Lionel R. Carroll, Sr. 

Chairperson 

Bear River Band of the 

Rohnerville Rancheria 

P.O. Box 731 

100 Bear River Ilrive 

Loleta, CA 95551 

Dear Chairperson Carroll: 

This let?er responds to your request to review and approve 

the tribal cjamirig orcli nance, Ordinance No. 35-04, adopted on 

October 20, 1395, by the Bear River Band (Tribe). This lettcr 

constitutes sllch approval unclel- tl>e Indian Gaming Regulatory Act. 

(IGRA) . 

Under the IGRA and the regulations of the National Indian 

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

ordinances wit11 respect to the rccltlirements of the IGRA and the 

implementing regul at ions. I , the scope of the Chairman ' s 

review ancl appl-oval is l imited t.o the requirements of tile IGRA 

and the NIGC recj~ll at ions. I'rovisi ons othcr than those rcclil i rc.(l 

under the IGRA or t llc I.11 c;C ~-c\cjtr 1at i ons that may be incl lltlctl i 11 TI 

tribal ordinarice arc not stlt)jcct to review and approval. Also, 

such approval cloes not const ittite approval of specific [James.. It 

is important to note that tllc claminy ordinance is approv~d for 

yaniincj only on Indian lancls as tlefinecl in the IGRA. 

Nith thc Cl~a i rm;ln ' s apj)~-ova 1 of the Tr i he's cjami ncj 

orclinar-~ce, tlle 'I'ri l~c is no\) l-r'clu i 1 ccl to contl\~ct I~acl.rcjrorrntl 

investigations on its b:ey employees and primary management 

officials. The IJIGC e>:pectr; to receive a completed appl i~ilt 10r1 

for each key cmployee ancl primary management official pursuclnt to 

25 C.F.R. 5 556.5(a) and an invest-icjative report on each 

backyround investigation heforc issuiny a license to a key 

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

5 556.5 (h) . 

The PJIGC has hecn atlvi:;ctl I?y thc Rtlrentl of Tnclian Affairs 

that the Tribe's only parcel of trust land was acqllired after tile 

enactment of the IGRA. Section 2719 of the IGRA generally 

prohibits yamiricj on lands acc]i~~recl in trust after 1388. Please 

provide the Ill GC \I i th somc tlocllmentat ion demonstrat incj that tll i s 

parcel falls unclor one of tlle cxccptions to the general 

prohibit ion in 6 3719 or that ttlc 'rt-ihc tias other lands !#~l~icl.! 

qualify as Intliarl 1,intlr;. 

TEL 202-~32-=3 202 632-7066 
Thank you for submitting the ordinance of the Bear River 

Band of the Rohnerville 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, 

Cha i rman 
Ordinance No.: 95-04 

Date Approved: Oct. 20, 1995 

BEAR RIVER BAND OF THE ROHNERVILLE RANCHERIA 

ORDINANCE AUTHORIZING AND REGULATING GAMING ON TRIBAL LANDS 

The Bear River Band of the Rohnerville Rancheria, a 

federally recognized Indian Tribe (hereinafter "Triben), acting 

through its Tribal Council, in the exercise of its inherent 

sovereign power to enact ordinances and otherwise safeguard and 

provide for the health, safety, and welfare of the Tribe and its 

members, hereby enacts this Ordinance in order to regulate gaming 

activities on the Tribe's reservation. This Ordinance and any 

regulations promulgated thereunder shall constitute the entire 

gaming regulations for the Tribe. 

ARTICLE I: PURPOSE 

This Ordinance is adopted by the Tribal Council, pursuant to 

its authority granted under the Tribe's Constitution, for the 

purpose of establishing the terms for gaming on the Tribe's 

reservation for tribal governmental and charitable purposes, and 

to develop, operate, and regulate such gaming consistent with the 

findings herein and in conformity with the Indian Gaming 

Regulatory Act, 25 U.S.C. Section 2701 et seq., and regulations 

promulgated thereunder. 

The Tribe finds that - 

a. Gaming on the Tribe's reservation is a valuable means of 

generating revenues that are needed for economic development, to 

promote tribal self-sufficiency, employment, job training, and a 

strong tribal government, and to fund and ensure essential social 

program and services; 

b. The Tribe desires to conduct certain forms of gaming to 

provide needed revenues to the Tribe, and to regulate and control 

such gaming in a manner that will protect the health, safety, and 

general welfare of the Tribe, its members, the players, 

employees, and the community; and 

c. The Tribe desires to own all gaming on tribal lands, and 

to manage and regulate such gaming in a manner that will 

adequately address the special needs of the Tribe. 

