VIA FIRST CLASS MAIL 

Tracy Tripp 

Acting Tribal Chairperson 

Ione Band ofMiwok Indians 

P.O. Box 699 

Plymouth, CA 95669 

March 6, 2018 

Re: Amended and Restated Tribal Gaming Ordinance, Res. No. 2018-04 

Dear Acting Chairperson T1ipp: 

This letter responds to your February 9, 2018 request on behalf of the Ione Band of Mi wok 

Indians for the National Indian Gaming Conunission Chairman to review and approve the Tribe's 

Amended and Restated Ttibal Gaming Ordinance, Tribal Resolution No. 2018-04. 

The gaming ordinance is approved as it is consistent with the requirements of the Indian Gaming 

Regulatory Act and NIGC regulations. We note that the ordinance permits Class III gaming. Before the 

Tribe may engage in Class III gaming, however, it must have an approved Tribal/State compact that is in 

effect, as required by 25 U.S.C. 2710(d)(l)(C), or Secretarial procedures pursuant to 25 U.S.C. 

2710( d)(7)(B)( vii). 

If you have any questions concerning this letter or the ordinance review process, please contact 

Tana Fitzpatrick, Staff Attorney, at (202) 632-7003. 

Sincerely, 

μ~ 

Jonodev 0. Chaudhmi 

Chairman 

cc: Michael J. Anderson, Ione Band Legal Counsel (manderson@andersonindianlaw.com) 

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW. Mail Stop II 1621 Washington, DC 20240 Tel: 202.632.7003 fax: 202.632.7066 

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Poul, MN; Tulsa OK; Ok.lohoma City, OK 

WWW.NICC.GOV 
IONE BAND OF MIWOK INDIANS 

TRIBAL COUNCIL RESOLUTION 

RESOLUTION NO: 2018-04 

SUBJECT: APPROVAL AND ADOPTION OF AlVIENDED AND RESTATED TRIBAL 

GAMING ORDINANCE OF THE IONE BAND OF MIWOK INDIANS 

WHEREAS: The Ione Band of Miwok Indians of California (the ''Tribe") is a federally 

recognized Indian tribe organized under the Constitution of the Ione. Band ·of 

Mi wok Indians of California, adopted August 10, 2002 (the "Constitution"); 

WHEREAS: Pursuant to Article V, Section 1, of the Constitution, the Tribal Council is the 

governing body of the Tribe; 

'WHEREAS: Pursuant to A1ticle VII, Section l(a) of the Constitution, the Tribal Council is 

responsible for negotiations, consultation and contracting with the federal and 

state governments for the benefit of the Tribe; 

WHEREAS: Pursuant to AI.tide VII, Section l(f) of the Constitution, the Tribal Council is 

empowered to create, regulate, appoint, and oversee independent organizations, 

subordinate organizations, and committees of the Tribe by ordinances; 

WHEREAS: Pursuant to Article Vil, Section l(g) of the Constitution, the Tribal Council is 

further empowered to promulgate and enforce ordinances and resolutions of the 

Tribe, to promote and protect the peace, health, safety, and welfare of the Tribe, 

its members, and all other persons within the Tribe's jurisdiction; 

WHEREAS: Pursuant to Article VII, Section 1 (h) of the Constitution, the Tribal Council is 

further empower:ed to promulgate and enforce civil and criminal ordinances 

governing the e0nduct, affairs, and transactions of members and non-members of 

the Tribe; 

WHEREAS: Pursuant to Article VII, Section l(o) of the Constitution, the Tribal Council is 

tasked with the responsibility to manage and administer tribal lands and assets; 

WHEREAS: On December 27, 2017, the Tribal Council approved and adopted the Tribal 

Gaming Ordinance of the Ione Band of Mi wok Indians and authorized the Acting 

Tribal Chairperson to submit the approved and adopted Ordinance to the National 

Indian Gaming Commission for approval; 

PO Box 699 9252 Bush Street •Plymouth• CA 95669 •Ph: 209-245-5800 •Fox 209-24S-3 l 12 www.ionemiwok.org 
WHEREAS: On January 3, 2018, the Acting Chairperson submitted to Tribal Gaming 

Ordinance to the National Indian Gaming Commission for approval; 

WHEREAS: On February 9, 2018, the Tribal Council learned of certain suggested changes to 

the Tribal Gaming Ordinance by the National Indian Gaming Commission; 

WHEREAS: The suggested changes to the Gaming Ordinance do not substantively affect the 

deci~ions pf the Tribal Council with regard to the conduct of gaming on the 

Tribe's lands; 

WHEREAS: The Tribal Council has determined that, in order to further the Tribe's eff01t to 

develop a gaming facility and secure the approval of the Tribal Gaming 

Ordinance by the National Indian Gaming Commission, it is critical that the Tribe 

adopt the attached Amended and Restated Tribal Gaming Ordinance governing 

the conduct of gaming activities talcing place on the Tribe's lands; and, 

WHEREAS: The Tribal Council has reviewed the attached Amended and Restated Tribal 

Gaming Ordinance of the Ione Band ofMiwok Indians, and has determined that 

approval and adoption of the Ordinance is· in the Tribe's best interest. 

NOW THEREFORE BE IT RESOLVED, that the Tribal Council hereby approves and adopts 

the attached Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok 

Indians. 

BE IT FURTHER RESOLVED, that the Tribal Council hereby authorizes the Acting Tribal 

Chairperson to submit the attached Amended and Restated Tribal Gaming Ordinance to the 

National Indian Gaming Commission for approval. 

lone Band of Miwok Indians 

Tribal Council Resolution 2018-04 

Page 2of3 

********* 

(certification page follows) 

PO Box 699 9252 Bush Street •Plymouth •CA 95669 • Pt1: 209-245-5800• Fox 209-245-3112 www .ionemiwok.org 
., 

CERTIFICATION 

We, the undersigned duly elected officials of the Ione Band of Mi wok Indians, certify that the 

foregoing resolution was adopted at a duly-called meeting of the Tribal Council on Febrnary 9, 

2018, at which a quorum was present, by a vote of 3 for, 0 against, and 0 abstentions. 

