both. Each day of violation shall constitute a separate count or violation under this Codc. A violator 

may also be required to pay court costs, storage fces and auction or sales fees. All property used or 

which may be used in activities in each and every separate violation of this Code may become the 

property of the Rancheria. Persons may be prohibited from trespassing on premises licensed under this 

Code, licenses may be suspended or limited and/or establishments may be forcibly closed. All such 

action shall be taken at the discretion of the Commission, and are subject to the right of appeal to a 

court of competent jurisdiction. Winnings found to have been received in violation of this Code are 

forfeited and become the property of the Rancheria. 

(a) Enforcement. The Commission shall impose civil penalties on any person who: 

(i) Violates any provision of this Code; 

(i i) Makes any false or misleading statements or omissions in any Application filed 

with the Commission or in connection with any matter provided for hereunder; 

(iii) Gives false testimony in any matter provided for hereunder before either the 

Commission or the Council; 

(i v) Engages in conduct which is disrespectful to the Commission or which disrupts 

the efficiency and good order of Commission proceedings; or 

(v) Fails to observe the Commission's Rules of Procedure and Practice, License 

conditions imposed by the Commission or Council, or orders of the Commission or 

Council. 

(b) Penalties. Thc Commission shall be empowcrcd to impose any of the following civil 

penalties: 

Page 17 
(i ) Terpination, suspension or exclusion from employment in any Gaming 

Operations or other employee discipline; 

(i i ) Exclusion from attendance at any Gaming Facilities; 

(iii) Exclusion from the Tribe's Lands if not a member of the Tribe; 

(iv) A fine of not more than $5,000 for each such violation, except that a General 

Manager, Owner or Controlling Person or a party to a Management Contract 

shall be subject to a fine of not more than $ for each such violation, 

and actual damages to the Tribe or its Gaming Operations. 

(c) Investigations. - The Director and the Commission have the power to conduct 

investigations as provided in this Section. Outside counsel and other agents may be 

retained to assist in conducting investigations. All references to the Director and the 

Commission hereafter include the Director, the Commission and/or any designated 

agent. 

(i) The Director and/or the Commission may instigate without limitation the 

background and suitability of any Applicant or Licensee to ensure that the 

Applicant's or Licensee's prior activities or reputation, habits and associations 

do not pose a threat to the public interest or to the effective regulation of 

gaming, or create or enhance the danger of unsuitable, unfair oi illegal practices 

and methods and activities in the conduct of gaming. 

(ii The Director and/or the Commission may also investigate without limitation 

any suspected violation of this Code, the IGRA, the conditions of any License 

issued by the Commission, and order by the Commission or Tribal Council, or 

any other applicable laws, regulations or agreements, including, but not limited 

to any agreement with Blue Lake Rancheria of California. 

( i i i ) No Applicant or Licensee shall neglect or refuse to produce records or evidence 

or to give information upon written demand by the Director and/or the 

Commission within seven (7) days of receipt of such request. No Applicant or 

Licensee shall interfere with any proper and lawful efforts by the Director to 

obtain such information. Every Applicant, Licensee, and all Licensed 

manufacturers, distributor and vendors shall make their premises, books and 

records available for inspection by the Director for the purposes of conducting 

its investigation. Failure of any person or entity to comply with this Section 

may result in a denial of a License application, cancellation of a License, or the 

imposition of other penalties and sanctions. 

(dl Notice of Penalties. The Commission shall post and publish notices of all penalties 

imposed hereunder under the same posting and publication procedures prescribed in 

Section 2.15. 

2.27 - Dz. The Commission shall promulgate 

regulations protecting due process rights of all individuals subject to the enforcement of this Code. Such 

regulations shall provide, at a minimum: 

( a ) Standards for emergency or summary suspension of license; 

(b) Fair notice and opportunity for hearing regarding any revocation or suspension of 

licenses and regarding any enforcement action taken pursuant to this Code; 
(c) Right to appeal de novo of any Commission disciplinary or enforcement action to a court 

of competent jurisdiction. 

- -. The Commission shall authorize special agents to perform services 

reasonably necessary to assure compliance with the provisions of this Code only. Said special services 

of enforcement and surveillance shall be under the authorization and direction of the Director, unless 

otherwise determined by the Commission. This section shall in no way be deemed to limit the normal 

law enforcement functions of these or other Tribal Law Enforcement Officers not so authorized. 

s. . . The Director, Commission, members of the Council and their 

immediate families shall receive no personal compensation, gift, reimbursement or payment of any kind 

from any person doing or wishing to do business with the Rancheria relating to Gaming; nor with any 

person wishing to obtain an unfair advantage in any authorized wager on Gaming. Any property 

received in violation of this provision, including the offending persons, shall be prosecuted to the 

fullest extent possiblc under the Tribal Law for accepting a bribe. The Commission shall cooperate to 

the fullest extent possible with any Federal or State Law Enforcement Agency to pursue prosecution 

under applicable Federal or State Law. 

c. 

III. LICENSING OF GAMES 

The following persons must obtain tribal Licenses under the 

procedures of this Chapter 111, as a condition to employment in any Gaming Operations on the Tribe's 

Lands: 

(i) Any Owner or Controlling person; 

(ii) Primary Management Official; 

(iii) Key Employees; and 

(iv) Any other employee or class of employees as determined by the Council. The 

Tribe shall issue to any individual a Class I1 License which shall be valid for 

any Class I1 facility and in the event of a Tribal/State Compact, a Class 111 

License which shall be valid for any Class I11 facility. In the event of a 

Tribal/State Compact, the licensing requirement under this Code is in addition 

to any state certificates required. 

Section 3.02 - Authorization of Class I1 gamin^ Activity, The Commission may authorize Class I1 

gaming activity to be played on Indian Lands that are within the jurisdiction of the Rancheria. 

