OMMISSION 

Virgil Moorehead, Tribal Chairperson 

Big Lagoon Rancheria 

P.O. Box 3060 

Trinidad, ~alifornia 95570 

Dear chairperson Moorehead: 

This letter responds to your request to review and approve the 

tribal gaming ordinance adopted by the Big Lagoon Rancheria (the 

Tribe) on August 5, 1994. This letter constitutes such approval 

under the Indian Gaming Regulatory Act (IGRA). 

Under the IGRA and the regulations of the ~ational Indian Gaming 

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

with respect to the requirements of the IGRA and the implementing 

regulations. Thus, the scope of the Chairman's review and 

approval is limited to the requirements of the IGRA and the NIGC 

regulations. Provisions other than those required under the IGRA 

or the NIGC regulations that may be included in a tribal 

ordinance are not subject to review and approval. Such approval 

does not constitute approval of specific games. Also, the gaming 

ordinance is approved for gaming only on Indian lands as defined 

in the IGRA. 

It is important to note that the Tribe must still advise the NIGC 

whether the Tribe intends to use the NIGC or some other 

authorized agency to process fingerprint cards through the 

Federal Bureau of Investigation (FBI). If the Tribe wishes to 

use the NIGC to process fingerprint cards through the FBI, the 

enclosed Memorandum of Understanding must be executed and 

returned to the NIGC as soon as possible. Also, it is important 

to note that the ~ribe must submit their per capita payment plan 

to the Secretary of the Interior for approval pursuant to 25 

U.S.C. § 2710(b) (3). 

With the chairman's approval of the ~ribe's gaming ordinance, the 

Tribe is now required to conduct background investigations on i , 

key employees and primary management officials. The NIGC expects 

to receive a completed application for each key employee and 

primary management official pursuant to 25 C.F.R. S 556.5(a) and 

an investigative report on each background investigation before 

issuing a license to a key employee or primary management 

official pursuant to 25 C.F.R. S 556.5(b). 

1850 M STREET. N W. SUITE 250 WASHINGTON DC 20036 TEL 202 632.7003 FAX 202 632.7066 
Thank you for submitting the ordinance of the Big Lagoon 

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, 

AnLQony 3. Mope 

Anthony J. Hope 

chairman 
Big Lnrgoon Ratlcheriu 

P.O. Box 3060 

Trinidad, California 95570 

(707) 826-2079 

A RESOLUTION TO AMEND, APPROVE A 

A RESERVATION GAMING ORDINANCE 

WHEREAS. The Big Lagoon Rancheria is a federally recognized Tribe: and 

WHEREAS. The Big Lagoon Rancheria Tribal Council is the federally 

recognized governing body of Big Lagoon Rancheria; and 

WHEREAS. The ~ribal Council desires to build on its governing documents and 

set forth the laws regarding gaming as a tribal enterprise: and 

NOW THEREFORE BE IT RESOLVED, that the Big Lagoon Rancheria tribe through 

the Tribal Council hereby amends and approves, adopts and ratifies the 

amended Tribal Gaming Ordinance of the Big Lagoon Rancheria. This 

resolutian and amendments amended prior resolution 93-800, and former 

'I'ritral Ganiing Ordinance. 

CERTLFICATION 

The Tribal Chairperson and Secretary do hereby certify that at a meeting 

duly called and convened on the 5th day of August ,1994 with a quorum, the 

Resolution was approved by a vote of &FOR, QAGAINST and LABSTAINING 

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

Chairperson 

,) 3fHy--J Attested by: *2,gzh---- Beverly Mooreheed, d?ribal Secretary Date 
Big Lagoon RamheriU 

P.O. Box 3060 

Trinidad, California 95570 

(707) 826-2079 

I .ru. , t ;! TRIBAL GAMING ORDINANCE 

(Amended August 5, 1994) 

. Title. This Ordinance shall be known and may be cited and referred to I' 

as the Tribal Gaming Ordinance of the Big Lagoon Rancheria. 

2. Purpose. This Ordinance is adopted for the following purposes: 

2.1. To Promote Tribal Economic Development in harmony with the 

economic development, health, welfare, and safety of all 

members of the surrounding community. 

2.2. To fully comply with and implement all applicable Federal 

Laws and Regulations respecting Gaming on Indian lands. 

2.3 To fully comply with and implement the terms of Tribal State 

Compact to be negotiated and executed between the Tribe and 

State of California. 

2.4 To preserve and promote Tribal Sovereignty and selfsufficiency to the fullest extent possible. 

2.5 'To provide the public with a superior gaming Facility 

operated in a completely fair and honest method in every 

aspect. 

3. Effective Date. This Ordinance shall become effective upon approval 

by the National Gaming Commission. 

4. Definitions. 

4.1 Act: The Indian Gaming Regulatory Act, Public Law 100-497, 

as amended, 25 U.S.C., $ 2701 et seq. 