ARTICLE 11: OWNERBHIP OF GAMING 

The Tribe shall have the sole proprietary interest in and 

responsibility for the conduct of any gaming activity or 

enterprise authorized by this Ordinance, except to the extent the 

Tribe may contract with and license a person or entity to operate 

or manage the enterprise pursuant to the provisions of Indian 

Gaming Regulatory Act and the regulations promulgated thereunder, 

or as otherwise permitted by law. 
ARTICLE 111: DEFINITION8 

Unless specified otherwise, the terms used in this Ordinance 

shall have the same meaning as in the Indian Gaming Regulatory 

Act, including but not limited to references to "net revenues,I1 

n~la~s I,@@ @@class 11," and "class III1@ gaming. 

a. @@Closely associated independent contractorw shall mean 

any contractor that shares common ownership, officers or 

directors with any management principal or person related 

thereto. 

b. @@Gaming1@ shall mean any activity in which a person stakes 

or risks something of value on the outcome of a contest of chance 

or a future contingent event, not under his or her control or 

influence, upon an agreement or understanding that the person, or 

someone else, will receive something of value in the event of a 

certain outcome, but shall not include bona fide business 

transactions. 

c. nGaming activities1@ shall mean any I8class I, class 11, or 

class III1@ gaming activity conducted by or under the jurisdiction 

of the Tribe. 

d. nGaming Commissionn shall mean the Bear River Band of the 

Rohnerville Rancheria Gaming Commission, as established herein to 

monitor gaming activities, investigate wrongdoing, conduct 

background investigations, issue licenses, and perform other 

duties as required for the regulation of gaming on tribal lands. 

e. "Gaming contractor8@ shall mean any person or entity that 

supplies gaming devises or other gaming equipment, personnel, or 

services (including gaming management or consulting services) to 

any gaming activity or enterprise. 

f. @@Gaming enterprisew shall mean any gaming business, 

event, enterprise or activity conducted by or under the 

jurisdiction of the Tribe. 

g. @@Key employeen shall mean a person who performs one or 

more of the following functions: bingo caller, counting room 

supervisor, chief of security, custodian of gaming supplies or 

cash, floor manager, pit boss, dealer, croupier, approver of 

credit, or custodian of gaming devices including those persons 

with access to cash and accounting records within such devices. 

If not otherwise included, any other person whose total cash 

compensation is in excess of $50,000 per year, and the four (4) 

most highly compensated persons in the gaming enterprise are 

included in the definition of @@key employees.@@ At the discretion 

of the Gaming Commission, other positions or persons may be 

included under and subject to the requirements for key employees. 

h. HNational Indian Gaming Commissionw shall mean the 

commission established under the Indian Gaming Regulatory Act. 

i. nNet revenuesn shall mean gross gaming revenues from all 

gaming activities of a gaming enterprise, less amounts paid out 

as, or paid for, prizes and less total gaming-related operating 

expenses, excluding management fees. 

j. nPersonn shall mean any natural person or entity, 

including but not limited to corporations, partnerships and 

trusts. 
k. "Primary management officialn shall mean the person who 

has management responsibility for a management contract; any 

person who has authority to hire and fire employees or to set up 

working policy for the gaming enterprise; or the chief financial 

officer or other person who has financial management 

responsibility. At the discretion of the Gaming Commission, other 

positions or persons may be included under and subject to the 

requirements for primary management officials. 

1. "Related toB' shall refer to persons who are related as a 

father, mother, sister, or brother. 

m. nReservationn shall mean all lands under the jurisdiction 

and control of the Tribe. 

n. "State" shall mean the State of California. 

o. nTribal CouncilM shall mean the governing body of the 

Tribe, as set forth in the Tribe's Constitution. 

p. "Tribal courtM shall mean any court established by the 

Tribe to hear disputes or, if there is none that can exercise 

jurisdiction, the Tribal Council. 

Q : "Tribal member1' shall mean any duly enrolled member of 

the Tribe. 

ARTICLE IV: GAMING COMMI88ION 

a. Establishment of Gamins Commission. There is established 

by the Tribe a Commission, acting under the authority of the 

Tribe, to be known as the Bear River Band of the Rohnerville 

Rancheria Gaming Commission. The Gaming Commission shall be 

composed of five (5) persons who would themselves qualify for 

licensing under this Ordinance, and shall be appointed by the 

Bear River Band of the Rohnerville Rancheria Tribal Council. 

b. pisuualification for Office. The following persons may 

not serve as commissioners - 

(1) Employees of any gaming enterprise on the 

reservation. 

