OM MISSION 

MAY 1 3 1994 

Thomas Brown, Tribal Chairman 

Elem Indian Colony 

P.O. Box 618 

Clearlake Oaks, California 95423 

Dear Chairman Brown: 

This letter responds to your request to review and approve the 

tribal gaming ordinance ,adopted by the Elem Indian Colony (the 

Colony) by Resolution 94-1 on February 12, 1994. This letter 

constitutes such approval under the Indian Gaming Regulatory Act 

(IGRA) . 

Under the IGRA and the regulations of the National Indian Gaming 

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

with respect to the requirements of the IGRA and the implementing 

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

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

regulations. Provisions~other than those required under the IGRA 

or the NIGC regulations that may be included in a tribal 

ordinance are not subject to review and approval. 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 although the ordinance authorizes 

class I11 gaming pursuant to the IGRA, the Colony may only 

conduct such gaming after a tribal-State compact has been entered 

and approved by the Secretary of the Interior. 

With the Chairman's approval of the Colony's gaming ordinance, 

the Colony is now required to conduct background investigations 

on its key employees and primary management officials. The NIGC 

expects to receive a completed application for each key employee 

and primary management official pursuant to 25 C.F.R. 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). 

. ..- - .. . --A 

-. -. . .. . - . -.. - 1850 M STREET. N W. SU!TE 250 WAS- 'l~~'.;'.i 3 C Z302.6 TEi 202-632-7003 FAX 202-632-7066-- 
Thank you for submitting the ordinance of the Elem Indian Colony 

for review and approval. The NIGC staff and I look forward to 

working with you and the Colony in implementing the IGRA. 

Sincerely yours, 

M@orry J. Hope 

Anthony 3. Hope 

Chairman 

cc: Mary L. Prevost, Esq. 

Levine t Associates 

999 Third Avenue, Suite 3210 

Seattle, Washington 98104 
/j(K-NSC\ ELEM INDIAN COLONY -~ - 

Post Office Box 61 8 

.. .. *. Clearlake Oaks, CA 95423 

.. , . (707) 998-3431 

I RESOLUTION 94-1 

Whereas, the Elem General Council is the governing body of Elem 

Indian Colony who is a federally recognized Indian Tribe 

under the 1934 Indian Re-organization Act, and 

Whereas, the Elem General Council holds a special goverment to 

goverment relationship with the United States Of America 

and, 

Whereas, the Elem General Council recognizes the need to build a 

strong economic base of funding to assit our Tribalmembers 

in seeking employment and education that will reduce their 

reliance on welfare or social programs and, 

Whereas, the Indian Gaming Regulatory ~ct of 1988 allows Tribes 

recognized under the federal goverrnent to participate 

in such Indian Gaming activities to ehance a strong base 

of funding andt 

Whereas, the Tribe mus develop a Indian Gaming Ordinance that is 

in compliance with the guidelines of the Indian Gaming 

Regulatory Act and, 

Whereas, the Tribe has now adopted the Elem Gaming Act of 1994 

Ordinance for submission to the National Indian Gaming 

Commission under the Indian Gaming Regulatory Act and, 

NOW THERFORE IT BE RESOLVED, that the Elem Gaming Act of 1994 Ordinance 

is hereby adopted and the Chairperson of the Elem Indian Colony of 

Porno Indians is hereby authorized to execute and submit it immediately 

to the National Indian Gaming Commis8iont 

BE IT FURTHER RESOLVED, that the following persons are elected as 

the Elem Gaming Commissioners: Marvin Brown, Dewey Barnes Sr., 

Lyle Thomas, David Brown, and Stephanie Chatton. 

I CERTIFICATION 

It ie hereby =er;tifled that a duly Called General Council Meeting was 

held Febrllary 12, 1994 with a quorum present the said resQ3ution was 

approved by a) vote of 39 for 0 against 0 abstentions. I 

Certified by:! 55'=' ~dwZ-- Date ~/2/~ 

Tribal Chairman, Thomas L. Brown - 

Attested: by Date 

Tribal secretary, Bonnle Marancla 
ELEM COLONY OF POMO INDIANS 

Ordinance No. 94-1 01 

Elem Gaming Act of 1994 

The Elem Colony of Pomo Indians, a federally recognized Indian Tribe ("Tribe") 

hereby enacts the following to be known as the "ELEM GAMING ACT OF 1994. 