Section 3.03 - Licensinp: and Re~ulation of Class II gamin^ Activity. 

(a 1 A separate license issued by the Commission shall be required for each place, facility 

or location on Indian Lands within the Ranchcria's jurisdiction at which any Class I1 

Gaming Activity is conducted. 

(b) Individual Licensing. Requirements for licensing of individually owned class I1 gaming 

operations (other than those operating on September 1,1986): 

(i ) The gaming operation shall be licensed and regulated under an ordinance or 

resolution approved by the Chairman of the NIGC; 

(i i Income to the tribe from an individually owned gaming operation be used only: 

Page 19 
(1 ) to fund tribal government operations or programs; 

(2) to provide for 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. 

(i i i ) Not less than 60 percent of the net revenues be income to the Tribe; 

(iv) The owner(s1 pay an annual assessment to the NIGC as established by the 

NIGC and published in the Federal Register. 

(v) Licensing standards that are at least as restrictive as those established by 

State law governing similar gaming within the jurisdiction of the surrounding 

State; and 

(vi) Denial of a license for any person or entity that would not be eligible to receive 

a State license to conduct the same activity within the jurisdiction of the 

surrounding State. State law standards shall apply with respect to purpose, 

entity, pot limits and hours of operation. 

(c) Requirements for licensing of individually owned class I1 and class I11 gaming 

operations ~'~erating on September 1,1986 shall contain the same requirements as those 

in (ii)(l-4) of this part. 

(d) Standard for License. Licenses issued hereunder shall be issued according to 

requirements that are at least as stringent as those set forth in regulations promulgated 

by the NIGC in parts 556 and 558 of chapter 25 of the Code of Federal Regulations, 

including any amendments thereto, and also, in the event of the Tribe conducting Class 

I11 gaming, according to requirements that are at least as stringent as those set forth in a 

Tribal/State Compact. 

(a) No License shall be issued under this Chapter except upon a sworn Application filed 

with the Commission, in such form as may be prescribed by the Commission, containing 

a full and complete showing, at a minimum, of the following: 

(i) Satisfactory proof that the Application is of good character and reputation 

among the members of the Tribe, and is financially responsible; 

(i i) A description of the premises at which the games are to be conducted, with 

proof of the conceptual or other basis upon which the Applicant shall conduct 

games, or be employed, at each premises; 

(ii i ~gr&ment by the Applicant to accept and abide by all conditions of the License 

as provided in this Code; 

(iv) Satisfactory proof that neither the Applicant, nor any Owner or Controlling 

Person of any Applicant which is a party to a Management Contract, nor any of 

the Applicant's cmployecs has in any jurisdiction ever been convicted of, or 

entered a plea of guilty or no contest to, any of the following criminal offenses, 

unless the person has been pardoned: 

a. A felony, other than a felony conviction for an offense under b, c, or d, 

within the immediately preceding ten (10) years; 

b. Any gaming-related offense; 

c. Fraud or misrepresentation in any connection; or 

d. A violation of any provision of gaming-related statutes or any rule 

promulgated by the California Gaming Agency or other appropriate 

Page 20 
state regulatory body, or this Code or any other ordinance of the Tribe 

regulating or prohibiting gaming. 

Except in the case of Owners or Controlling Persons or persons 

designated in any Management Contract as having management 

responsibility of all or any part of any Gaming Operations, the Council 

may in its discretion waive by legislative resolution any requirements 

set forth in this Section 3.03a(iv) for any Applicant for a Class I1 

License or, in the event of a Tribal/State Compact and NIGC approval 

for Class 111 gaming, for any Applicant for a Class 111 License as 

permitted by the Compact when the Applicant has demonstrated on 

the record before the Commission evidence of sufficient rehabilitation 

and present fitness to hold a License under the standard set forth in 

Section 3.03a(b). Decisions of the Council to grant or to deny a waiver 

under this subsection shall not be appealable to the Tribal Court; and 

(v) That the Applicant has fulfilled any applicable requirements of IGRA. 

(b) No License shall be issued to any Applicant who has been determined by the Council or 

the Commission to bc a person whose prior activities, criminal record, if any, or 

rcputation, habits and associations pose a threat to the public interest or to the 

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

unsuitable, unfair, or illegal practices, methods, or activities in the operation of 

gaming or the carrying on of the business and financial arrangements incidental thereto. 

(c) The issuance of licenses hereunder also shall be subject to the provisions of Section 3.09 

regarding background investigations. 

(dl Thc following notice shall be placed on the 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 employed in a gaming operation. The 

information will be used by National Indian Gaming Commission members and 

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

duties. The information may be disclosed to appropriate Federal, Tribal, 

State, local, or foreign law enforcement and regulatory agencies when relevant 

to civil, criminal or regulatory investigations or prosecutions or when pursuant 

to a requirement by a tribe or the National Indian Gaming Commission in 

connection with the hiring or firing of an employee, the issuance or revocation 

of a gaming License, or investigations of activities while associated with a 

tribe or a gaming operation. Failure to consent to the disclosures indicated in 

this notice will result in a tribe's being unable to hire you in 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. 

Page 21 
(e) Key Employecs and Primary Management Officials hired prior to the effective date of 

this Code shall be notified in writing that they shall either: 

(i) Complete a new application form that contains a Privacy Act notice; or 

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

uses described in that notice. 

(f) The following notice shall be placed on the application form for a Key Employee or a 

Primary Management Official before that form is filled out by an Applicant. 

A false statement on any part of your application may be grounds for not hiring you, or 

for firing you after you begin work. Also, you may be punished by fine or imprisonment. 

(U.S. Code, title 18, sec. 1001.) 