Sara Dutschke Setshwaelo 

Tribal Secretary 

Date: tf._,_;i~ ........ """ o.i/---'"' B----- - -

lone Band of Miwok Indians 

Tribal Council Resolution 2018-04 

Page 3of3 

PO Box 699 9252 Bush Streef •Plymouth•CA 95669•Ph: 209-24S-5800•Fox 209-245-3112 www.ionemiwok.org 
AMENDED AND RESTATED 

TRIBAL GAMING ORDINANCE 

OF THE 

THE IONE BAND OF MIWOK INDIANS 
Section 1. 

Section 2. 

Section 3. 

Section 4. 

Section 5. 

Section 6. 

Section 7. 

Section 8. 

Section 9. 

Section 10. 

Section 11. 

Section 12. 

Section 13. 

Section 14. 

Section 15. 

Section 16. 

Section 17. 

Section 18. 

Section 19. 

Section 20. 

Section 21. 

Section 22. 

Section 23. 

Section 24. 

Section 25. 

Section 26. 

Section 27. 

Section 28. 

Section 29. 

Section 30. 

Section 31. 

Section 32. 

Table of Contents to Tribal Gaming Ordinance 

Purpose ....................................................................................................................... I 

Applicability ...........................•.•.••••.•...••.••..•.••...••...•••••••••••••••.•••.•••••••.•••..•••••••••.••••••••• 1 

Definitions ..........•.••••...•.....•.......................................................................................• 1 

Gaming Authorized ................................•.•...•....••.•.•••.•..••.•.......••••.••..•...•.••....••.•.•••..•. 4 

o,vnership of Gaining .•.•••••.••••••••••••••.•••••••••..••••.••••....•..•..•••••••••....••••..•••.......••.....•.... 4 

Use of Net Gaming Revenues ................................................................................... 4 

Per Capita Pay1nents ..•••.••.••••••••••••••.••.•••••..••.•.•.•.•••........••••.••••••......••.•....•.......•.....•... 5 

Board of Directors ..................................................................................................... 5 

Gaming Com1nission ..........•.•••.••••••••.••••••••..••••••••.••••••.•••••••••••••••••••••••••••.•••••••.•••••.•••• 7 

Ethics ........................................................................................................................ 11 

Complimentary Items .........................•.....•••.•...••.•...•.•..••.•..••••.•..•.••••.•••..•....••....••••. 12 

Audits ........................................................................................................................ 13 

Environment and Public Health and Safety ......................................................... 13 

Tribal I11ter11al Control Standards ........•......•.....••.•...••.•..•.....•.•...•.•..•..••......•••.....•• 13 

Patron Dispute Resolution •..................................................................................... 13 

Facility Licenses ••••••••••••.•..•...................................................................................... 14 

Agent f 01· Service of Process •.................................................•................................ 14 

Tribal Access to Fina11cial Infor1natio11 ................................................................. 15 

Lice11se Application F or1ns ••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• 15 

License Fees ......•...•.....•....•.....................................................................................•. 15 

Fingerprints ................................................................................•.........•......•.•...•..... 16 

Backgrou11d 111 vestigatio11s ••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• 16 

Procedures for Conducting Background Investigations ...................................... 17 

I11vestigative Reports •••••••.••..•........•......................................................................... 18 

Eligibility Detei·minations ....................................................•........•......................... 18 

Notice of Results of Background Investigations ................................................... 19 

Limitation on State Reporting Requirements ...................................................... 20 

G1·anting Gaming Licenses ..........................................•.....................................•.... 20 

Records Retentio11 •••••••••••••••••..........•.•.....•...•.•.....•...................•...........•................... 21 

Temporary Licenses ..••.•..................•............................•.......•....•...........................•. 21 

Den)1ing Gaming Licenses ...................................................................................... 21 

Gaming License Suspensions and Revocations ..................................................... 22 
' . 

Section 33. 

Section 34. 

Section 35. 

Section 36. 

Section 37. 

Section 38. 

Section 39. 

Section 40. 

Section 41. 

Section 42. 

Section 43. 

Licenses for Vendors ............................................................................................... 22 

Submission of a Vendor License Application ....................................................... 22 

Vendor License Application and Background Investigations •.•..•.•..•••..•..••••..••••• 23 

Vendor License Fees ................................................................................................ 23 

Vendor Background Investigation Reports •.•••••••••••••••••••••••••••••••••••••••••.•••••••••••••• 23 

Exemption for Vendors Licensed by Recognized Regulatory Authorities .•.•..•. 23 

Compliance with Federal Law ............................................................................... 23 

Severability .............................................................................................................. 23 

Amendments ............................................................................................................ 23 

Interim Gaming Commission ................................................................................. 24 

Effective Date ........................................................................................................... 24 
Tribal Gaming Ordinance of 

the Ione Band of Mhvok Indians 

Section 1. Purpose 

The Tribal Council of the Ione Band of Mi wok Indians (''Tribe"), empowered by the 

Tribe's Constitution to enact ordinances, hereby enacts this Tribal Gaming Ordinance 

("Ordinance") in order to govern and regulate the operation of class II and class III 

gaming on the Tribe's Indian lands. 

Section 2. Applicability 

Unless specifically indicated otherwise, all provisions of this Ordinance shall apply to 

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

Section 3. Definitions 

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

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

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

if they are defined in IGRA and the NIGC' s regulations. 

A. Board of Directors (the Board). The Tribal Board of Directors, who serve as 

primary management officials in overseeing the General Manager and the day-to-day 

non-regulatory aspects of a gaming operation. 

B. Class I gaming. Social games solely for prizes of minimal value or traditional forms 

of Indian gaming engaged in by individuals as part of, or in connection with, Tribal 

ceremonies or celebrations. 

C. Class II gaming. Those gaming activities defined as "class II gaming" in IGRA at 

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

D. Class III gaming. Those gaming activities defined as .. class Ill gaming" in IGRA at 

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

E. Commission. The Tribal Gaming Commission established pursuant to this 

Ordinance to perform regulatory oversight and to monitor compliance with Tribal, 

federal, and applicable state regulations. 