4.2 Authorized Games: All class I11 gaming as defined in the Act 

at section 2703. Title 25, United States code, except for 

Prohibited Games Or Devices; and all class I and class I1 

gaming as defined in the Act at section 2703, title 25, 

United Stztes Code, including: 

4.2.1 Class I gaming means; 

(a) Social games played solely for prizes 

of minimal value; or 
(b) Traditional forms of Indian gaming when I 

played by individuals in connection with 

tribal ceremonies or celebration 

4.2.2 Class I1 gaming means: 

(a) Bingo or lotto (whether or not electronic 

computer, or other technologic aids are 

used) when players: 

(1) Play for prizes with cards bearing 

numbers or other designations; 

(2) Cover numbers or designations when 

object, similarly numbered or 

designated, are drawn or electronically 

determined; and 

(3) Win the game by being the first person 

to cover a designed pattern on such 

cards; 

(b) If played in the same location as bingo or lotto, 

pull-tabs, punch boards, tip jars, instant 

bingo, and other games similar to bingo; 

(c) Non-banking card games that State law 

explicitly authorizes, or does not explicitly 

prohibit, and are played legally anywhere in 

the state. 

Class I11 gaming means: All forms of gaming that 

are not Class 1 or Class I1 gaming, including but not 

limited to: 

(a) Any house banking game, including but not 

limited to: 

(1) Card games such as baccarat, chemin de 

fer, blackjack (21), and pai gow (if 

played as house banking game); 

(2) Roulette, craps, and Keno; 

(b) Any slot machines as defined in 

15 U.S.C. 1171(a)(l) and electronic or 

electro-mechanical facsimiles of any game of 

chance; 

(c) Any sports betting and pari-mutuel wagering 

including but not limited to wagering on horse 

racing, dog racing or jai alai; or 

(d) Lotteries; 

and any gaming authorized only to the extent that a 

tribal-state compact is executed and approved by 
the Secretary of the Interior or other designated 

and appropriate authority. 

Chairperson: Chairperson of the Tribal Council of the 

Tribe or his or her delegee, which may include any Tribal 

corporation. 

Commission: the National Indian Gaming Commission. 

Chairman: the Chairman of the National Indian Gaming 

Commission 

Electronic Gaming Device: any electronic or mechanical 

gaming or gambling device, machine or apparatus that 

uses electronic, computer or mechanical technology to 

conduct or facilitate the playing Authorized Games. 

Enterprise: The economic entity that is licensed by the 

Tribe, operates the gaming conducted pursuant to this 

Ordinance, receives the revenues, issues the Prizes, and 

pays the expenses. The Enterprise may be operated by 

the Tribe directly or by a Management Contractor. 

Facility: a building, structure or vessel on or within 

Tribal Lands within which Authorized Games are 

conducted. 

Gaming Employee: any person who handles, counts, 

accounts for, manages or is otherwise involved with or 

responsible for any monies, materials, records equipment 

related to any Authorized Game, or who supervises any 

person who does so or supervises any such supervisor, 

including by not limited to any person who has any 

management responsibilities in connection therewith, is 

deemed to be a Key Employee or management official 

under the Act, or is required to provide information to 

the Commission pursuant to Section 12(a)(l) of the Act 

or pursuant to regulations adopted by the Commission. 

Gaming Operation: the Enterprise and all activities 

conducted by the Enterprise. 

Key Employee: A person who performs on a regular basis 

one or more of the following functions, whether or not 

having the titles specified. 

4.11.1 Approver of Credit; 

4.1 1.2 Bingo number caller; 

4.11.3 Chief and Deputy Chief of Security; 

4.11.4 Counting room supervisor; 

4.1 1.5 Custodian of gambling devises and Electronic 

Gaming Devises, including persons with access 
, to cash and accounting records within such 

devices; 

4.1 1.6 Custodian of gaming supplies or cash; 

4.11.7 Croupier; 

4.1 1.8 Dealer; 

4.1 1.9 Floor manager; 

4.11.10 PitBoss; 

4.1 1.11 If not otherwise included, any other person 

whose total cash compensation from Gaming 

Operations is in excess of $50,000 per year; 

or 

4.1 1.12 If not otherwise included, the four most 

highly compensated persons in the 

Enterprise. 

4.1 1.13 The tribal member appointed to the 

Management Committee created by the 

Management Contract shall be deemed not to 

be a Key Employee under this Ordinance. 

4.1 2 Management Contract: any contract, subcontract, or 

collateral agreement between the Tribe and a contractor 

or between a contractor and a subcontractor if such 

contract or agreement provides for the management of all 

or part of the Enterprise. 

4.13 Management Contractor: a corporation, partnership, joint 

venture, or other business entity which contracts with 

the Tribe under an agreement subject to approval by the 

Commission or the Secretary of the Interior, for the 

purpose of managing or operating the Class 111 gaming 

activities authorized by this Ordinance. 

4.14 Ordinance: This Tribal Gaming Ordinance of the Big 

Lagoon Rancheria and any amendment thereof which has 

been duly adopted by the Tribe in accordance with 

Section 1 19(d)(l)(A) of the Act [25 U.S.C. $2710(d)(l)(A)]. 