(2) Persons related to any gaming contractor (including 

any principal thereof or closely associated 

independent contractor). 

c. Term of Office. There shall be a Chairperson of the 

Gaming Commissioni who shall be appointed for a term of two (2) 

years. The remaining members of the Commission shall be appointed 

for terms of two (2) years. 

d. Removal from Office. Commissioners may only be removed 

from office before the expiration of their terms by the Tribal 

Council for neglect of duty, misconduct, malfeasance, or other 

acts that would render such persons unqualified for such duties 

or for licensure hereunder. An affirmative vote of at least a 

majority of the Tribal Council, taken in an open meeting after a 

duly noticed hearing at which the member charged with misconduct 

shall have the right to hear and present evidence concerning 

his/her removal, shall be required to remove a member of the 

Gaming Commission. At the request of the commissioner whose 

removal is at issue, the hearing may be held in executive 
session. The Tribal Council may also elect to receive in 

executive session any evidence public disclosure of which might 

compromise any on-going law enforcement investigation. 

e. Quorurg. Three (3) members of the Gaming Commission shall 

constitute a quorum. 

f. Officers. The Gaming Commission shall select, by 

majority vote, a Chair, Vice-Chair, and Secretary. The Chair 

shall preside over meetings of the Gaming Commission and the 

vice-Chair shall preside in the absence of the Chair. The 

Secretary shall record in writing the minutes of all Gaming 

Commission meetings and all official actions taken by the Gaming 

commission. 

g. Votinq. All actions of the Gaming Commission shall be 

taken by majority vote. The Commission Chair may vote on any 

issue. 

h. Meetinas. Meetings shall be held at least once a month, 

one day prior to the monthly Tribal Council meeting, at the 

Gaming Commission office. Additional meetings shall be held as 

called by the Chair or by at least three (3) other Commissioners. 

Notice of additional meetings shall be given in writing to each 

Commissioner, served by first class mail or personal delivery at 

least five (5) days prior to each meeting. Meetings may be called 

at any time, by any means, with unanimous consent of the 

~ommissioners. 

i. Com~ensation for Commissioners. The Tribal Council shall 

determine and authorize the compensation to be paid to 

Commissioners based on a determination of time required to be 

expended on Commission duties and the qualifications of appointed 

Commissioners. 

j. powers and Duties. The Gaming Commission shall have the 

power and duty to - 

(1) Inspect, examine and monitor gaming activities, 

including the power to demand access to and inspect, 

examine, photocopy and audit all papers, books and 

records respecting such gaming activities. 

(2) Investigate any suspicion of wrongdoing in connection 

with any gaming activities. 

(3) Conduct, or cause to be conducted, such investigations as may be necessary to determine in 

connection with any gaming activities, compliance 

with the law or this Ordinance or any contracts, 

agreements, goods, services, events, incidents, or 

other matters related to gaming activities. 

(4) Conduct, or cause to be conducted, background 

investigations regarding any person connected in any 

way with any gaming activities and issue licenses to, 

at a minimum, all key employees and primary 

management officials according to requirements at 

least as stringent as those set forth in 25 C.F.R 

Parts 556 and 558. 

(5) Hold such hearings, sit and act at such times and 

places, summon persons on the reservation to attend 

and testify at such hearings, take such testimony, 

and receive such evidence as the gaming commission 
deems relevant in fulfilling its duties. 

(6) Administer oaths or affirmations to witnesses 

appearing before the Gaming c om mission. 

(7) Implement and administer a system for investigating, 

licensing and monitoring employees and others 

connected with gaming activities, as described below, 

including the issuance of licenses to gaming 

facilities, individuals and entities as required 

under this Ordinance and the Indian Gaming 

Regulatory Act. 

(8) Hear disputes against the gaming establishment, in 

accordance with the procedures established in this 

Ordinance. 

(9) Subject to the approval of the Tribal Council and the 

appropriation of funds therefor, to employ such staff 

and support services as reasonably required to 

fulfill its responsibilities under this Ordinance, 

compensation of such employees shall be limited to 

that which is comparable to compensation paid to 

persons performing similar duties in other 

governmental gaming regulatory agencies. 

(10) To the extend required, comply with any reporting 

requirements established under a tribal-state compact 

to which the Tribe is a party and other applicable 

law, including the Indian Gaming Regulatory Act. 

(11) Promulgate such regulations as the Commission deems 

appropriate, subject to review and approval by the 

Tribal Council, in order to implement and enforce the 

provisions of this Ordinance including, but not 

limited to, adopting rules of procedure governing how 

its meetings will be conducted. 

(12) Promulgate regulations, subject to review and 

approval by the Tribal Council, to describe and 

establish rules for each class 11 or class I11 game 

authorized to be conducted on the reservation, and no 

form of such gaming may be conducted without the 

prior approval of the Gaming Commission. 

(13) Carry out such other duties with respect to gaming 

activities on the reservation as the Tribal Council 

shall direct. 

k. Annual re~orts. On or before April 30th of each year, 

the Gaming Commission shall provide to the Tribal Council and 

annual report summarizing its activities during the prior twelve 

(12) month period ending on December 31st, and accounting for all 

receipts and disbursements. The Tribal Council shall cause copies 

of the annual report to be made available to tribal members 

within thirty (30) days after receipt. 