F. Commissioner. A Tribal Gaming Commissioner. 

G. Complimentary shall have the meaning as set forth in 25 C.F.R. § 542.2(a). 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Mi wok Indians 1 
H. Facility License. A license defined as a "Facility License" in the NIGC's regulations 

at 25 C.F.R. § 502.23. See also IGRA at 25 U.S.C. § 2710(b)(1) and (d)(l)(A)(iii). 

I. Financial Source. Any individual or entity who, directly or indirectly, extends 

financing to a Gaming Operation. 

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

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

operation may be operated by the Tribe directly, or by a management contractor. 

K. Gaming Resources. Any goods or services provided or used in connection with 

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

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

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

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

gaming consulting services, or as otherwise defined under a Tribal-State Compact (or, 

alternatively, Secretarial Procedures). "Gaming resources" does not include 

professional accounting and legal services. 

L. IGRA. The Indian Gaming Regulatory Act, 25 U.S.C. §§ 2701 et seq., and any and 

all regulations promulgated pursuant thereto. 

M. Indian Lands. Those lands defined as "Indian Lands" in IGRA at 25 U.S.C. § 

2703(4) and the NIGC's regulations at 25 C.F.R. § 502.12. See also 25 U.S.C. § 2719 

and 25 C.F.R. part 292. 

N. Key Employee. 

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

(a) Bingo caller; 

(b) Counting room supervisor; 

(c) Chief of security; 

(d) Custodian of gaming supplies or cash; 

( e) Floor manager; 

(t) Pit boss; 

(g) Dealer; 

(h) Croupier; 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Mi wok Indians 2 
(i) Approver of credit; or 

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

and accounting records within such devices; 

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

in excess of $50,000 per year; 

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

gaming operation; or 

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

0. Management Contract. Any contract, subcontract or collateral agreement between 

an Indian tribe and a contractor or between a contractor and a subcontractor if such 

contract or agreement provides for the management of all or pa1t of a gaming 

operation. 

P. Net Revenues. Gross gaming revenues as defined as "Net Revenues" in IGRA at 25 

U.S.C. § 2703(9) and the NIGC's regulations at 25 C.F.R. § 502.16. 

Q. NIGC. The National Indian Gaming Commission, established pursuant to IGRA at 

25 u.s.c. § 2704. 

R. Primary Management Official. 

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

or 

2. Any person who has authority: 

(a) To hire and fire employees; or 

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

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

responsibility; or 

4. Any other person designated by the Commission as a primary management 

official. 

S. Recognized Regulatory Authority. The following jurisdicitions: other federally 

recognized tribes, Nevada, New Jersey, Colorado and Washington State. 

T. Secretarial Procedures. Procedures that may be prescribed by the Secretary of the 

Interior in lieu of a Tribal-State Compact pursuant to IGRA at 25 U.S.C. § 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Mi wok Indians 3 
2710( d)(7), 

U. State Gaming Agency. The entity or entities authorized to investigate, approve, 

regulate and license gaming pursuant to state law in the state in which any Gaming 

Facility is located. 

V. Tribe. The Ione Band of Mi wok Indians of Califomia, a federally recognized Indian 

tribe. 

W. Tribal Council. The governing body of the Tribe under the Tribe's Constitution. 

X. Tribal Gaming Regulations. Any gaming regulations issued by the Commission 

pursuant to this Ordinance relating to class II and/or class III gaming on the Tribe's 

Indian lands. 

Y. Tribal-State Compact. An agreement that may be entered into between the Tribe 

and a state concerning the conduct of class III gaming, pursuant to IGRA at 25 U.S.C. 

§ 2710(d). See also NIGC's regulations at 25 C.F.R. § 502.21. 

Section 4. Gaming Authorized 

Class II and class III gaming are authorized to be conducted on the Tribe's Indian lands, if 

such gaming is conducted in accordance with this Ordinance, IGRA, the NIGC's 

regulations, and any other applicable laws or regulations. 

Section 5. Ownership of Gaming 

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

of any Gaming Operation authorized by this Ordinance, unless the Tribe elects to 

allow individually owned gaming. 

Section 6. Use of Net Gaming Revenues 

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

I. To fund Tribal government operations or programs; 

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

3. To promote Tribal economic development; 

4. To donate to charitable organizations; or 

5. To help fund operations of local govenunent agencies. 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok Indians 4 
Section 7. Per Capita Payments 

A Net Revenues from any class II and/or class III gaming activities conducted or 

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

if1. The Tribe has prepared a plan to allocate revenues to one or more of the 

five uses authorized by Section 6(A) of this Ordinance; 

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

particularly with respect to the uses described in Sections 6(1) and 6(3) of 

this Ordinance; 

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

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

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

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

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

incompetent person; and 

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

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

Section 8. Board of Directors 

A In addition to the General Manager for the facility, there shall be established a Tribal 

Board of Directors, which shall serve in a management oversight role over the 

General Manager and the day-to-day operations of Tribal businesses, and the gaming 

enterprise. In the event that the Tribe enters into a management contract approved by 

the NIGC, the Board may delegate some or all of its duties involving management of 

the gaming enterprise to the approved management contractor. The Board shall 

oversee all non-regulatory aspects of the gaming operation. Regulation of the gaming 

operation shall be the sole responsibility of the Commission. 

B. The Board of Directors shall consist of three (3) to five (5) members at the discretion 

of the Tribal Council. The Board of Directors shall consist of a Chairperson, ViceChairperson, and at least one Director. Terms of office for members of the Tribal 

Gaming Board of Directors shall be as follows: the Chairperson shall serve an initial 

term of one year, with subsequent Chairpersons serving three-year tenns. The Vice 

Chairperson and other Director(s) shall serve an initial term of two years, with 

subsequent Vice-Chairpersons and Directors serving three-year terms. The members 

of the Board shall be subject to the same background requirements as key employees 

and primary management officials, and must be licensed accordingly. In order to 

serve on the Board, a person must possess one of the following: 

1. Degree in Business Administration, Accounting, Marketing, or an equivalent 

field; 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Mi wok Indians 5 
2. Minimum five (5) years experience in business management; 

3. Minimum two (2) years experience in casino management; or 

4. Demonstrated knowledge of federal Indian law, the Indian Gaming 

Regulatory Act, and related statutes and regulations. 