(g) The Commission shall notify in writing any Key Employees and Primary Management 

Officials hired prior to the effective date of this Code that they shall either: 

(i ) Complete a new application form that contains a notice regarding false 

statements; or 

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

Section 3.03b - Approval bv Commissior~ All applications shall bc considered by the Commission in 

accordance with Sections 2.10 to 2.29 of this Code. 

Section 3.04 - Issuance of Tribal gamin^ Licenses: Objections: Authoritv to Issue License. The 

Commission shall consult with appropriate law enforcement officials concerning any Gaming licenses it 

may issue. If, after issuance of a Gaming license by the Commission, reliable information is received 

that a primary management official or key employee does not meet the standard established under 

Section 3.09 of this Code, the Commission shall suspend such license and after notice and hearing, may 

revoke such license. The Commission shall pant or deny all Applications for a License, except that the 

Commission shall deny an application for a License where the Applicant or Licensee does not meet the 

restrictions under Section 3.03a(a)(iv) of this Code, in which case, in the discretion of the Applicant, 

the Applicant may proceed to make a record for findings by the Commission as to the Applicant's 

sufficient rehabilitation and present fitness to hold a License. Any License granted by the Commission 

shall be effective upon the date of grant, which effectiveness shall be provisional as set forth in Sec. 

3.1 1 hereof pending the satisfactory completion of all background investigations and pending 

expiration of the 30day period for review by the NIGC provided for in regulations promulgated by the 

NIGC in part 558 of chapter 25 of the Code of Federal Regulations, including any amendments thereto; 

provided, however, that the Commission must provide written notice to the Council of the granting of 

any Licenses, and the Council shall have the power to overturn the granting of any License on its own 

motion at any time provided the Council has conducted a hearing consistent with Section 2.12. If 

overturned by the Council, a License issued by the Commission shall have no force or effect. Any such 

denial may be appealed to the Tribal Court. 

Mion 3.04a - Appeal of Denial of License. The Applicant may appeal any denial of a License as 

provided in Section 2.16 of this Code. 

tianAQ4b - Notice of or Denial to NIa. The Commission shall promptly notify the NIGC 

or other appropriate federal regulatory body of the issuance or denial of tribal Licenses, as required 

under IGRA. 

Page 22 
c-Ca The Licensee and his or her or its employees shall be legally 

responsible for an-the License. Any Linnse issued hereunder may be canceled 

by the Commission for the breach of any of the provisions of the License, this Code, or any rules 

promulgated pursuant to this Code, as provided in Section 2.30 and as follows: 

(a) Appearance bv Licensee. The Licensee and his or her or its attorney have the right to 

be present and to participate. 

(b) Suspensions. A Liccnx may be summarily suspended for up to thirty (30) days without 

prior hearing for good cause by a maprity vote of the Commission; provided, however, 

that a License shall be suspended during such period as required under the IGRA if the 

cancellation hearing arises as a result of notice from the NIGC under regulations. 

(c) Appeals. All decisions of the Commission regarding cancellations of Licenses shall be 

final, unless appealed as provided in Section 2.16 of this Code, except that a License 

canceled by the Commission pursuant to an objection itemized by the NIGC as provided 

in Section 3.09e may not be appealed. There shall be no right of appeal of any 

suspcnsion decision, and no gaming shall be conducted by any Licensee during the period 

of suspension. No gaming shall be conducted by the Licensee after cancellation, even 

during the pendency of an appeal proceeding. 

5 - -ofClc. . .. 

The Commission may license and regulate Class I11 Gaming Activity if: 

(a) Such Gaming meets the requirements of Section 3.03; and 

(b) Conducted in conformance with the terms and conditions of a valid Tribal/State 

Compact entered into by the Rancheria and the State of California; and 

(c) Such Gaming is approved by the NIGC. 

Section 3.06 - Non Transferability of Licenses. Any License issued pursuant to the provisions of this 

Code is valid only for the person or entity at the place of business shown on the face thereof. It is not 

assignable or otherwise transferable to any other person or entity for any other location without 

approval of the Director and Commission. 

Section 3.07 - Granting - of License: Maioritv Vote. 

(a) If, within a thirty (30) day period after the NIGC receives a report, the NIGC notifies 

the Tribe that it has no objection to the issuance of a License pursuant to a License 

application filed by a Key Employee or a Primary Management Official for whom the 

Commission has provided an application and investigative report to the NIGC, the 

Tribe may issue a Licensc to such Applicant. 

(b) The Commission shall respond to a request for additional information from the 

Chairman of the NIGC concerning a Key Employee or a Primary Management Official 

who is the subject of a report. Such a request shall suspend the thirty (30) day period 

under Subs. (a) of this section until the Chairman of the NIGC receives the additional 

information. 

Page 23 
(c) If, within the thirty (30) day period described above, the NIGC provides the Tribe 

with a statement itemizing objections to the issuance of a License to a Key Employee or 

to a Primary Management Official for whom the Commission has provided an 

application and investigative report to the NIGC, the Commission shall reconsider the 

application, taking into account the objects itemized by the NIGC. The Commission 

shall make the final decision whether to issue a License to such Applicant. 

(d) To approve of any license issued pursuant to this Code, a quorum of the Commission must 

be present with a majority vote of approval by said quorum required. A license will not 

be issued to a person whose license has been previously revoked pursuant to this Code, 

or to whom the issuance of renewal of a license has been denied, except with the 

unanimous approval of the Commission Members. 

. . - r>llcatlon. The Commission shall set a fee for applications, background 

investigations and, licenses. All such fees shall be made payable to the Commission and delivered to 

the Rancheria's Accounting Office. 

(a) Licenses shall be for a term of one ycar, and shall expire on the anniversary of the date 

of issue. 

(b) In order to recover the costs to the Tribe of complying with the federal, tribal, and state 

regulatory processes applicable to Class I1 gaming, or in such event, Class I1 gaming, 

an~~ual License fees shall be imposed as follows: 

(i) License fecs in the amount of $ per year shall bc imposed on each 

party to a Management Contract with the Tribe. 