4.1 5 Political Subdivision: any county, city and county, or 

governmental district of any kind, within the State of 

California. 

4.16 Prize: a payment made to a player who has paid or 

unconditionally agreed to pay for the opportunity to play 

an Authorized Game, and may include, without limitation, 

cash, merchandise, deferred payments or annuities, and 

tickets or plays in the same or other Authorized Games. 

4.17 Person having a direct or indirect financial interest in a 

Management Contract: 
4.17.1 When a natural person is a party to a 

Management Contract, any natural person 

having a direct financial interest in such 

Management Contract; 

4.i7.2 When a trust is a party to a Management 

Contract, any beneficiary or trustee; 

4.17.3 When a partnership is a party to a 

Management Contract, any partner; 

4.17.4 When a corporation is a party to a 

Management Contract, any person who is a 

director or who either holds at least five 

percent (5%) of the issued and outstanding 

stock alone or jointly with another 

stockholder or is one of the ten largest 

stockholders; or 

4.17.5 When an entity other than a natural person 

has an interest in a trust, partnership or 

corporation that has an interest in a 

Management Contract, all parties of that 

entity are deemed to be persons having a 

direct financial interest in a Management 

Contract. 

4.1 8 Primary Management Official: 

4.18.1 Any person who has authority: 

(a) To hire and fire employees; or 

(b) To set up working policy for the 

Enterprise; or 

4.18.2 The chief financial officer or other person who 

has financial management responsibility; 

provided that nothing in this section shall be 

interpreted to include the Tribe, the Tribal 

Gaming Agency or Tribal officials acting in 

their official capacities. 

4.18.3 The tribal member appointed to the 

Management Committee created by the 

Management Contract shall be deemed not to 

be a Primary Management Official under this 

Ordinance. 

4.19 Tribal Gaming Agency: The agency created and vested by 

the Tribe pursuant to the Ordinance with the authority to 

issue licenses to key employees and primary 

management officials and carry out such other functions 
as may be required of such agency under the Ordinance 

or the Tribal-State Compact. 

4.20 Tribal Lands: any "Indian Lands" as defined by the Act, 

over which the Tribe exercises governmental authority. 

4.2 1 Tribal State Compact: any Tribal State Compact and 

amendment thereof to which the Tribe is a party that is 

entered into pursuant to the Act and that is in effect at 

the time that provision utilizing the term is to be applied. 

4.22 Tribe or Tribal shall refer to the Big Lagoon Rancheria, a 

federally recognized Indian tribe registered with the 

Bureau of Indian Affairs under the name Big Lagoon 

Rancheria. 

4.23 Vendor: Any person or entity proposing to sell, lease or 

otherwise provide to the Tribe Electronic Gaming Devices, 

gaming software, other gaming equipment for gaming 

regulated hereunder, gaming security equipment, or 

automatic teller machines or other devices that provide 

credit or cash to a holder of a debit or credit card and any 

person or entity who will have access to the internal 

operations of any Electronic Gaming Device, any other 

gaming device or equipment, any gaming security device 

or equipment or any automatic teller machine for the 

purpose of repairing, adjusting, or modifying such device, 

equipment or machine, and any person or entity who 

proposes to modify a gaming software or gaming 

security software in any respect. 

Responsibility of Chairperson. The Chairperson shall be 

responsible for performing, or supervising the performance of, all acts 

required of the Tribe under this Ordinance, any applicable Federal 

law or regulation and any Tribal-State Compact to which the Tribe is 

a party. Any discretion, election or choice conferred on the Tribe by 

any of the foregoing shall be exercised by the Chairperson. This will 

be a paid position and the salary shall be paid out of the operating 

expenses of the Enterprise. 

Responsibilities of the Tribal Gaming Agency. There shall be 

established a Tribal Gaming Agency consisting of three adult members 

of the Tribe which shall have the authority to promulgate regulations 

consistent with this Ordinance and subject thereto governing all 

aspects of Gaming on Tribal Lands. The members of the Tribal Gaming 

Agency shall be nominated by the Chairperson and approved by a 

majority vote of the Tribal Council. The Tribal Gaming Agency shall 
also be vested with authority to issue licenses to Key employees and 

primary management officials and carry out such other functions as 

may be required of such agency under the Tribal-State Compact or 

that may be delegated to such agency by the Chairperson. The 

Chairperson may be a member of the Tribal Gaming Agency as a 

voting member or in an ex officio, non-voting capacity. Other ex 

officio members may be appointed by the Chairperson if approved by 

a majority vote of the Tribal Council. 

6.1 The Tribal Gaming Agency's responsibilities shall include, but 

not be limited to, the following: 

6.1.1 Conducting and causing to be conducted the background 

investigations required by this ordinance; 

6.1.2 Reviewing and approving the investigative work done; 

6.1.3 Reporting the results of the background investigation to 

the National Indian Gaming Commission; 

6.1.4 Obtaining and processing fingerprints; and 

6.1.5 Making the suitability determinations. 

6.2 The Tribal Gaming Agency shall perform the following 

minimum investigative procedures: 

6.2.1 Verification by written or oral communication, 

information submitted by key gaming employees and 

primary management officials. 