C. The Board of Directors shall perform the following duties: 

1. Monitor and oversee the day-to-day operations of the gaming facility, whether 

managed by a Tribal employee or by an approved management contractor; 

2. Inspect and examine on a periodic basis all books, records, and papers of the 

gaming facility; 

3. Set hours of operation for the gaming facility; 

4. Set wager limits; 

5. Develop marketing plans; 

6. Oversee the interview, selection, and training of employees of the gaming 

operation; 

7. Establish employee policies, rates of pay, and hours of work; 

8. Adopt an annual operating budget, subject to Tribal Council approval; 

9. Enter into contracts on behalf of the gaming facility, subject to Tribal Council 

approval and NIGC review; and 

10. Any other duties necessary to monitor and oversee the gaming operation. 

11. Any other duties determined necessary to operate, monitor and oversee 

additional Tribal businesses. 

D. Members of the Board of Directors shall be appointed by the Tribal Council. 

E. The Tribe recognizes the importance of an independent Tribal Gaming Board of 

Directors in maintaining a well-managed gaming operation. To avoid potential 

conflicts of interest between the operation and regulation of the gaming facility, the 

Tribe hereby finds that, at a minimum: 

1. No greater than two (2) members of the Tribal Council may serve on the 

Board of Directors at any given time; 

2. No immediate family members may serve concurrently with one anotheron 

the Board of Directors. This requirement will be waived only in the event that 

the Tribal Council cannot adequately fill all Board positions without 

appointing more than one person from the same immediate family; 

3. Members of the Board of Directors are prohibited from gambling in the 

facility; and 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Mi wok Indians 6 
4. Members of the Board of Directors are prohibited from accepting 

Complimentary items from the gaming operation, except food and beverages 

valued at five (5) dollars or less. 

F. Members of the Board of Directors may be removed from office by the Tribal 

Council prior to the expiration of their respective terms only for neglect of duty, 

misconduct, malfeasance, or other acts that would render the Director unqualified for 

his/her position. Any allegations of neglect of duty, misconduct, malfeasance, or 

other acts that would render him or her unqualified for his/her position must be 

substantiated by a preponderance of the evidence. When the Tribal Council believes 

that a removal is appropriate, it shall so notify the Director(s) and hold a hearing on 

the matter. The hearing process will be set forth in a separate policy to be adopted by 

the Tribal Council. The Tribal Council may opt to preliminarily remove the Director 

pending the hearing. The affected Director will be given an opportunity to provide 

evidence rebutting the grounds for his or her proposed removal before the removal is 

considered. A vote by the Tribal Council on the validity of the removal shall be final 

and not subject to further appeal. A finding by the Tribal Council that the preliminary 

removal was wrongful shall entitle the affected Director to compensation for 

expenses incurred in appealing the wrongful removal, and shall entitle the Director to 

any pay withheld. 

G. Members of the Tribal Gaming Board of Directors shall be compensated at a level 

determined by the Tribal Council. 

Section 9. Gaming Commission 

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

regulate the Tribe's Gaming Operations. The Commission shall consist of three (3) to 

five (5) members, including a Chair, Vice-Chair and at least one additional 

Commissioner. 

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

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

for individuals employed in the Gaming Operation and will administer background 

investigations as part of the licensing process. The Cmrunission will also have a role 

in monitoring compliance with the Gaming Operation's internal controls and in 

tracking gaming revenues. In order to carry out its regulatory duties, the Commission 

shall have unrestricted access to all areas of the Gaming Operation and to all of its 

records. The Commission shall have authority to take enforcement actions, including 

suspension or revocation of an individual gaming license, when appropriate. 

C. Commissioner positions shall be filled through appointment by the Tribal Council. 

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

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

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

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Mi wok Indians 7 
subsequent Vice-Chairs and Commissioner(s) serving 3-year terms. 

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

1. Tribal Council members, while serving as such; 

2. CmTent employees of the Gaming Operation; 

3. Gaming contractors (including any principal of a management, or other, 

contracting company); 

4. A spouse, child, parent, grandparent, grandchild, aunt, uncle or first cousin 

of, or person sharing a residence with, any of the above; 

5. Persons ineligible to be Key Employees or Primary Management Officials; 

6. Non-tribal members previously convicted of any felony or misdemeanor 

offense of embezzlement, theft or any other money-related or honesty-related 

misdemeanor offense, such as fraud, cannot serve as a Commissioner. 

F. Tribal members previously convicted of any felony or misdemeanor offense of 

embezzlement, theft or any other offense related to money or honesty, such as fraud, 

will only be allowed to serve as a Commissioner if the Tribal Council specifically 

finds that a significant amount of time has passed and the person is now of 

trustwo1thy character. 

G. The Tribal Council shall require a criminal history check with appropriate law 

enforcement agencies for each Commissioner candidate; shall review the candidate's 

criminal history check results; and shall make an appropriate eligibility determination 

before appointing an individual to the position of Commissioner. 

H. The Tribe recognizes the importance of an independent Commission in maintaining a 

well-regulated Gaming Operation. The Commission shall be independent of, and act 

independently and autonomously from, the Tribal Council in all matters within its 

purview. No prior, or subsequent, review by the Tribal Council of any actions of the 

Commission shall be required or permitted except as otherwise explicitly provided in 

this Ordinance. To avoid potential conflicts of interest between the operation and 

regulation of the Gaming Operation and the Gaming Facility, the Tribe requires that, 

at a minimum: 

1. Members of the Commission are prohibited from gambling in the Gaming 

Facility; 

2. Commissioners are prohibited from accepting Complimentary items from the 

Gaming Operation, excepting food and beverages valued under five (5) 

dollars; 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok Indians 8 
3. Commissioners may only be removed from office by the Tribal Council, 

prior to the expiration of their respective tenns, for neglect of duty, 

misconduct, malfeasance or other acts that would render a Commissioner 

unqualified for the position; 

I. Nominees for Commissioner positions must satisfy the eligibility standards set forth 

for Primary Management Officials and Key Employees found in the "Eligibility 

Determinations" Section of this Ordinance. All requisite background investigations 

shall be performed under the sole direction of the Tribe. Commissioners are not 

required to be licenced under this Ordinance. 