1. Other Re~ortinq. As required, the Gaming Commission 

shall comply with any reporting requirements established under a 

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

applicable law, including the Indian Gaming Regulatory Act and 

the regulations promulgated thereunder. 
ARTICLE VI AUTHORIZED GAMING 

All gaming activities on the reservation, whether class I, 

11, or 111, are prohibited except as authorized under this 

section. 

a. Class I Gaminq. Class I gaming activities are hereby 

permitted to the extent consistent with tribal custom and 

practice. The Gaming Commission may prohibit and prevent any 

conduct which is claimed to be class I gaming if the Tribal 

Council finds that such conduct is not in accordance with tribal 

custom and practices or in violation of the Indian Gaming 

Regulatory Act or any other law. 

b. Class I1 and Class I11 Gaming. Class I1 and class I11 

gaming as defined in the Indian Gaming Regulatory Act and by the 

regulations promulgated thereunder is hereby authorized; Provided 

that the Tribe has the sole proprietary interest in and 

responsibility for the conduct of any gaming enterprise, or to 

the extent the Tribe may contract with and license a person or 

entity to own, operate, or manage the enterprise pursuant to the 

provisions of the Indian Gaming Regulatory Act or as otherwise 

permitted by law. Nothing herein shall prohibit the Tribe from 

engaging the services of non-tribal persons as employees thereof 

or engaging any persons or entity to provide consulting or other 

technical assistance or to assist the Tribe in the management of 

gaming activities pursuant to a management agreement entered into 

under the provisions of the Indian Gaming Regulatory Act. Class 

I11 gaming shall be conducted in accordance with any tribal-state 

compact between the Tribe and State, or any alternative thereto 

as provided by the Indian Gaming Regulatory Act. 

ARTICLE VII USE OF GAMING REVENUES 

a. Net revenues from gaming activities on the reservation 

shall be used only for the following purposes - 

(1) To fund tribal government operations and programs; 

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

its members; 

(3) To promote tribal economic development; 

(4) To donate to charitable organizations; or 

(5) To help fund operations of local governmental 

agencies. 

b. Except as provided for under the terms of an agreement 

pursuant to the provisions of the Indian Gaming Regulatory Act or 

otherwise permitted by law, all revenues generated from any class 

11 or class I11 gaming activity are the property of the Tribe. 

Any profits or net revenues from gaming activities shall be 

deposited into the Tribe's general treasury or such other tribal 

account as the Tribe shall determine. Once it becomes part of the 

treasury such funds shall lose any identity as gaming revenues 

except to the extent necessary to identify them as such in order 

to comply with applicable law. No tribal member shall be deemed 

to have any interest in such profits or net revenues. 
c. The Tribe may elect to make per capita payments to tribal 

members, provided that it shall authorize such payments only in 

conformity with a plan submitted and approved by the Secretary of 

the Interior pursuant to 25 U.S.C. section 2710(b)(3). Payments 

from the general treasury funds to tribal members under other 

tribal programs, including programs related to health, welfare, 

education, elderly care, and housing, shall not be deemed to be 

per capita payments. 

ARTICLE VII: OPERATION OF GAMING 

a. Gamina Permitted as Licensed. Except to the extent 

authorized by an agreement pursuant to the provisions of the 

Indian Gaming Regulatory Act or otherwise permitted by law, 

gaming activities shall only be conducted in tribally owned, 

operated, and licensed facilities in accordance with this 

Ordinance. Gaming activities shall be conducted in accordance 

with the terms and conditions of any license issued by the Tribe 

for such purposes as to each facility before any gaming 

activities may occur therein. Such licenses shall specify the 

hours of operation, type and scope of gaming activities allowed 

therein, permitted uses of the facility for other activities, 

rules of conduct for employees and patrons, regulation of 

alcoholic beverages, food handling and entertainment, and such 

other matters as the Gaming Commission or the Tribal Council may 

deem necessary to the conduct of gaming activities therein. 

b. protection of the Environment and Public Health and 

Safety. Gaming facilities on the reservation shall be 

constructed, maintained, and operated in a manner that adequately 

protects the environment and the public health and safety. 

c. Dis~ute Resolution. Patrons with complaints against a 

gaming establishment shall have as their sole remedy the right to 

file a claim for relief with the Gaming Commission. For such 

purposes, disputes with any management contractor or its 

employees shall be made to the Gaming Commission, and such shall 

be the exclusive remedy for patron complaints. Patron complaints 

shall be submitted in writing and, at the discretion of the 

Gaming Commission, the complainant may be allowed to present 

evidence. Any patron having a complaint against a gaming 

establishment or a management contractor or its employees must 

file such complaint with the Gaming Commission within thirty (30) 

days of its occurrence. The Gaming Commission will render a 

decision in a timely fashion and all such decisions are final 

when issued. All claims shall be limited to a maximum recovery of 

$10,000 per occurrence and a cumulative limit of $20,000 per 

claimant in any twelve (12) month period. 