( i i ) License fees shall be imposed on any persons required to obtain a Tribal License . 

in accordance with a fee schedule to be established by the Council. 

( i i i In addition to the License fees imposed pursuant to Section 3.08(b)(i) and (ii), 

the Commission may in its discretion impose such fees on licensed persons as are 

reasonably related to costs of enforcement, including investigations and 

proceedings before the Commission, which will in the aggregate be sufficient to 

enable the Tribe to recover its reasonable costs of enforcing this Code. 

Section 3.09 - Back~round Investi-. No license shall be granted to any person or entity who has 

been determined to be a person or entity whose prior activities, criminal record, if any, or reputation, 

habits and associations pose a thrcat to the public interest or to the effective regulation and control of 

Gaming, or create or enhance thc 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. Background invcstigations shall be conducted on all persons or entities specified in 

scction 3.01 of this Code. Such investigations shall be conducted according to requirements that are at 

least as stringent as those set forth in regulations promulgated by the NIGC in 25 C.F.R. parts 556 and 

558, including any amendments thereto. 

Section 3.09a - Information Required for Back~round Investieatiorl~, 

(a Each person subject to a background investigation under Sec. 3.01 of this Code shall be 

rcquircd to provide all of thc following information: 

(i) Full name, othcr names used (oral or written), social security number(s), birth 

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

cu+ently and for the previous 5 years: business and employment positions held, 

ownership interests in those businesses, business and residence addresses, and 

drivers license numbers; 

Thcnames and current addresxs of at least three personal references, including 

one personal reference who was acquainted with the Applicant during each 

period of residence listed under paragraph (a)(ii) of this section; 

Current business and residence telephone numbers; 

A description of any existing and previous business relationships with Indian 

tribes, including ownership interests in those businesses; 

A description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those businesses; 

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

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

whether or not such license or permit was granted; 

For each felony for which there is an ongoing prosecution or conviction, the 

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

disposition if any; 

For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding 

minor traffic violations), within ten (10) ycars of the date of the application, 

the name and address of the court involved and the date and disposition; 

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

thcre 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 this section, the 

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

disposition; 

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; 

A current photograph; 

Any other information the Tribe deems relevant; and 

Fingerprints consistent with proceedings adopted by the Tribe according to 25 

C.F.R. §522.2(h). 

(b) The Director shall oversee the Commission to conduct an investigation sufficient to 

make a determination under Scc. 3.09b. In conducting a background investigation, the 

Director and the Commission shall promise to keep confidential the identity of each 

person interviewed in the course of investigation. 

(c) The Commission may only issue a Temporary License to an Applicant after that 

Applicant provides a complete set of fingerprints on forms provided by the NIGC. 

Fingerprints shall be taken exclusively by the Humboldt County Sheriff's Department. 

The Sheriff's Department shall then submit these fingerprint cards directly to the 

NIGC for transmittal to the Federal Bureau of Investigation for processing. Reports 

obtained from such fingerprint processing shall be delivered to the Commission to be 

incorporated into the file of the Applicant, along with results of a criminal history 

check also conducted by the Sheriff's Department. The criminal history check by the 

Sheriff's Department shall include a check of criminal history records maintained by 

the Federal Bureau of Investigation. 

Page 25 
b-E- . . .. . . The Commission shall review a person's prior activities, 

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

eligibility of a Key employee or Primary Management Official for employment in a gaming operation. 

The Commission shall interview a sufficient number of knowledgeable people such as former employers 

of the Applicant and personal references to make a finding concerning eligibility for employment. If 

the Commission or Council determines that employment of the person poxs 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 activities in the conduct of gaming, a hibal gaming operation shall not 

employ that person in a Key Employee or Primary Management Official position. A report on the 

investigations of Primary Management Officials and Key Employees shall be prepared and submitted 

to the NIGC, containing the eligibility determination described in such regulations. All background 

investigations shall otherwise meet the standards of such investigations imposed under the IGRA 

and/or in the event of a Compact, and shall be updated as required under IGRA and/or the Compact, as 

applicable. Nothing herein shall prevent the conduct of more comprehensive background 

investigations than those required under the IGRA or such Compact. 

tion 3.09~ - Prop . . 

(a When a Key Employee or Primary Management Official begins work at a Gaming 

Operation authorized by this Code, the Tribe shall forward to the NIGC a completed 

application for employment and conduct the background investigation and make the 

determination referred to in Sec. 3.09b of this section. 

(b) The Tribe shall forward the report referred to in Sec. 3.09d to the NIGC within sixty 

(60) days after an employee begins work or within sixty (60) days of the approval of 

this Code by the Chairman of the NIGC. 

(c) The Gaming Operation shall not employ as a Key Employee or Primary Management 

Official a person who does not have a license after ninety (90) days. 

Section 3.09d - Report to the NIGC, 

(a) Pursuant to the procedures set out in Sec. 3.09~~ theCommission shall prepare and 

forward to the NIGC an investigative report on each background investigation upon 

issuance of a License. An investigative report shall include all of the following: 

( i Steps taken in conducting a background investigation; 

( i i ~esult' s obtained; 

(i ii Conclusions reached by the Commission; and 

(i v) The Commission's basis for those conclusions. 

(b) The Commission shall submit, with the report, a copy of the eligibility determination 

made under Sec. 3.09b. 

(c) If a License is not issued to an Applicant, the Commission: 

ti) Shall notify the NIGC; and 

(i i May forward copies of its eligibility determination and investigation report, if 

any, to the NIGC for inclusion in the Indian Gaming Individuals Records 

System. 