J. The Commission shall: 

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

conducted, for Primary Management Officials and Key Employees; 

2. Review and approve all investigative work conducted in 

connection with the background investigations of Primary 

Management Officials and Key Employees; 

3. Create and maintain investigative reports based on the background 

investigations of Primary Management Officials and Key Employees; 

4. Obtain and process finge1prints, or designate a law enforcement agency 

to obtain and process fingerprints; 

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

of the Commission; 

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

done for each Primary Management Official and Key Employee applicant; 

7. Issue gaming licenses to Primary Management Officials and Key 

Employees of the Gaming Operation, if wan·anted by the eligibility 

determination; 

8. Establish standards for licensing gaming facilities; 

9. Issue gaming Facility Licenses to gaming facilities; 

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

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

records of the Gaming Operation(s); 

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

regulations regarding Indian gaming; 

Amended and Restated Tribal Gaming Ordinance of the lone Band of Mi wok Indians 9 
12. Investigate any suspicion of wrongdoing associated with any Gaming 

Operation; 

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

established in this Ordinance and any Tribal Gaming Regulations; 

14. Comply with any and all repo1ting requirements under IGRA, the NIGC's 

regulations and any Tribal-State Compact to which the Tribe is a pmty, and 

any other applicable law; 

15. Promulgate and issue Tribal Gaming Regulations necessary to 

comply with applicable internal control standards; 

16. Promulgate and issue Tribal Gaming Regulations on the levying of fees 

and/or taxes associated with gaming license applications; 

17. Promulgate and issue Tribal Gaming Regulations on the levying of fines 

and/or the suspension or revocation of licenses for violations of this 

Ordinance or any Tribal, federal or state gaming regulations, if applicable; 

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

facilities in order to maintain the integrity of the Gaming Operation( s ); 

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

the gaming facilities, and create Tribal Gaming Regulations for enforcing the 

exclusions; 

20. Provide referrals and information to the appropriate law enforcement 

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

state statutes, ordinances, regulations, codes or resolutions; 

21. Create a list of regulatory authorities that conduct background 

investigations of, and license, vendors who are recognized as 

trustworthy; 

22. Draft and adopt Tribal Gaming Regulations exempting vendors from the 

licensing and/or background investigation requirements if they have 

received a license from a Recognized Regulatory Authority; 

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

proper regulation of the Gaming Operation(s); and 

24. Promulgate such Tribal Gaming Regulations and guidelines as deemed 

appropriate to implement the provisions of this Ordinance, so long as they 

are in furtherance of, and not in conflict with, any provisions of this 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok Indians 10 
Ordinance. 

K Before adopting, amending or repealing Tribal Gaming Regulations, the Commission 

shall give notice of any such proposed action lo the Tribal Council, the Gaming 

Operation(s) and all other persons whom lhe Commission has reason to believe have 

a legitimate interest in the proposed action. The notice shall invite comments and 

describe the general nature of the proposed action and the manner in which comments 

on the proposed action shall be received by the Commission. 

L. The Commission shall ensure that all records and information obtained as a result of 

an employee background investigation shall remain confidential and shall not be 

disclosed to any persons who are not directly involved in the licensing and 

employment processes. Information obtained during the course of an employee 

background investigation shall be disclosed to members of management, human 

resource personnel and/or others employed by the Gaming Operation(s) on a need-toknow basis, for actions taken in their official capacities. 

M. The confidentiality requirements in (J), do not apply to requests for such records or 

information from any Tribal, federal, or state law enforcement or regulatory agency, 

or for lhe use of such records or information by the Commission and staff in the 

performance of their official duties. 

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

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

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

vacancies on the Commission. 

0. Commissioners shall be compensated at a level determined by the Tribal Council. In 

order to ensure the Commission is not improperly influenced, a Commissioner's 

compensation shall not be based on a percentage of gaming revenue. 

P. The Commission shall keep a written record of its meetings. 

Section 10. Ethics 

A The Tribe recognizes that the duties of the Gaming Board of Directors and the Tribal 

Gaming Commission include making important decisions on highly sensitive issues. 

As such, the Tribe has determined that the Board of Directors and the Gaming 

Commission shall be held to extremely high ethical standards. Before taking their 

positions on the Board of Directors and the Tribal Gaming Commission, the members 

of the Board and the Commission ("Members") shall agree to be bound by the 

following principles: 

1. Members shall not hold financial interests that conflict with the conscientious 

performance of their duties as managers and regulators. 

2. Members shall not engage in financial transactions using nonpublic 

Amended and Restated Tribal Gaming Ordinance of the lone Band of Mi wok Indians 1 1 
information or allow the improper use of such information by others on their 

behalf to further any private interest. 

3. Members shall not solicit or accept any gift or other item of monetary value, 

including Complimentary items or services, from any person or entity seeking 

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

regulated by the Members' organization, or whose interests may be 

substantially affected by the performance or nonperfomlance of the Members' 

duties. 

4. Members shall make no unauthorized commitments or promises of any kind 

purpmting to bind the Tribe. 

5. Members shall not use their positions for private gain. 

6. Members shall act impa1tially, in accordance with all relevant Tribal, Federal, 

and State laws (where applicable), and shall not give preferential treatment to 

any private organization or individual, including to any persons related to 

Members. 

7. Members shall ensure that Tribal property and gaming assets shall be properly 

segregated and safeguarded, and that such property and assets shall not be 

used for unauthorized activities. 

8. Members shall not engage in outside employment or activities, including 

seeking or negotiating for future employment, which conflict with their 

official duties and responsibilities. 

9. Members shall disclose waste, fraud, abuse, and corruption to appropriate 

authorities. 

10. Members shall endeavor to avoid any actions creating the appearance that 

they are violating the law or the ethical standards listed herein. 

11. Members shall disclose any real or apparent financial or personal conflicts. If 

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

in any decision related to the conflict. 