ARTICLE VIII: AUDITS 

a. The Tribe shall cause to be conducted at least annually 

an independent audit of all gaming operations and shall submit 

the resulting audit reports to the Tribal Council and, to the 

extent required by law, to the National Indian Gaming Commission 

or any other agency. 
b. All gaming-related contracts for supplies, services, or 

concessions in excess of $25,000 annually (except for contracts 

for professional, legal and accounting services, relating to 

class I1 or I11 gaming shall be included within the scope of the 

audit described in subsection a herein. 

ARTICLE IX: CONTRACT8 

Contracts relating to gaming or any gaming activities or 

gaming facility over $25,000 or for more than a five (5) year 

term(except contracts for professional, legal, or accounting 

services) shall be subject to a formal, sealed bidding process 

prior to submission to the Tribal Council for approval. Reasonable efforts will be made to solicit and consider at least three 

(3) responsible bids; Provided, the Gaming Commission may waive 

the three bid requirement upon good cause, which may include to 

provide local employment. All such contracts shall specify that 

they are subject to the annual independent audit requirement. 

ARTICLE X: LICENSES 

a. Ljcensina Reauirement. In order to protect the morals, 

good order, and welfare of the tribal members and other persons 

on the reservation and to preserve the honesty, fairness, and 

integrity of gaming activities, all gaming activities must be 

licensed. Therefore, no person shall engage in or conduct any 

class I1 or class I11 gaming activities on the reservation 

without an appropriate and valid independent class I1 or class 

I11 license issued by the Gaming Commission. Any gaming license 

which is issued, or finding of suitability or approval by the 

Gaming Commission shall be deemed a privilege subject to 

suspension or revocation. No license shall be issued that would 

place the Tribe in violation of the Indian Gaming Regulatory Act, 

provisions of a tribal-state compact, or of any other applicable 

law. 

b. Claim of Privilese. An applicant may claim any privilege 

afforded by law in connection with a gaming license application 

or investigation, but a claim of privilege with respect to any 

testimony or evidence pertaining thereto may constitute 

sufficient grounds for denial, suspension or revocation. 

c. Release of Information. All applicants for a license 

shall agree to release the information necessary for the Gaming 

Commission to carry out its duties and achieve its goals under 

this Ordinance, and to furnish such information to the Bureau of 

Indian Affairs, the National Indian Gaming Commission, or such 

other governmental agency as may be required by law. 

d. pmes of Licenses. Three classes of licenses (Class A, 

Class B, and Class C) shall be issued to persons and entities 

associated with gaming activities - 

(1) Class A License. Before permitting any person to 

become permanently associated with a gaming activity as an 

investor, management entity, or other person owning or 

controlling ten percent (10%) or more of any interest in any 

management entity, or any primary management official, key 
employee, closely associated independent contractor, or other 

individual or entity with influence over the management or 

operation of the gaming, or a class I11 or I11 gaming employee, 

supplier, manufacturer or distributor, such person shall obtain a 

Class A license. The Gaming Commission shall conduct or cause to 

be conducted a background investigation to determine if such 

person has: 

(a) Any criminal record or reputation, prior 

activities, habits, or associations which might pose a threat to 

the public interest or to the effective regulation of gaming. 

(b) Anything else in the person's background that might 

create or enhance the dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of gaming. 

(2) Class B License. Persons who are not among those 

identified in subsection (1) above, but who are to be employed at 

a gaming facility on the reservation in some other capacity, such 

as in non-gaming activities, shall be required to obtain a Class 

B license from the Gaming Commission. Such persons must establish 

that they have not been convicted of a crime, or engaged in any 

activity, which the Gaming Commission in its sole discretion 

deems would render such person a danger to the safety or 

integrity of the gaming activities or the safety or property of 

the Tribe, any tribal member, any gaming employee or patron, or 

the general public. 