Page 226 
(dl With respect to Key Employees and Primary Management Officials, applications for 

employment and reports (if any) of background investigations shall be retained for 

inspection by the Chairman of the NIGC or his or her designee for no less than three (3) 

years from'the date of termination of employment. 

(a) If, after the issuance of a gaming License, the Tribe receives from the NIGC reliable 

information indicating that a Key Employee or a Primary Management Official is not 

eligible for employment under Sec. 3.09 above, the Commission shall suspend such 

License and shall notify in writing the Licensee of the suspension and the proposed 

cancella tion. 

(b) The Commission shall conduct a hearing in accord with Sections 2.12 and 3.04~ on a 

proposed cancellation pursuant to Sec. 3.09d. 

(c) After a hearing, the Commission shall decide to cancel or to reinstate a gaming License. 

The Commission shall notify the NIGC of its decision. The decision of the Commission 

to cancel the License shall be final and there shall be no appeal. 

Section 3.10 - Failure of A ~licant to Disclose Material Information. An Applicant for Licensing shall 

make true and full disclosure of all information to the Director and Commission as necessary or 

appropriate in the public interest or as required in order to carry out the policies of this Rancheria 

relating to licensing and control of the Gaming Industry. It is the duty of the Applicant to disclose all 

information material to whether his involvement with Gaming would jeopardize or compromise the 

Tribal interest, whether or not the Applicant has been specifically requested to provide that 

information. It shall constitute a violation of this Code to fail to disclose, mislead or to mis-state any 

such material information to the Director of the Commission, or to any Licensee's employer. 

Section 3.11 - Temporay Emplo-vment Licem. Any License granted hereunder shall be effective on a 

provisional basis pending the satisfactory completion of all background investigations required under 

this Code, the IGRA, any agreement to which the Tribe is a party, and pending expiration of the 30- 

day period for review by the NIGC provided for in regulations promulgated by the NIGC in part 558 of 

chapter 25 of the Code of Federal Regulations, including any amendments thereto, if applicable. Upon 

the satisfactory completion of all required background investigations and such review by the NIGC, 

such License shall continue to be effective until it expires. If background investigations or NIGC review 

are not satisfactorily complct'ed, a provisional License shall havc no further force or effect. 

Section 3.12 - Parameters of Licenses: Condition& Violations of any provision of the Code or any of the 

Commission's regulations by a Licensee, his agent or employee shall be deemed contrary to the public 

health, safety, morals, good order and general welfare of the Blue Lake Rancheria and the inhabitants 

of the Blue Lake Rancheria and shall be deemed grounds for refusing to grant or renew a license, 

suspension or revocation of a license or shall constitute grounds for thc filing of charges by the 

Commission or Director. Acceptance of a Gaming License or renewal thereof, or condition imposed 

thereof by a Licensee, constitutes an agreement on the part of the Licensee to be bound by all the 

regulations and conditions of the Director or Commission had by the provisions of this Code as the same 

are now, or may hereafter be amended or promulgated, and to cooperate fully with the Director and 

Commission. It is the responsibility of the Licensee to keep himself informed of the contents of all such 

regulations, amendments, provisions and conditions; ignorance thereof will not excuse violations. The 

Licensec shall at all times maintain an orderly, clean and neat establishment, both inside and outside 

Page 27 
the licenscd premises; the Ijcenscd premises shall be subject to patrol by the Tribe's security force and 

local law enforcement, and the Licensee shall cooperate at all times with such security and law 

enforcement officials. In addition, 

(a) The licensed premises shall be open to inspection by duly authorized tribal officials at 

all times during the regular business hours; 

(b) There shall be no discrimination in the operations under the license by reason of race, 

color or creed; provided, however, that nothing herein shall prevent the Licensee from 

granting preferences to Indians as permitted by law. 

IV. MANAGEMENT CONTRAaS 

(a) Any managemcnt contract entered into by the Rancheria for the operation and 

management of Class I1 and/or Class 111 Gaming Activity must bc submitted to the 

Commission for approval. Before approving such contract, the Commission shall 

require and obtain the following information: 

(i) The name, address and other additional pertinent background information on 

each person or entity, including comprising such entity, having direct financial 

interest in, or management responsibility for, such contract; and, in the case of a 

corporation, those individuals who serve on the board of directors of such 

corporation and each of its stockholders who hold, directly or indirectly, 10% 

or more of it issued and outstanding stock; and 

(ii) A complete financial statement of each person listed pursuant to subsection (i) 

above; and 

(b) Any person I.isted pursuant to subsection (a)(i) above shall be required to respond to such 

written or oral questions that the Commission may propound in accordance with its 

responsibilities under this scction. 

(c) In making the determination to approve managemcnt contracts, when the Rancheria 

has submitted competing bids or proposals involving Gaming wherein the bids or 

proposals wi,ll provide substantially the same return to the Rancheria and its Members. 

Further, preference will be given to Indians who arc members of the Rancheria and 

cooperative associations of Non-member Indians over Non-Indians. 

Mion 4.02 - Approval of Mha~emnt Contracts. The Commission may approve any management 

contract entered into by the Rancheria pursuant to this Chapter only if it determines that such contract 

provides at least: 

(a) Generally accepted accounting procedures that are maintained and for verifiable 

financial reports that are prepared, by or for the Council on a monthly basis; 

(b) Access to the daily operations of the Gaming to appropriate Tribal Officials who shall 

also have a right to verify the daily gross revenues and income made from any such 

Tribal Gaming Activity; 

Page 28 
(c) For a minimum guaranteed payment to the Rancheria that has preference over the 

retirement of development and construction costs; 

(d) For an agreed ceiling for the repayment of development and construction costs; 

(e) For a contract term not to exceed five (5) years, except that, upon the request of the 

Rancheria, the Commission may authorize a contract term that exceeds five (5) years 

but does not exceed seven (7) years if the Commission is satisfied that the capital 

investment required, and the income projections, for the particular Gaming Activity 

require additional time; and 

(f) For grounds and mechanisms for terminating such contract, but not actual contract 

termination shall not require the approval of the Commission; 

(g) Preference to Tribal Members and Non-member Indians in hiring of employees for the 

Gaming Establishment. 