Section 11. Complimentary Items 

A. The use of Complimentary items shall be governed by regulations established by the 

Tribal Gaming Commission. 

B. No Key Employee, Primary Management Official, Tribal Council member, member 

of the Gaming Board of Directors or Tribal Gaming Commission, or any person 

directly related to or sharing a residence with the above persons, shall be authorized 

to receive Complimentary items other than food and beverages valued at five (5) 

dollars or less, or, if at a public event held at the gaming facility, the free food and 

beverages offered to the general public. 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok Indians 12 
Section 12. Audits 

A. The Tribe shall cause to be conducted, independent audits of any and all Gaming 

Operations annually and shall submit the results of those audits tothe NIGC. 

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

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

concessions for more than $25,000 in any year (except contracts for professional legal 

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

conducted under this Ordinance. 

C. Copies of the annual audit of each Gaming Operation, and each audit for supplies, 

services or concessions of each Gaming Operation, shall be furnished to the NIGC 

within 120 days after the end of each fiscal year of the Gaming Operation. 

Section 13. Environment and Public Health and Safety 

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

adequately protects the environment and the health and safety of the public. 

B. The Commission shall identify and enforce laws, resolutions, codes, policies, 

standards, or procedures, which are applicable to each gaming facility to ensure 

adequate protection of the environment and the health and safety of the public. 

Section 14. Tribal Internal Control Standards 

The Tribe shall adopt and implement Tribal Internal Control Standards ("TICS") for the 

operation of its Tribal Gaming Operation(s) in accordance with applicable law. The 

TICS shall be set out in separate regulations to be reviewed and approved by the Tribal 

Council. 

Section 15. Patron Dispute Resolution 

Patrons with complaints against the Gaming Operation shall have the right to file a 

petition for relief with the Commission. The Commission shall be responsible for the 

receipt of patron disputes. Complaints shall be submitted in writing. Any patron 

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

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

recovery of Two Hundred Fifty Thousand Dollars ($250,000.00) per occurrence, and a 

cumulative limit of Five Hundred Thousand Dollars ($500,000.00) per patron in any 12-

month period, except for disputes relating to a patron's entitlement to a game prize, 

which shall be limited to the amount of such prize. 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Mi wok Indians 13 
. . 

Section 16. Facility Licenses 

A. The Tribe shall issue a separate Facility License to each place, facility or location on 

Indian Lands where class II and/or class III gaming is conducted under this Ordinance 

once every two (2) years. 

B. The Commission is responsible for issuing new or renewed Facility Licenses to each 

place, facility or location. 

C. The Commission shall require that a Facility License application be completed by the 

chief management official of the Gaming Operation for each place, facility or 

location. 

D. The Commission shall be responsible for ensuring the environmental, health and 

public safety standards adopted by the Tribe are complied with by each gaming 

facility, and shall specify the form, conditions and content of a Facility License 

application. The application shall include: 

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

ce1tification that the site constitutes "Indian lands," as defined in IGRA, the 

NIGC's regulations, the NIGC Office of General Counsel and the DOI Office 

of the Solicitor's Indian lands legal opinions, judicial decisions and any other 

applicable law. 

E. The Commission shall only issue a Facility License if the application includes the 

required information and documentation, and sufficiently satisfies any additional 

conditions deemed necessary by the Tribe. 

F. Notice in Advance of Initial Facility License. The Tribe or Commission shall submit 

to the NIGC Chair a notice that issuance of a Facility License is under consideration 

by the Commission. This notice must contain the information and documentation set 

out in 25 C.F.R. § 559.2(b) and be submitted at least 120 days before the opening of 

any new gaming place, facility or location on Indian lands. The Commission may 

request an expedited 60-day review of the notice. 

G. Notice of Issuance. The Commission shall submit a copy of each newly issued or 

renewed Facility License to the NIGC Chair within 30 days of issuance, along with an 

attestation as required by 25 C.F.R. § 559.4 and any other required documentation. 

H. The Tribe shall notify the NIGC Chair within 30 days if a Facility License is 

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

Section 17. Agent for Service of Process 

The Tribe designates the Tribal Chairperson as the agent for service of any official 

determination, order or notice of violation. 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok Indians 14 
Section 18. Tribal Access to Financial Information 

A copy of a Gaming Operation's annual audit will be made available for review, upon 

request, to the Tribal Council. 

Section 19. License Application Forms 

A. Privacy Notice. The following notice shall be placed on the Tribe's license 

application fotm for a Key Employee or a Primary Management Official before it is 

filled out by an applicant: 

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

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

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

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

information will be used by the Tribal gaming regulatory authorities and by 

the National Indian Gaming Commission members and staff who have need 

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

information may be disclosed by the Tribe or the NIGC to appropriate Federal, 

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

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

pursuant to a requirement by a tribe or the NIGC in connection with the 

issuance, denial, or revocation of a gaming license, or investigations of 

activities while associated with a tribe or a gaming operation. Failme to 

consent to the disclosures indicated in this notice will result in a tribe being 

unable to license you for a Primary Management Official or Key Employee 

position. 

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

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

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

Employee or a Primary Management Official before it is filled out by an applicant: 

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

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

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

Section 20. License Fees 

The Tribe may charge a license fee, in an amount to be set by the Conunission, to cover 

its expenses in investigating and licensing Key Employees and Primary Management 

Officials of a Gaming Operation. 

Amended and Restated Tribal Gaming Ordinance of the lone Band of Miwok Indians 15 
' " 

Section 21. Fingerprints 

The Tribe shall perform a background investigation for each Primary Management 

Official and Key Employee of a Gaming Operation. The Tribe shall request fingerprints 

from each Primary Management Official and Key Employee. Fingerprints shall be taken 

by the Commission. Fingerprints will then be forwarded to the NIGC for processing 

through the Federal Bureau of Investigation ("FBI") and the National Criminal 

Information Center to determine the applicant's criminal history, if any. 

Section 22. Background Investigations 

A. The Tribe shall perform a background investigation for each Primary Management 

Official and Key Employee in its Gaming Operation(s). 