(3) Class C Li'cense. Minors (persons under the age of 18 

years) employed at a gaming facility on the reservation may be 

issued a Class C license, which will entitle them to work in any 

position for which a Class B license is required for adults and 

not otherwise prohibited by law, provided such minors are not 

deemed by the Gaming Commission to pose any threat to the safety 

or integrity of the gaming activities or the safety or property 

of the Tribe, any tribal member, any gaming employee or patron, 

or the general public. The Class C license shall be valid for no 

more than six (6) months before renewal, an shall be revoked upon 

the minor reaching the age of 18, at which time a Class A or 

Class B license, as may be appropriate, will be required. Minors 

shall not be employed as dealers or otherwise operate or 

supervise the operations of games, or to serve alcoholic 

beverages. 

e. License Renewal. Class A and Class B licenses shall be 

subject to renewal at least every two (2) years, and are subject 

to revocation or suspension upon the occurrence of any act which, 

if known during the application process, would have tended to 

disqualify such person for such a license. 

f. Tem~oral-Y Licenses. Pending completion of an investigation for a license, the Gaming Commission may issue as it deems 

appropriate and in its sole discretion a temporary license of no 

more than ninety (90) days duration. Such license shall permit 

the licensee to engage in such activities and pursuant to such 

terms and conditions as may be specified by the Gaming 

Commission. Such temporary license shall expire ninety (90) days 

from the date of issuance, upon issuance of a regular license, or 

until an earlier specified expiration date, whichever occurs 

first. 
g. License Investiaation. The Gaming commission may employ 

all reasonable means, including the engagement of outside 

services and investigators and the holding of hearings, to 

acquire the information needed to determine if a license should 

be issued. Applicants shall also agree to release the information 

necessary for the Gaming Commission to achieve its duties and 

goals under this section, and to furnish such information to the 

National Indian Gaming Commission or such other agency as may be 

required by law. 

h. hicense Fees. All license applicants shall be required to 

pay all applicable fees and costs when due, including a 

reasonable deposit of costs incurred in obtaining information in 

connection with the application, unless such fees or costs are 

specifically waived by the Gaming Commission. Estimates of 

licensing costs shall be provided to applicants upon request. 

Payment for all reasonable fees and costs must be received by the 

Gaming Commission prior to issuance of the license. 

i. fi~~eals. All decisions of the Gaming Commission regarding 

the issuance or revocation of licenses shall be effective when 

issued. An applicant or licensee whose license is denied, 

revoked, or suspended may, within thirty (30) days after the date 

of receipt of a written decision of the Gaming Commission, file a 

petition with the Gaming Commission requesting a hearing to 

reconsider the decision, and shall have the right to appeal such 

decision to the Tribal Court in accordance with such rules and 

procedures as may be promulgated for that purpose. Any tribal 

member denied a license by the Gaming Commission may, within 

sixty (60) days of written notice of such denial, appeal the 

denial to the Gaming Commission, which shall have the power to 

reverse its prior decision and order that such license be issued, 

and shall have the right to appeal such decision to the Tribal 

Court; Provided that no such license shall be issued for more 

than one (1) year, subject to the renewal procedures set forth 

herein; Provided further that no order of the Gaming Commission 

or Tribal Court that a license be issued shall be valid if such 

issuance would place the Tribe in violation of any tribal-state 

compact to which the Tribe is a party, or of any applicable law. 

j . Backaround Xnvestiaations. 

(1) The Gaming Commission shall request from each primary 

management official and each key employee all of the information 

required by subsections (a) through (n) below. Further, each 

other applicant for a Class A license, except as otherwise 

provided by the Gaming Commission, shall also submit the 

information required by subsections (a) through (n) below. The 

Gaming Commission reserves the right, at any time, to request 

additional information either prior to, during, or subsequent to 

any background investigation. 

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

social security number(s), birth date, place of birth, 

citizenship, gender, all languages (spoken or written); 

(b) Currently and for the previous ten (10) years: 

business and employment positions held, ownership interests in 

those businesses, business and residence addresses, and drivers 

license number (s) ; 
(c) Names and current addresses of at least three (3) 

personal references, including one personal reference who was 

acquainted with the applicant during each period of residence 

listed under subsection (b) above; 

(d) Current business and residence telephone numbers; 

(e) ~escription of any existing and previous business 

relationships with the gaming industry generally, including 

ownership interests in those businesses; 

(f) Description of any existing and previous business 

relationships with Indian tribes, including ownership interests 

in those businesses; 

(g) Name and address of any licensing or regulatory 

agency with which the person has filed an application for a 

license or permit related to gaming, whether or not such license 

or permit was granted; 

(h) For each felony for which there is an on-going 

prosecution or a conviction: the charge, the name and address of 

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

case; 

(i) For each misdemeanor conviction or on-going 

misdemeanor prosecution (excluding minor traffic violations), 

within 10 years of the date of the application: the name and 

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

(j) For each criminal charge (excluding minor traffic 

charges), whether or not there is a conviction, if such criminal 

charge is within 10 years of the date of the application and is 

not otherwise listed pursuant to subsections (h) or (i) above: 

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

and the date and disposition; 

(k) Name and address of any licensing or regulatory 

agency (federal, tribal, state, local or foreign) with which the 

person has filed an application for an occupational license or 

permit, whether or not such license or permit was granted; 

(1) A current photograph; 

(m) Any other information the Tribe or Gaming 

Commission deems relevant; and 

(n) Fingerprints consistent with the procedures adopted 

by the Tribe or Gaming Commission according to 25 C.F.R. section 

522.2(h). 