Section 4.03 - Percentee-of-Net-Revenue Fm. 

(a 1 A management contract providing for a fee based upon a percentage of the net revenues 

of a Tribal Gaming Activity may be approved by the Commission if such percentage fee 

is reasonable in light of surrounding circumstances. Except as provided in this Section, 

such fee shall not exceed 30% of the net revenue. 

(b) Upon request of the Council, the Commission may approve a management contract 

providing for a fee based upon a percentage of the net revenues of a Tribal Gaming 

Activity that exceeds 30% but not 40% of the net revenues if the Commission and 

Council arc satisfied that the capital investment required, and income projections, for 

such Tribal Gaming Activity require the additional fee. 

4 - Contract. The Commission shall not approve any contract if it determines: 

(a) Any person 1,isted to Section 4.01(a)(i) who: 

( i ) Is an elected member of the Council; 

( i i ) Has been or subsequently is convicted of any felony or Gaming offense; 

(i i i ) Has knowingly and willfully provided materially false important statements 

of information to the Commission or the Tribal Official who negotiate such 

contract or has refused to respond to questions propounded pursuant to Section 

4.01 (b); or 

(iv) Has been determined to be a person whose prior activities, criminal record, if 

any, or reputations, habits and associations pose a threat to the public interest 

or to the effective regulation and control of Gaming, or create or enhance the 

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

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

incidental thereto; 

(b) The management contractor has, or has attempted unduly to interfere or influence for its 

gain or advantage any decision or process of Tribal Government relating to Gaming 

Activity; 

Page 29 
(c) The management contractor has deliberately or substantially failed to comply with 

the terms of the management contract, the provisions of this Code or any regulations 

adopted pursuant to this Code or the IGRA. 

The Commission, after notice and hearing, shall have 

the authority to require appropriate contract modifications or may void any contract if it subsequently 

determines that any of the provisions of this Chapter have been violated. 

- -. No Management Contract for the operation of a Gaming 

Activity regulated by this Code shall transfer or convey any interest in land or other real property, 

unless specific applicable statutory authority exists. 

7 - Fee for. The Commission shall require a potential contractor to pay a fee to 

cover the cost of the investigation necessary to reach a determination required in Section 4.04 of this 

Chapter. 

V. AUDITING AND INTERNAL CONTROL 

. The Commission shall 

promulgate regulations for control of internal fiscal affairs of all Gaming Operations. At a minimum, 

those regulations shall: 

(a ) Prescribe minimum procedures for safeguarding the Gaming Operation's assets and 

revenues, including recording of cash, evidence of indebtedness and mandatory count 

procedures. Such procedures shall establish a control environment, a generally 

accepted accounting system and control procedures that safeguard the assets of the 

organization, assures that operating transactions are properly recorded, promote 

operational efficiency and encourage adherence to prescribed policies; 

(b) Prescribe minimum reporting requirements to the Commission. 

(c) Provide for the adoption and use of internal audits, by internal auditors and certified 

Public Accountants licensed to practice public accounting in the Statc of California. 

(d 1 Formulate a uniform code of accounts and accounting classifications to assure consistence, 

comparability and effective disclosure of financial information. Such code shall 

require that records be retained that reflect statistical drop (amount of cash wagered 

by patrons), statistical win (amount of cash won by the Gaming Operation) and the 

percentage of statistical win to statistical drop, or provide similar information for each 

type of game or device; 

(el Prescribe the intervals at which such information shall be furnished; 

(f) Provide for the maintenance of documcntation (i.e., checklist, programs, reports) to 

evidence all internal work performed as it relates to the requirements of this section; 

and 

(g) Provide that all financial statements and documcntation referred to in subsection (f) be 

maintained for a minimum of seven (7) years. 

Page 30 
. . - -. The Commission shall, by regulation, 

require annual audits of the financial statements of all Gaming Operations. Such audits must: 

(a) Be made by independent Certified Public Accountants holding a permit issued by the 

State of California to practice public accounting; 

(b) Include an opinion, qualified or unqualified, or if appropriate, disclaim an opinion on 

the financial statements taken as a whole in accordance with standards of the 

accounting profession established by rules and regulations of the California State 

Board of Accountancy and the American Institute of Certified Public Accountants; 

(c) Disclose whether the accounts, records and control procedures maintained by the 

Gaming Operation are as required by the regulations promulgated by the Commission; 

(d) Provide for a preliminary review of the internal control structure, upon adoption of the 

policies and procedures by the entity, to disclose any deviation from prescribed rules 

and regulations and report such findings to the Commission and Manager of the Gaming 

Enterprise; and 

(c) Copies of the annual audit shall be provided to the NIGC, the California Gaming 

Agency, and the California State Auditor within one hundred twenty (120) days after 

the end of the fiscal year. All gaming related contracts that result in purchases of 

supplies, services or concessions for more than $25,000 in any year (except contracts for 

professional legal or accounting services) shall be specifically included within the 

scope of such audit. The Tribe's Chief Financial Officer shall reconcile the Tribe's 

quarterly fee assessment reports made to the NIGC with the annual audit of the 

Gaming Operations and shall make such reconciliation available to the NlGC upon 

request. 

Section 5.03 - Commission's Right to Conduct Audits. The Commission shall be able to retain its own 

appointed accountants or direct an accountant employed by the Rancheria to conduct its own audit of 

any Gaming Operations. 