B. The Commission is responsible for conducting the background investigations of 

Primary Management Officials and Key Employees. 

C. The Commission shall obtain from each Primary Management Official and Key 

Employee all of the following information: 

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

birth date, place of birth, citizenship. gender and all languages spoken 

and/or written); 

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

positions held, ownership interests in those businesses, business and 

residential addresses, and driver's license numbers; 

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

references, including one (1) personal reference who was acquainted 

with the applicant during each period of residence listed under 

paragraph (C)(2) of this Section; 

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

numbers; 

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

other tribes, including any ownership interests in the businesses; 

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

gaming industry generally. including ownership interests in the businesses; 

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

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

whether or not such license or permit was granted; 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok Indians 16 
. ' 

8. For each felony for which there is an ongoing prosecution or a conviction, 

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

disposition, if any; 

9. For each misdemeanor conviction or ongoing misdemeanor prosecution 

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

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

disposition, if any; 

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

there is a conviction, if such criminal charge is within ten (l 0) years of the 

date of the application, and is not otherwise 1 isted pursuant to paragraphs 

(C)(8) or (C)(9) of this Section, the criminal charge, the name and address of 

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

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

person has filed an application for an occupational license or permit, 

whether or not such license or permit was granted; 

12. A recent photograph; 

13. Any other information the Commission deems relevant; and 

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

pursuant to 25 C.F.R. § 522.2(h). 

D. When a Primary Management Official or Key Employee is employed by the Tribe, a 

complete application file, containing all of the information listed in Section 22(C), 

shall be maintained. 

Section 23. Procedures for Conducting Background Investigations 

A The Commission, or its agents, shall employ or engage an investigator to conduct a 

background investigation of each applicant for a Primary Management Official or 

Key Employee position. The investigation must be sufficient to allow the 

Commission to make an eligibility determination under the "Eligibility 

Determinations" Section of this Ordinance. The investigator shall: 

l. Verify the applicant's identity through items such as a social security 

card, driver's license, birth certificate or passport; 

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

application, when possible; 

3. Conduct a personal credit check; 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok Indians 17 
. ' 

4. Conduct a civil history check for past or outstanding judgments, current 

liens, past or pending lawsuits, and any other information deemed to be 

relevant; 

S. Conduct a criminal history records check by submitting the applicant's 

fingerprints to the NIGC or to another law enforcement agency for 

forwarding to the FBI to perform a criminal history records check utilizing 

the FBI's data base; 

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

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

source, obtain information from the appropriate court regarding any past 

felony and/or misdemeanor convictions or ongoing prosecutions within the 

past ten (10) years; 

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

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

contacting the entities or tribes; 

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

by contacting the agency; and 

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

information, focusing on any problem areas noted. 

Section 24. Investigative Reports 

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

investigation of a Primary Management Official or Key Employee. 

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

1. Steps taken in conducting the investigation; 

2. Results obtained; 

3. Conclusions reached; and 

4. The basis for those conclusions. 

Section 25. Eligibility Determinations 

A. Before a license is issued to a Primary Management Official or Key Employee, an 

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

for receiving a license by reviewing the applicant's prior activities, criminal record) if 

any, and reputation, habits and associations. 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok Indians 18 
. . . ' 

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

determines that licensing the person poses a threat to the public interest or to the 

effective regulation of gaming, or creates or enhances the dangers of unsuitable, 

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

authorized Tribal official shall not license that person in a Key Employee or Primary 

Management Official position. 

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

must be submitted to the NIGC before the licensing of a Primary Management 

Official or Key Employee. 

Section 26. Notice of Results of Background Investigations 

A. Before issuing a License to a Primary Management Official or Key Employee, the 

Commission shall prepare a notice of results of the applicant's background 

investigation to submit to the NIGC. 

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

after the applicant begins working for the Tribe. 

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

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

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

Management Official or Key Employee; 

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

including: 

(a) licenses that have previously been denied; 

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

reinstated; 

(c) every known criminal charge brought against the applicant 

within the last ten (10) years of the date of the application; and 

( d) every felony offense of which the applicant has been convicted or 

any ongoing prosecution; and 

4. A copy of the eligibility determination made in accordancewith the 

"Eligibility Determinations" Section of this Ordinance. 

Amended and Restated Tribal Gaming Ordinance of the lone Band of Mi wok Indians 19 
• I ' \ 

Section 27. Limitation on State Reporting Requirements. 

Notwithstanding any requirements to the contrary in this Ordinance, if the Tribe operates 

a gaming facility that offers only class II gaming and not class III gaming, or the Tribe is 

not otherwise subject to state reporting requirements, the Commission's reporting and 

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

applicable federal law. In such cases, the Commission's ability to issue a license shall not 

be dependent on receiving a determination of suitability from a State Gaming Agency 

unless otherwise required by applicable federal law. 

Section 28. Granting Gaming Licenses 

A. All Primary Management Officials and Key Employees of a Gaming Operation must 

have a gaming license issued by the Tribe. 

B. The Commission is responsible for granting and issuing gaming licenses to Primary 

Management Officials and Key Employees. 

C. The Commission may license a Primary Management Official or Key Employee 

applicant after submitting a notice of results of the applicant's background 

investigation to the NIGC. 

D. The Commission shall notify the NIGC of the issuance of a license to a Primary 

Management Official or Key Employee within 30 days of issuance. 

E. The Tribe shall not employ an individual in a Primary Management Official or Key 

Employee position who does not have a license after 90 days of begi1U1ing work at a 

Gaming Operation. 

F. The Commission must reconsider a license application for a Primary Management 

Official or Key Employee if it receives a statement of itemized objections to issuing 

such a license from the NIGC, and those objections are received within 30 days of the 

NIGC receiving a notice of results of the applicant's background investigation. 

1. The Commission shall take the NIGC' s objections into account when 

reconsidering a license application. 

G. The Commission will make the final decision whether to issue a license to an 

applicant for a Primary Management Official or Key Employee position. 