(2) The Tribe shall cause to be conducted an 

investigation by the Gaming Commission sufficient to make a 

determination of eligibility as required under this Ordinance. In 

conducting the investigation, the Tribe or the Gaming Commission 

or its agents shall promise to keep confidential the identity of 

each person interviewed in the course of the investigation. 

(3) The Gaming Commission shall arrange for a city or 

county law enforcement agency located in Humboldt County, State 

of California, to take the applicant's fingerprints and forward 

those fingerprints directly to the National Indian Gaming 

Commission, to be forwarded to the Federal Bureau of 

Investigation, National Criminal Information Center, for review 

of the applicant's criminal history, and perform or arrange to 

have performed the necessary background investigation of the 

applicant required by this Ordinance. Such investigation shall 
include contacting each reference provided in the application and 

taking all appropriate steps necessary to verify the accuracy of 

the information contained in the application. There shall be a 

written investigation report of the findings and conclusions of 

each investigation. The investigative report shall include: (1) 

the steps taken in conducting the background investigation; (2) 

the results obtained; (3) the conclusions reached; and (4) the 

basis for the conclusions. The Gaming Commission shall review the 

findings and conclusions of the report for the purpose of 

determining whether to grant or deny the license. 

k. miaibilitv Determination. The Gaming 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. If the Gaming Commission 

determines that employment of the person poses a threat to the 

public interest or to the effective regulation of gaming, or 

creates or enhances dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of gaming, a 

gaming operation shall not employ that person in a key employee 

or primary management official position or in any other position. 

1. Forwardina A~~lications and Reports to the National 

Jndian Gamina Commission. 

(1) On or before the date a key employee or primary 

management official is employed by a gaming operation authorized 

under this Ordinance, the Gaming Commission, acting on behalf of 

the Tribe, forward to the National Indian Gaming Commission a 

completed application for employment containing the information 

required by this Article. 

(2) Prior to issuing a license to a key employee or 

primary management official, the Gaming Commission, acting on 

behalf of the Tribe, shall forward to the National Indian Gaming 

Commission, a copy of the eligibility determination and the 

investigative report for each background investigation. The 

investigative report on each background investigation shall be 

forwarded to the National Indian Gaming Commission within sixty 

(60) days after an employee is employed or within 60 days of the 

approval of this Ordinance by the National Indian Gaming 

Commission. 

(3) The gaming operation shall not employ or continue to 

employ as a key employee or primary management official a person 

who does not have a license within ninety (90) days. 

(4) The investigative report to be forwarded to the 

National Indian Gaming Commission shall include all of the 

following: 

(a) Steps taken in conducting a background 

investigation; 

(b) Results obtained; 

(c) Conclusions reached; and 

(d) The bases for those conclusions. 

(5) The Gaming Commission, acting on behalf of the Tribe, 

shall provide to the National Indian Gaming Commission or other 

agency, any other reports or information required by the Indian 

Gaming Regulatory Act or regulations promulgated thereunder. 
(6) If a license is not issued to an applicant, the 

Gaming Commission shall notify the National Indian Gaming 

Commission and may forward copies of its eligibility 

determination and investigative report (if any) for inclusion in 

the Indian Gaming Individuals Records System. 

(7) With respect to key employees and primary management 

officials, the Gaming Commission shall retain applications for 

employment and reports (if any) of background investigations for 

inspection by the National Indian Gaming Commission for no less 

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

m. Frantina a ~amina ~icense. 

(1) If, within a thirty (30) day period after the 

National Indian Gaming Commission receives a report, the National 

Indian Gaming commission 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 primary management 

official for whom the Gaming commission has provided an 

application and investigative report to the National Indian 

Gaming Commission, the Gaming Commission may issue a license to 

such applicant. 

(2) The Gaming Commission shall provide any additional 

information requested by the National Indian Gaming Commission 

concerning a key employee or primary management official who is 

the subject of a report. A request for additional information by 

the National Indian Gaming Commission shall suspend the thirty 

(30) day period established under this subsection until the 

National Indian Gaming Commission receives the additional 

information. 

(3) If, within the thirty (30) day period established 

under this subsection, the National Indian Gaming Commission 

provides a statement itemizing objections to the issuance of a 

license to a key employee or primary management official, the 

Gaming Commission shall reconsider the application, taking into 

account such objections. The Gaming Commission shall make the 

final decision whether to issue a license to such applicant. 

n. License Sus~ensioq. 