Wn 5.04 - Prohibition A~ainst Embezzlement, Any delay, maneuver or action of any kind which in 

the opinion of the Director is effectuated by any Licensee to unlawfully divert Gaming or other process 

property belonging to the Ranchcria shall constitute grounds for taking disciplinary action on that 

Licensee. If the Commission finds an unlawful diversion was attempted, it shall sanction the Licensee. 

Sanctions may include fining, revoking, suspending, limiting or refusing to renew the license. 

Section 5.05 - Non Compliance. Failure to comply with this Chapter or the regulations promulgated 

thereunder, shall constitute a per se violation of this Code. 

VI. AUTHORIZATION OF GAMING 

e. . .. No person duly authorized by the Commission shall engage, 

conduct or condone any game unless such game is approved by this Commission and regulations for rules 

governing such game have been duly promulgated by this Commission. 

Page 31 
Section. The prohibition contained in Section 6.01 shall not apply to those games 

already being played as of (the date of enactment of this Code; provided that the Licensee conform to 

the rules promulgated thereunder within five (5) days of such promulgation. 

Section. . . The Commission may authorize Class I1 Gaming Activity to be 

played on Indian Lands that are within the jurisdiction of the Rancheria. The Commission may 

authorize the playing of any game not prohibited by the laws of the State of California. The 

Commission shall promulgate regulations for rules governing all authorized games, including 

regulations governing the equipment (chips, dice, cards, tiles) used in such game. In the event that the 

Ranchcria executes a Compact with the State of California which is approved by the NIGC for Class 

111 Gaming Activity, any provision in that Compact providing for notice to and comment from the State 

shall be complied with before any game is authorized by the Commission. 

Section The Commission shall have the discretion to review and 

approve all Gaming equipment and other devices used in the Gaming Operation as to quality, design, 

integrity, fairness, honesty and suitability. 

(a ) The Commission may require a prototype or sample of any model of Gaming Equipment 

or other device used in the Gaming Operation to be placed in the custody of the Director 

and retained by him as a control for comparison purposes. 

(b) Any evidence that Gaming Equipment or other devices used in the Gaming Operation 

has been tampered with or altered in any way which would affect the integrity, 

fairness, honesty or suitability of the equipment or device shall be immediately 

reported to the Commission. 

Section 6.05 - post in^ of Rules. The Rules of each authorized game offered at any duly licensed Gaming 

Establishment shall be posted in a conspicuous location and shall be clearly legible. 

VII. EXCLUSION OR EJECTION OF INDIVIDUALS 

. The Commission may (by regulations) provide for the establishment 

of a list of persons who are tobe excluded or ejected from any duly licensed Gaming Operation. The list 

may include any person whose presence in the Gaming Establishment is determined by the Commission 

to pose a threat to the interest of the Rancheria, State of California or to licensed Gaming. Race, color, 

creed, national origin, ancestj. or sex must not be grounds for placing the name of a person on the list. 

Such threats include but are not limited to: 

(a) lmpcrmissible Alcohol Reveraces. No person shall have in his or her possession any 

alcohol beverages on any premises, except in the event that under appropriate licensing 

and requirements of other Tribal Codes and a Tribal/State Compact, the Tribe conducts 

on-premises sales and/or consumption of alcohol beverages. At such time possession and 

consumption of such beverages shall be confined to certain areas specifically defined by 

the Council. 

(b) Prohibited Substances. No person shall have in his or her possession any substance 

prohibited byfederal or state laws while on any premises. 

Page 32 
(c) Persons Under the Influence of Alcohol or Prohibited Substances. No person under the 

influence of any alcohol beverage or prohibited substance shall be allowed on any 

premises. 

(d) Firearms. No person shall have in his or her possession any firearm on any premises. 

This section shall not apply to law enforcement officers or security personnel employed 

by the Tribe. 

(e) Disorderlv Conduct. No person shall engage in conduct which is violent, abusive, 

indecent, profane, boisterous, unreasonably loud, or otherwise disorderly under 

circumstances in which the conduct tends to cause or provide disturbance on any 

premises. 

to be Heard. The Commission shall promulgate regulations 

providing fair notice and opportunity to be heard to any individuals whose name is being contemplated 

by the Rancheria to be placed on the list referred to in Section 7.01. Such regulations must provide the 

person an opportunity to show cause why his name should be deleted from the list. The individual may 

appeal any decision of the Commission to place his name on the list to a court of competent jurisdiction. 

Section 7.03 - Prohibition A~ainst Listed Individuals. It shall be a violation of this Code for any 

Licensee to knowingly fail to exclude or eject from the Gaming Establishment any persons placed on the 

list referred to in Section 7.01. It shall be violation of this Code for any person whose name appears on 

the list referred to in Section 7.01 to enter into or engage in any game at a duly licensed Gaming 

Establishment. 

Section 7.04 - Prohibition A~ainst Certain Individuals. It shall be a violation of this Code for any 

Licensee who knowingly fails to exclude or eject any individual who: 

(a) Is in the Gaming Establishment and is visibly under the influence of liquor or any 

narcotic or such other substance; or 

(b) Is in the Gaming Establishment and is under the age of twenty-one (21) years. 

(c) Provides conveyance on Tribal lands, or whose destination is Tribal Lands and conducts 

or permits to be conducted any Class I1 or, in the event of a Tribal/State Compact, Class 

111 games in such vehicle. 