H. If the Commission has issued a license to a Primary Management Official or Key 

Employee before receiving the NIGC's statement of objections, notice and a hearing 

shall be provided to the licensee, as required by Section 32. 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok Indians 20 
' ' I \ 

Section 29. Records Retention 

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

Management Official or Key Employee is terminated from employment with the 

Tribe, the following documentation: 

1 . Applications for licensing; 

2. Investigative repo1ts; and 

3. Eligibility determinations. 

Section 30. Temporary Licenses 

If an applicant has completed a license application to the satisfaction of the Commission, 

and the Commission has conducted a preliminary background investigation, the 

Commission may issue a temporary license and impose such conditions thereon as it 

deems appropriate pending completion of the licensing process. Provided that, the 

Commission has no information suggesting the applicant would be automatically 

disqualified from obtaining a license or that would cause a reasonable person to 

investigate further before issuing a license. Temporary licenses shall expire upon ninety 

(90) days of issuance. 

Section 31. Denying Gaming Licenses 

A The Commission shall not license a Primary Management Official or Key Employee 

if an authorized Tribal official determines, in applying the standards in the 

"Eligibility Determinations" Section of this Ordinance for making a license 

eligibility determination, that licensing the person: 

1. Poses a threat to the public interest; 

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

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

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

B. When the Commission does not issue a license to an applicant for a Primary 

Management Official or Key Employee position, or revokes a previously issued 

license after reconsideration, it shall: 

1. Notify the NIGC; and 

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

applicant's background investigation to the NIGC for inclusion in the 

Indian Gaming Individuals Record System. 

Amended and Restated Tribal Gaming Ordinance of the lone Band of Miwok Indians 21 
f ' • " 

Section 32. Gaming License Suspensions and Revocations 

A If, after a license is issued to a Primary Management Official or a Key Employee, the 

Tribe or the Commission receives notice from the NIGC that the Primary 

Management Official or Key Employee is not eligible for employment, the 

Commission shall do the following: 

1. Immediately suspend the license; 

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

proposed revocation; and 

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

proposed revocation of the license. 

B. The right to a revocation hearing vests only when a license is granted under an 

ordinance that has been approved by the NIGC Chair. License revocation procedures 

shall be adopted by the Commission via separate policy/regulations. 

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

the license at issue. 

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

45 days of receiving notification from the NIGC that a Primary Management Official 

or Key Employee is not eligible for employment. 

Section 33. Licenses for Vendors 

Vendor Licenses Required. Vendors of gaming services or supplies, with a value of 

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

Financial Sources requiring licensure under a Tribal-State Compact (or, alternatively, 

Secretarial Procedures), must obtain a vendor license from the C01mnission in order to 

transact business with the Tribe's Gaming Opcration{s). Contracts for professional legal 

and accounting services are excluded from this Section. 

Section 34. Submission of a Vendor License Application 

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

submit to background checks of itself and its principals. Principals of a business include 

those officers, directors, managers, owners, partners, and non-institutional stockholders 

thateither own 10% or more of the business' stock or are the ten {JO) largest 

stockholders, as well as the on-site supervisors or managers designated in an agreement 

with the Tribe or the Commission, if applicable. 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Mi wok Indians 22 
f , I • 

Section 35. Vendor License Application and Background Investigations 

The Tribal Council or Commission shall adopt, and the Commission shall implement, 

regulations providing for such licensing and background investigation requirements and 

procedures for Vendors as it deems appropriate, provided that such requirements arc at 

least as stringent as those contained in IGRA at 25 U.S.C. § 2710(b)(2)(F) and the 

NIGC's regulations at 25 C.F.R. Parts 556, 558, and 559, and any applicable Tribal-State 

compact (or, alternatively, Secretarial Procedures). The Tribal Council or Commission 

shall adopt standards for the required content of Vendor license applications and 

determine the minimum steps to be taken by an investigator in completing Vendor 

background investigations. These standards shall be adopted by separate ordinance or 

tribal policy. 

Section 36. Vendor License Fees 

The Tribe may charge a reasonable license fee, in an amount to be set by the 

Commission. 

Section 37. Vendor Background Investigation Reports 

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

the background investigation of the gaming vendor and its principals, and present it to the 

Commission. 

Section 38. Exemption for Vendors Licensed by Recognized Regulatory Authorities 

The Commission may adopt Tribal Gaming Regulations naming specific licensing 

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

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

authorities. 

Section 39. Compliance with Federal Law 

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

31 U.S.C. § 5311 et seq. 

Section 40. Severability 

If any part of this Ordinance is found to be invalid by a comt of competent jurisdiction, 

the invalid provision or provisions shall be severed and the remaining provisions of this 

Ordinance shall continue in full force and effect. 

Section 41. Amendments 

This Ordinance may be amended upon approval by the Tribal Council and approval by 

the Chair of the NIGC. 

Amended and Restated Tribal Gaming Ordinance of the lone Band of Miwok Indians 23 
Section 42. Interim Gaming Commission 

Until such time as the Tribal Gaming Commission is appointed by the Tribal Council, the 

Tribal Council shall act as the Interim Gaming Commission and shall be authorized to 

perform all functions of the Tribal Gaming Conunission set fo1th in and in accordance 

with this Gaming Ordinance except that the Interim Gaming Commission will not be in 

violation of any and all provisions of this Gaming Ordinance which prohibit Tribal 

Council members or their relatives from serving on the Tribal Gaming Commission. 

Section 43. Effective Date 

This Ordinance shall take effect immediately upon its approval by the NIGC Chair. 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok Indians 24 
~•.·' ' . .-

CERTIFICATION 

We, the undersigned duly elected officials of the Ione Band of Mi wok Indians, ce1tify that this 

foregoing Tribal Gaming Ordinance of the Ione Band of Miwok Indians was approved and 

adopted at a duly-called meeting of the Tribal Council on February 9, 2018, at which a quorum 

was present, by a vote of 3 for, 0 against, and 0 abstentions, as embodied in Tribal Council 

Resolution 2018-04. 

By: 

Tracy Tripp 

Acting Tribal Chairperson 

Date: ______ _ 

Sara Dutschke Setshwaelo 

Tribal Secretary 

Date: ______ _ 

Amended and Restated Tribal Gaming Ordinance of the Ione Band of Miwok Indians 25