6.2.2 Inquiry into the key employee's and primary 

management official's prior activities, criminal record, if 

any, and reputation, habits and associations; interview a 

sufficient number of knowledgeable people such as 

former employers, personal references, and other to 

whom referred in order to provide a basis for the tribe to 

make a finding concerning the eligibility for employment 

in a gaming operation. 

6.2.3 Document the disposition of all potential problem areas 

noted and disqualifying information obtained 

6.2.4 Prepare an investigate report setting forth the 

background investigation; 

(a) Steps taken in conducting the background 

investigation; 

(b) Results obtained; 

(c) Conclusions reached; and 

(d) The bases for those conclusions. 

Application of Ordinance. It shall be unlawful for any person or 

entity to perform, conduct, operate, maintain or supervise any gaming, 
gaming event or wagering enterprise on or within the Tribal Lands 

except as provided in this Ordinance. 

8. Ownership of Gaming Enterprise. 

8.1 The Tribe shall have the sole proprietary interest in and 

responsibility for the conduct of any Gaming Operation 

authorized hereunder. 

8.2 The Tribe may delegate the management and operation of the 

Enterprise, including compliance with the requirements of this 

Tribal Gaming Ordinance or other applicable laws and 

regulations, to a Management Contractor pursuant to and to 

the extent set forth in a Management Agreement that is in 

effect and has been approved by the Tribe and by the 

Secretary of the Interior or the Commission. 

9. Net Revenues. The Tribe shall use net revenues from any Tribal 

gaming only for one or more of the following purposes; 

9.1 To fund Tribal government operations or programs; 

9.2 To provide for the general welfare of the Tribe and its 

members under a plan approved by the Secretary of the 

Interior under 25 U.S.C. 2710(b)(3); 

9.3 To promote Tribal economic development; 

9.4 To donate to charitable organizations; or 

9.5 To help fund operations of local government agencies. 

10. Financial Audit. The Tribe shall cause to be conducted independent 

audits of Gaming Operations annually and shall submit the results of 

those audits to the Commission in accordance with the requirements of 

25 CFR part 571, subpart D-Audits, as amended. 

10.1 The Tribe shall engage an independent certified public 

accountant to provide an annual audit of the financial 

statement of each Gaming Operation on Indian lands. Such 

financial statements shall be prepared in accordance with 

generally accepted accounting principles and the audit(s) shall 

be conducted in accordance with generally accepted auditing 

standards. 

10.2 The Tribe shall submit to the Commission a copy of the 

report(s) and management letter(s) setting forth the results of 

each annual audit within 120 days after the end of each fiscal 

year of the Gaming Operation. 

10.3 The Tribe shall reconcile its quarterly fee assessment reports, 

submitted under 25 CFR part 514, with its audited financial 
statements and make available such reconciliation upon 

request by the Commission's authorized representative. 

10.4 The Tribe shall fulfill any other applicable requirements set 

forth 25 CFR part 571, subpart D-Audits. 

10.5 All gaming related contracts that result in purchases of 

supplies, services, or concessions for more than $25,000 in any 

year (except contracts for professional legal or accounting 

services) shall be specifically included within the scope of the 

audit conducted under this section. 

11. Facility. 

1 1.1 The tribe shall construct, maintain and operate a gaming 

Facility in a manner that adequately protects the environment 

and the public health and safety and in accordance with the 

NEPA process. 

12. Enterprise and Facility Licensing. 

12.1 The Tribe shall issue a license to a gaming Enterprise subject to 

the following terms and conditions: 

12.1.1 The Management Contractor shall have fulfilled or 

committed to fulfill all requirements set forth in the 

Act, the Regulations, the Tribal State Compact and 

this Ordinance applicable to such Management 

Con tractor. 

12.1.2 The Management Contractor shall have fulfilled all 

requirements set forth in the Management 

Agreement that are capable of fulfillment at the 

time the license is to be issued. 

12.1.3 The Enterprise shall carry out a program of training 

and instruction for job applicants accepted for 

employment by the Enterprise, and shall provide 

opportunity for upward mobility in employment. 

No person shall be employed by the Enterprise that 

has not either completed the foregoing training and 

instruction or demonstrated that he or she is 

possessed of the skills necessary to fulfill the 

requirements of the applicable position. 

12.1.4 The Enterprise shall provide a competitive package 

of benefits for all full-time employees. 

12.2 The Tribe shall issue a license to a gaming Facility as part of 

the license to the gaming Enterprise subject to the following 

terms and conditions: 
12.2.1 The Tribe may issue a temporary license pending 

the resolution of any dispute to the completion of 

any requirement hereunder within a time period 

specified in such temporary license of the 

resolution of the dispute of completion of the 

requirement provided that such license shall be 

suspended or revoked if the dispute is not resolved 

or the requirement not met with in such period or 

any extension of such period granted by the Tribe 

for good cause. 