VIII. CHEATING 

1 - Unlawful. It is unlawful for any person to: 

(a Alter or misreprexnt the outcome of a game or other event on which wagers have been 

made after the outcome is made sure, but before it is revealed to the players; 

(b) Place, increase or decrease a bet or to determine the course of play after acquiring 

knowledge (not available to all players) of the outcome of the game or knowledge that 

is the subject of the bet or wager; 

Page 33 
(c) Aid anyone in acquiring such knowledge as set forth in subsection (b) above, for the 

purpose of increasing or decreasing a bet or wager, or for the purpose of determining the 

course of play contingent upon that event or outcome; 

(d) Claim, collect or attempt to claim or take money or anything of value in or from a 

Gambling Game with intent to defraud, without having made a wager contingent 

thereon, or to claim, collect or take an amount greater than the amount won; 

(e) ~nowin~l~entice or induce another to go to any place where a gambling game is being 

conducted or operated in violating of the provisions of this Chapter, with the intent 

that the other person play or participate in that gambling game; 

(f) To place or increase a bet or wager after acquiring knowledge of the outcome of the game 

or event which is the subject of the bet or wager, including past-posting and pressing 

bets; 

(g) To reduce the amount wagered or cancel the bet aftcr acquiring knowledge of the 

outcome of the game or other event which is the subject of the bet or wager, including 

pinching bets; 

(h) To manipulate with intent to cheat, any component of a gaming device in a manner 

contrary to the designed and normal operational purpose for the component, with 

knowledge that the manipulation affects the outcome of the game or with knowledge of 

any event that affects the outcome of the game. 

action 8.02 - Prohibition Against Electronic Aids. Except as specifically permitted by the Director 

with the approval of the Commission, no person shall posses with the intent to use (or actually use) at ' 

any table game, either by himself, or in concert with others, any calculator, computer or other 

electronic, electrical or mechanical device to assist in projecting an outcome at any table game, to keep 

track of or analyze the cares having been dealt, to change the probabilities of any table game or the 

playing strategies to be utilized. 

IX. NIGC & TRIBAUSTATE COMPACTS 

9.01 - NlCC - -.Notwithstanding any provision in this Gaming code or any 

regulation promulgated thereunder, the Commission is fully empowered to comply with all regulations 

promulgated by thc NIGC, including, but not limited to, all requirements to report ordinances, contracts, 

license applications, background checks and other information to the NIGC. 

9.02 - NIGC - Assessment. Notwithstanding any provision in this Gaming Code or any 

regulation promulgated thereunder, the Commission is fully empowered to comply with all assessments 

authorized by the NIGC. Such assessments shall be paid from the Treasure of the Blue Lake 

Rancheria. 

Section 9.03 - Com~act with the State of Califomb. Notwithstanding any provision in this Gaming 

Code or any regulation promulgated thereunder, the Commission is fully empowered to comply with 

the provisions of any Compact properly executed between the Rancheria and the State of California, in 

the event that such a Compact is executed and approved by the NIGC. 

Page 34 
X DISPUTE RESOLUTION 

- Any dispute or other grievance that involves currency, tokens, 

coins or any othe-tween the customer or player and the Gaming Facility, may be 

raised with the following pbrsons and in the following order: (a) a member of the staff of the Gaming 

Facility, (b) the supervisor in the area in which the dispute arose, (c) the General Manager of the 

Gaming Facility and (d) the Commission. At each level, the complainant has the right to explain his 

or her side of the dispute, and to present witnesses in connection with any factual allegation. At each 

level, if the dispute remains unresolved, the complainant shall be informed of the right to take the 

dispute to the next higher level. Resolution of any dispute by staff of the Gaming Facility shall 

always involve two or more staff members. All disputes, whether resolved or not, shall be the subject of 

a detailed report by all staff involved to their supervisors, or, in the case of the General Manager, to 

the Commission. 

Section . . All disputes which are submitted to the 

Commission shall be decided by the Commission based on information provided by the complainant, 

any witnesses for or documents provided by the complainant, or by the General Manager of the Gaming 

Facility or any other person who has relevant information to provide. The decision of the Commission 

shall be in writing, shall be issued within fourteen (14) days of submission of the matter to the 

Commission, and shall be provided to the General Manager of the Gaming Facility and the 

complainant. 

XI. MISCELLANEOUS 

- M. Each licensed Gaming Establishment must provide for reasonable security. All 

security personnel must be licensed by the commission. 

&tian 11.02 - Maintenance of Code and Refulations. Each Licensee shall obtain, maintain and keep 

current a copy of the Gaming Code and regulations promulgated thereunder, which shall be located on 

the premises used for the conduct of a licensed activity. The Code and regulations shall be produced by 

the Licensee and shown to any authorized interested party upon demand. That the Licensee may not 

have a current copy of the Code, or each of the rules of the Commission, shall not in any way diminish 

the Licensee's obligation to abide by the Code and regulations. 

Section 11.03 - Compliance with Other Laws. The construction, maintenance and operation of any 

facility in which Gaming Activities are to take place shall be in a manner which adequately protects 

the environment and the public health and safety and shall comply with any otherwise applicable 

Tribal and Federal Laws relating to environmental protection and public health and safety. 

Section All provisions of this Gaming Code are subject to amendment by the 

Council. All regulations promulgated by the Commission are subject to proper revision, repeal or 

F. 

amendment by the Commission. 

If any provision of this Code, or its application to any purpose or 

circumstance, is held invalid by a court of competent jurisdiction, the full remainder of the provision, or 

the application of the provision through another person or circumstance, shall not be affected. 

Sction 11-06 - A~ent for Service of Prow The Tribal Chairperson shall be designated as the Agent 

for Service of Process. 

Page 35 
07 - Efm ThisCodc shall take cffect upon its adoption by a majority vote of the 

Council at a duly convened meeting. 
The foregoing Rancheria Gaming Code was considered by the Blue Lake Business Council at a 

duly called meeting and was dopted by the Council, with a quorum being present, and which 

meeting was a. fl held on the $3 - day of 1995. 

n 

By: \ 

Authorized Officer 

Title: kh~~ - 

\ 

ATTEST: 

By: 

Au thorizcd Officer 

Title: ~'CP CC~QV\~ 

Page 37