(1) If, after the issuance of a gaming license, the Tribe 

receives reliable information from the National Indian Gaming 

Commission or other reliable source indicating that a key 

employee or primary management official is not eligible for 

employment under the eligibility criteria established in this 

Ordinance, the Gaming Commission shall suspend such license and 

shall notify the licensee in writing of the license suspension 

and the proposed revocation. 

(2) The Gaming Commission shall notify the licensee of a 

time and a place for a hearing on the proposed revocation of a 

license. 

(3) After a revocation hearing, the Gaming Commission 

shall decide to revoke or to reinstate the gaming license. For 

actions taken in response to information provided by the National 

Indian Gaming Commission, the Gaming Commission shall notify the 

National Indian Gaming Commission of its decision. 
o. ucensed lIocations. A separate license shall be required 

for each place, facility, or location where class I1 and/or class 

I11 gaming is conducted on the reservation under this Ordinance. 

Before class I1 or class I11 gaming activities can be conducted, 

the Gaming Commission shall inspect and license each such 

facility in accordance with this Ordinance and any requirements 

of the Indian Gaming Regulatory Act. 

ARTICLB XI: APPLICATION FORMS 

a. BEglicati.on Forma. Each application form for a key 

employee or a primary management official, as well as for other 

Class A license applicants, shall contain the notices set forth 

below, unless specifically exempted by the Gaming Commission: 

(1) Privacy Notice: 

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 the National Indian 

Gaming Commission members and staff who have need 

for the information in the performance of their 

official duties. The information may be disclosed to 

appropriate Federal, Tribal, State, local or foreign 

law enforcement and regulatory agencies when relevant 

to civil, criminal, or regulatory investigations or 

prosecutions, or when pursuant to a requirement by a 

Tribe 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 (SNN) 

is voluntary. However, failure to supply a SSN may 

result in errors in processing your application. 

(2) Existing key employees and primary management 

officials shall be notified in writing that they shall either: 

(a) Complete a new application form that contains a 

Privacy Act notice; or 

(b) Sign a statement that contains the Privacy Act 

notice and consent to the routine uses described 

in that notice. 

(3) The following notice shall be placed on the 

application form for a key employee or primary management 

official before the form is filled out by the 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. (18 U.S.C. S1001). 

(4) The Gaming Commission shall notify in writing 

existing key employees and primary management officials that they 

shall either: 

(a) Complete a new application form that contains a 

notice regarding false statements; or 

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

ARTICLE XII: INTERESTS IN MANAGEMENT CONTRACTS 

No elected official of the Tribe, or any member of the 

Gaming Commission or any other committee, commission, or agency 

of the Tribe, shall have a financial interest in or management 

responsibility for, any management agreement entered into 

pursuant to the Indian Gaming Regulatory Act, nor shall such 

elected official or commission, committee, or agency member, 

serve on the board of directors or hold (directly or indirectly) 

ten percent (10%) or more of the issued and outstanding stock of 

any corporation, or ten percent (10%) or more of the beneficial 

interest in any partnership, trust, or other entity, having a 

financial interest in, or management responsibility for, such 

contract. 

ARTICLE XIII: AGENT FOR BERVICE 

The Tribe designates as its agent for service of any 

official determination, order, or notice of violation, the 

Chairperson of the Tribe. 

ARTICLE XIV: TRIBAL GAMING CORPORATION 

Nothing in this Ordinance shall prevent the Tribe, through 

its Tribal Council, from delegating the authority to conduct 

gaming to one or more tribal corporations, so long as the tribal 

gaming enterprises to which such authority is delegated are 

subject to all criteria and requirements established under this 

Ordinance. 

ARTICLE XVI: REPEAL 

This Ordinance and any regulations promulgated thereunder 

shall constitute the entire gaming regulations for the Tribe. All 

other prior gaming ordinances are hereby repealed. 

ARTICLE XVII: EFFECTIVE DATE 

This Ordinance shall take effective immediately upon its 

approval by the National Indian Gaming Commission. 
If any prevision or application of this Ordinance is 

determined by review to be invalid, suoh determination shall not 

be held to render such provlslon inapplicable to other persons or 

circuorotancee, nor shall suoh determination render invalid any 

other provirion of thir Ordinanae. 

All provlrionr of thim Ordinanor are subject to revieion, 

repel, or amendment by tha Tribal Council at any time. 

Regulaeiana promulgated by the Gaming Cornmiasion under this 

Ordinance are rubject to revision, rapeal or amendmant by ths 

Caaing Commie# ion. 

The formgoing Ordinanoe was adopted at a duly called and 

meeting of the Tribal Council held on , vhor8 r quoma was present, by the iolloving 

0 MOO. Abmtain. 

L* . I 

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4 . 7 . /iCLC.4 e, 

Tribal Becretary