12.2.2 The Tribe has determined that the plans and 

specifications for the Facility comply with the thenapplicable zoning, housing, building and 

construction codes as adopted by the Tribe which 

incorporates standards at least as strict as the 

Uniform Building, Mechanical, Electrical and 

Plumbing Codes of the International Conference of 

Building Officials. 

The Tribe shall obtain a certification by a statecertified engineer or similarly qualified 

professional that the Facility has been constructed 

in accordance with the plans and specification 

approved by the Tribe pursuant to Section 12.2.2 

above. 

12.3 The Tribe shall issue a separate license to each place, Facility, 

or location on Indian lands where the Tribe elects to allow 

gaming. Each such license shall be posted in plain view in a 

conspicuous place in the licensed premises. Such license shall 

be personal to the holder and may not be transferred to 

another person or entity except as provided in the 

Management Contract, and may not be transferred to another 

location. 

12.4 Each licensee shall keep the premises open and unlocked 

during all hours when gaming is occurring. 

13. Persons Disqualified From Gaming 

13.1 Minimum Age for Plavers. No person below the age 

of 18 years on the date of gaming shall be 

permitted to play any Authorized Game or to 

purchase any gaming ticket, token, share, or other 

evidence of opportunity to win any game conducted 

pursuant to this Ordinance, and no Prize may be 

paid to any person below the age of 18 years 
making a prohibited purchase described herein or 

, to any other person on behalf of such disqualified 

person. 

13.2 Policv Disqualifications, In addition to the 

prohibition described in $13.1, no gaming ticket, 

token, share, or other evidence of opportunity to 

win any game conducted pursuant to this Ordinance 

may be purchases by or on behalf of any of the 

following persons: 

13.2.1 Any person employed by any 

governmental agency or certified public 

accountant that for purposes of 

conducting or otherwise participating in 

the financial audit described in $10; 

13.2.2 Any vendor within the meaning of $17. 

13.2.3 Employees shall not be disqualified 

from gaming at the Facility subject to 

the limitations set forth below. Failure 

to abide by such limitations shall render 

the employee disqualified as to any 

gaming conducted in disregard of such 

limitation and may subject such 

employee to other sanctions. 

13.2.4 Licenses or work permits shall be 

carried but not necessarily displayed at 

all times by off duty employees 

using the Facility. 

13.3 Prohibited Pavment of Prize to Disaualified Persons, No prize 

may be paid to any person described in $ 13.2 or to any person 

on behalf of any such person described in $13.2. 

1 3.4 Procedures to Enforce Disqualifications 

13.4.1 The Tribal Gaming Agency shall adopt reasonable 

procedures to implement the provisions of $13. 

13.4.2 No refund shall be made to any person making a 

purchase in violation of $13.1 or $13.2. 

13.5 "Purchase" Defined. For purposes of $13.1 , $13.2 , and 

$13.4.1, purchase shall include purchase by any credit card, 

bank "ATM" card, other debit card, any other means of 

deferred or electronic payment, and purchase or procurement 

on credit by whatever means. 

13.6 Disqualified Players. The following persons are deemed not 

engaged in Class I11 gaming conducted pursuant to this 
Ordinance within the meaning of Section 23(c)(2) of Act, 18 

U.S.C. § 1166(c)(2). 

13.6.1 Any person described in $13.2 who knowingly 

makes a purchase described in that subparagraph; 

13.6.2 Any person who knowingly makes a purchase on 

behalf of any person described in $13.2; 

13.6.3 Any person described in $13.2 who directly or 

indirectly solicits another to make a purchase 

described in that subparagraph; 

13.6.4 ' Any person described in $13.2 who claims a prize 

with a gaming ticket, token, share, or other 

evidence of opportunity to win with knowledge 

that the ticket, token, share, or evidence of 

opportunity was purchased by a person described 

in $13.2. 

14. Licenses and Work Permits. 

14.1 Generallv. No person shall act as or become a Gaming 

Employee, Primary Management Official or Vendor who does 

not hold a valid temporary or permanent license issued under 

this Ordinance, and no other person shall be employed by an 

Enterprise in which authorized gaming is conducted who does 

not hold a valid work permit as required under this Ordinance. 

Such license or work permit shall be personal to the holder and 

may not be transferred to another person or entity. 

14.2 Chan~e in Status. During the term of a license issued 

hereunder, the licensee must maintain his, her or its eligibility 

to hold such permit. Immediately upon any change in 

information set forth in the application, the licensee must 

report such change to the Big Lagoon Rancheria. If the Big 

Lagoon Rancheria determines that such change does not 

constitute a significant change in the eligibility of the 

licensee, the Big Lagoon Rancheria may issue an amended 

license without charge. Failure to report such change in 

information shall constitute cause for revocation of the license. 

14.3 Conditions and Limitations, The Big Lagoon Rancheria may 

place upon any license issued under authority of this section 

such conditions and limitations upon the activities conducted 

pursuant to such license as the Big Lagoon Rancheria may 

determine are necessary to protect the health, safety and 

general welfare of any persons or property at or in the vicinity 

of said activity. 
15. Gaming Employee Licensing. 

15.1 General1 y 

15.1.1 All persons required to hold a Gaming Employee 

license shall make application to the Tribe in 

accordance with the requirements of this Section. 

15.1.2 Key Employees, Primary Management Officials and 

other persons designated in $16.1 must satisfy the 

requirements of $16 in addition to the licensing 

requirements set forth in this $15 

No license shall be issued until the Tribe has 

determined after appropriate investigation that the 

applicant is not disqualified under the standards set 

forth in $ 15.4 herein and the State has been 

notified and any applicable waiting periods have 

expired. 

Non-gaming Work Permit. All persons who are not 

Gaming Employees but work at any Facility where 

authorized gaming occurs or is supervised or 

administered, must obtain a non-gaming work 

permit. Such work permits shall be issued by the 

Tribe upon the Tribe's determination that the 

employee is not a threat to the effective regulation 

of gaming and creates no risk or enhances no 

danger of unfair or illegal practices, methods or 

activities in the conduct of gaming on Tribal Lands. 

All applicants for work permits shall provide the 

information required in 9 15.3.5. 

15.2 Notification to Commission. In addition to any other 

notification procedures required by this ordinance, the Tribe 

shall provide prompt notification to the Commission of the 

results of each background check conducted hereunder before 

the issuance of any license and shall provided thereafter 

prompt notification to the Commission of the issuance of each 

such license. 

15.3.1 Privacy Act Notification, The Tribe shall place the following 

notice on the application form a Key Employee or a Primary 

Management Official before that form is filled out by an 

applicant: 

In compliance with the Privacy Act of 1974, the 

following information is provided: Solicitation of 

the information on this form is authorized by 25 

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

individuals to be employed in a gaming operation. 

The information will be used by National Indian 

Gaming Commission members and staff who have 

need for the information in the performance of 

their official duties. The information may be 

disclosed to appropriate Federal, Tribal, State, local, 

or foreign law enforcement and regulatory 

agencies when relevant to civil, criminal or 

regulatory investigations or prosecutions or when 

pursuant to a requirement by a tribe or the 

National Indian Gaming Commission in connection 

with hiring or firing of an employee, the issuance or 

revocation of a gaming license, or investigations of 

activities while associated with a tribe or a gaming 

operation, Failure to consent to the disclosures 

indicated in this notice will result in a tribe's being 

unable to hire you in a primary management 

official or key employee position. 

The disclosure of your Social Security Number 

(SSN) is voluntary. However, failure to supply a 

SSN may result in errors in processing your 

application. 

2 Notice Reparding False Statements, A tribe 

shall place the following notice on the 

application form for a Key Employee or a Primary 

Management Official before that form is filled out 

by an applicant: 

A false statement on any part of your application 

may be grounds for not hiring your, or firing you 

after you begin work, Also, you may be punished 

by fine or imprisonment (U.S. Code, Title 18, Section 

1001) 

Initial A~~lication and Back~round Investi~ations, 

Prior to issuance of a Gaming Employee license, 

each key employee and primary management 

official shall supply the information required 

under $15.3.5 and a release permitting the Tribe or 

Tribal GamingAgency to conduct a background 

investigation in sufficient depth to determine 

whether the applicant is disqualified for 

employment under the guidelines of $6 and the 

standards set forth in $15.4 herein. 
15.3.4 License Renewal. At least once within each twentyfour (24) month period of employment, which 

period shall include any leaves of absence or other 

suspensions of duties, any license holder shall be 

required to renew the license by application to the 

Tribe. The Tribe shall thereafter investigate such 

employee sufficiently to certify to the State, and 

shall so certify, that such Gaming Employee remains 

qualified to be employed under the standards set 

forth in $15.4. 

15.3.5 Required Information for Application. 

(a) All key employees and primary management 

officials for Gaming Employee 

licenses shall provide, at a minimum, 

the following information plus such 

additional information as the tribe shall 

require. 

1. Full name, other names used (oral or 

written), social security number(s), 

birth date, place of birth, citizenship, 

gender, all languages (spoken or 

written); 

2. Currently and for the previous 5 years; 

business and employment positions 

held, ownership interest in those 

business, and business and residence 

addresses; 

3. Social Security Number; 

4. Numbers of all current drivers licenses, 

any other states in which the applicant 

has held driver's licenses, and the 

names under which held; 

5. The names and current addresses of at 

least three personal references, 

including one personal reference who 

was acquainted with the applicant 

during each period of residence listed 

under paragraph (a) (2) of this section; 

6. Current business and residence 

telephone numbers; 

7. A description of any existing and 

previous business relationships with 
Indian tribes, including ownership 

interest in those businesses; 

8. A description of any existing and 

previous business relationships with the 

gaming industry generally, including 

ownership interest in those businesses; 

9. 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; 

10. For each felony for which there is 

ongoing prosecution or a conviction, the 

charge, the name and address of the 

court involved, and the date and 

disposition if any; 

11. For each misdemeanor conviction or 

ongoing misdemeanor prosecution 

(excluding minor traffic violations) 

within 10 years of the date of the 

application, the name and address of the 

court involved and the date and 

disposition; 

12. For each criminal charge (excluding 

minor traffic charges) whether or not 

there is a conviction of such criminal 

charges is within 10 years of the date of 

the application and is not otherwise 

listed pursuant to paragraph 10 and 11 

of this section, the criminal charge, the 

name and address of the court involved 

and the date of disposition; 

13. All business or employment related civil 

litigation in which the applicant was a 

party to the extent information is 

currently available to the applicant; 

14. 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. 
15. All disciplinary actions ever threatened 

or taken by any state or Tribal gaming 

authority; 

16. A current photograph; 

17. Credit information to the extent 

permitted by applicable law; 

18. Any other information a tribe deems 

relevant; and 

1 9. Fingerprints consistent with procedures 

adopted by the Tribe according to 25 

CFR §522.2(h) 

The Tribe shall require as a condition of any 

license described in this Ordinance that the 

applicant sign a document which states the 

prohibitions specified in 3 13.1 and § 13.2, 

acknowledges the applicant's awareness of 

those prohibitions, and states a warning that 

the violation of such prohibitions may result 

in criminal prosecution under state law. 

The document containing the original 

signature of any applicant required to be 

registered under $16 shall be transmitted 

according to the provisions of $17 and the 

Tribe shall retain a copy thereof. 

Investigative A~encv. The Tribe shall conduct a 

background check on each key employee and 

primary management official for a Gaming 

Employee license pursuant to the guidelines of 

$6 and the standards set forth in 515.4. The 

background investigation to be conducted 

hereunder may be performed by a qualified Tribal 

agency independent of the gaming Enterprise, by 

any agency licensed by the state to conduct 

personnel investigations or, upon the Tribe's 

request, by any office or department of the 

government of the State or local subdivision thereof 

which normally performs such investigations at the 

request of the Federal, State or local governmental 

agencies. 

The following subsections are applicable only in the 

event of a properly executed and approved TribalState Compact: 
15.3.7.1 Review of Applications by State. Within 

fifteen (15) business days of receiving a 

complete application for a Gaming 

Employee license or renewal, the Tribe 

shall send the State a copy of the 

application, including the information 

supplied pursuant to 9 15.3.5 and any 

other information the Tribe reasonably 

believes would be material to State's 

review of such applicant's ability to 

meet the standards set forth in $15.4. 

(a) In the case of a license denial or 

revocation, the Tribe shall also 

notify State within five (5) 

working days thereof together 

with the basis of such denial or 

revocation. 

(b) The Tribe shall cooperate with 

State in obtaining any further 

information pertaining to an 

applicant or licensee which State 

may reasonably request. 

Issuance of License. If the applicant is not required 

to be registered pursuant to $16, a license may be 

issued or renewed after expiration of five (5) 

business days after receipt by the State of the 

information required by this section, provided 

further that if, before the end of such five-day 

period the State notifies the Tribe that it objects to 

the issuance or renewal of a license, such issuance 

or renewal may occur only after the procedures set 

forth in 515.3.7.1 have been followed. 

Additional Requirements for Kev Employees. etc. If 

the applicant is required to be registered, no license 

shall be issued or renewed except upon such 

registration, temporary registration, or renewal of 

such registration, or until the expiration of the 

applicable time-period specified in § 16. 

Contested Licenses. 

(a) Request By State to Denv License. If the 

State determines that a Gaming 

Employee license should not be issued 

or renewed, or that a license should be 
revoked, it shall notify the Tribe of its 

opinion and the basis thereof as soon as 

practicable after such determination has 

been made. The State shall supply all 

information to Tribe in its possession 

which supports State's opinion; provided 

that the State determines that it is not 

legally authorized to release any such 

information or the release of such 

information is determined to jeopardize 

on going law enforcement activities, the 

State shall provide the Tribe with a 

written explanation of the basis for such 

non-disclosure. Tribe shall review the 

State's request and make a good faith 

determination within a reasonable time 

as to whether the action recommended 

by the State should be taken. 

(b) Tribe's Response to State's Request. If 

the Tribe determines after its own 

further investigation and review that 

the applicant is qualified for a Gaming 

Employee license, the Tribe may, but 

shall not be required to issue such 

license. The Tribe, in its sole discretion, 

may impose any qualifications to such 

license it deems appropriate, or may 

refuse to issue such license within its 

absolute discretion, despite an 

applicant's apparent qualifications, and 

shall not be required to disclose the 

reasons for such refusal to license or to 

renew to the applicant. 

15.3.8 Temporary Licenses, If the Tribe determines that 

an applicant meets the basic requirements for 

issuance or renewal of a license, it may issue a 

temporary license pending completion of the formal 

application process, including any further review 

following an inquiry by the State. The State shall 

be notified immediately upon issuance of any 

temporary license and such licenses shall be 

reviewed every sixty (60) days by the Tribe to 
determine if the standard set forth in 15.4 are still 

being met. 

15.4 Licensing Standards for Kev Gamine Emplovees and Primarv 

Management Officials, No person shall be issued or hold a 

license who: 

15.4.1 Knowingly makes a misrepresentation of, or fails to 

disclose, a material fact in connection with the 

application for any license, work permit or 

employment hereunder; 

15.4.2 Has had a license revoked or denied in connection 

with any Indian or State licensed gaming 

establishment within the last twelve (12) months; 

15.4.3 Is determined to be a person whose prior activities, 

criminal record, if any, or reputation, habits, and 

associations pose a threat to the public interest, the 

welfare or reputation of the Tribe, the effective 

regulation of gaming, or create or enhance the 

dangers of unsuitable, unfair or illegal practices, 

methods, and activities in the conduct of gaming or 

the carrying on of any business or financial 

arrangements incidental thereof. 

15.4.4 Has or has attempted to improperly interfere with 

or influence any decision or process of the Tribe or 

State relating to such license or any gaming activity; 

or 

15.4.5 Is a person described in 5 13.6 

15.5 Duration of Licenses, Gaming Employee licenses shall be issued 

for period not to exceed five (5) years unless earlier 

revoked, after which said license may be reviewed 

under the same standards applied for new licenses. 

16. Registration 

16.1 Who Must Re~ister, Every Key Employee, every person having 

a direct or indirect financial interest in a Management 

Contract, every Primary Management Official, and every other 

person required by a Tribal-State Compact to which the Tribe 

is a party, shall register with the Department pursuant to the 

requirements of such Tribal State Compact. 

16.2 Duration of Re~istration 

16.2.1 Registration must be renewed in accordance with - the terms of the applicable Tribal State Compact. 
16.2.2 No registration shall be valid unless and until the 

registrant is issued a license by the Tribe. 

16.2.3 Not-withstanding any other provision in the Tribal 

State Compact applicable to such registrations, a 

registration shall immediately be suspended or 

revoked upon suspension or revocation of the 

registrant's license by the Tribe. 

17. Licenses of Vendors. Vendors shall be licensed by the Tribe 

pursuant to the terms and procedures set forth in the Tribal State 

Compact and shall comply with all such procedures as a condition 

obtaining such license. 

18. Display of Licenses. All employees while on duty at any premises 

where authorized gaming is conducted shall wear and prominently 

display their license or work permit. No one shall be permitted to 

perform any duties at such Facility who is not wearing appropriate 

identification. 

19. Dispute Resolution. 

19.1 Any non-tribal member who has a dispute with the 

Management Company or the Tribe over gaming operations or 

the facility shall be entitled to a hearing before the Tribal 

Council. Appeals from the Tribal Council's decision may be 

taken to the Tribal Court, in accordance with the provisions of 

the Tribe's constitution. 

19.2 Any non-tribal member who violates any provisions of this 

ordinance or while present on the reservation breaches the 

peace, or assaults or batters any person while on the 

reservation, in addition to any sanctions imposed by other 

applicable Federal, state or local law, may be permanently 

excluded from the reservation by authority of the Tribal 

Council. 

19.3 Any tribal member who violates any provisions of this 

ordinance or while present on the reservation breaches the 

peace or assaults or batters any person while on the 

reservation, in addition to any sanctions imposed by other 

applicable Tribal, Federal, state or local law, may be prohibited 

from participating in any and all gaming activities authorized 

by this ordinance. 
20. Discrimination Prohibited. No person shall be discriminated 

against due to race, religion, color, creed, sex, or national origin at any 

time by any Enterprise licensed hereunder. 

21. Tribal Immunity. Nothing in this Ordinance shall be construed as 

affecting, modifying, diminishing, or otherwise impairing the sovereign 

immunity from suit enjoyed by the Tribe and its Tribal officials acting 

in their official capacity. 

22. Severability. In the event that any part of this Ordinance is deemed 

unenforceable or void by any arbitrator of court of competent 

jurisdiction, then in that event, all other aspects of this Ordinance shall 

remain in full force and effect and the Ordinance shall not fail due to 

any such determination. 

23. Amendments. The Tribe may amend this Ordinance by a majority 

vote of a quorum at any duly noticed, called and convened meeting of 

the Tribal Council. 

ENACTED ON DECEMBER 16,1993, PURSUANT TO RESOLUTION NUMBER 93- 

800, AGREED AND ACCEPTED BY THE TRIBAL COUNCIL ON DECEMBER 16, 

1993. 

AMENDED ON AUGUST 5,1994, PURSUANT TO RESOLUTION NUMBER 94- 

600, AGREED AND ACCEPTED BY THE TRIBAL COUNCIL ON AUGUST 5,1994.