("Act") This Act and any regulations promulgated thereunder shall constitute the 

entire gaming regulations for the Tribe. 

. . Section 1. F~nd~nas and Policv. 

This Act is adopted by the Tribe, pursuant to its authority granted by Article VII 

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

Reservation for tribal governmental and charitable purposes, and to develop and 

operate such gaming consistent with the findings herein and in conformity with the 

federal Indian Gaming Regulatory Act (25 U.S.C. § 2701 at sea. ("IGRA")) and 

regulations promulgated thereunder. 

The Tribe finds that: 

a. Gaming on its Reservation is a valuable means of generating revenues 

that are needed for economic development, to promote Tribal self-sufficiency, 1 economic development, employment, job training, and a strong Tribal government, and 

to fund and ensure essential social programs 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 environment, the reservation, the health, security and general welfare of 

the Tribe, the players, and the community; and 

c. The Tribe desires to own all gaming on the Reservation, and to manage 

and regulate such gaming in a manner that will adequately address such special 

interests and needs of the Tribe. 

. .. Section 2. Def~n~tlons. 

Unless specified otherwise, terms used herein shall have the same meaning as 

in IGRA, including but not limited to references to "Class I," "Class II," and "Class Ill" 

gaming, except for references to "Commissioners", "Commission", or "Gaming 
Commission" which shall mean the Elem Gaming Commission or its Commissioners, 

established and described herein. 

a. "Closely associated independent contractor" shall mean any contractor 

that shares common ownership, officers or directors with any management 

principal or person related thereto. 

b. "Gaming" shall mean an 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. "Gaming Activities" shall mean any Class I, Class II, or Class Ill gaming 

activity conducted by or under the jurisdiction of the Tribe. 

d. "Gaming Commission" shall mean the Elem Gaming Commission, as 

established herein to monitor the Gaming Activities, investigate wrongdoing, 

conduct background investigations, issue licenses, and perform other duties as 

required for the regulation of gaming on the Reservation. 

e. "Gaming Contractor" shall mean any person or entity that supplies 

gaming devices or other gaming equipment, personnel, or services (including 

gaming management or consulting services) to any gaming activity or 

enterprise. 

f. "Gaming Enterprise" shall mean any gaming business, event, enterprise 

or activity conducted by or under the jurisdiction of the Tribe 

9. "Key Employee" 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 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. "National Indian Gaming Commissionf' ("NIGC") shall mean the 

commission established under IGRA. 
I. "Person" shall mean any natural person or entity, including but not limited 

to corporations, partnerships and trusts. 

j. "Primary Management Official" 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. 

k. "Related to" shall refer to persons who are related as a father, mother, 

sister or brother. 

I. "Reservation" shall mean all lands under the jurisdiction and control of 

the Tribe. 

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

n. "Tribal Council" shall mean the elected governing body of the Tribe, as 

set forth in the Tribe's Constitution and Bylaws. 

0. "Tribal Member" shall mean any duly enrolled or adopted member of the 

Tribe. The General Membership of the Tribe includes all Tribal members. 

P. "Tribal Court" shall mean any court established by the Tribe to hear 

disputes or, if there is none, the General Membership of the Tribe. 

Section 3. Ownership of Gaming. 

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

conduct of any gaming operation authorized by this Act, except 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 IGRA or as otherwise permitted by law. 

. . Section 4. Gamina Comm~ss~on. 

t of Ga- Comn . . a. . There is established by the Tribe 

hereby a Commission acting under the authority of the Tribe to be known as the Elem 

Gaming Commission. The Gaming Commission shall be composed of five (5) members 

of the Tribe, all of whom shall be elected by the same process by which officers of 

the Tribe are elected. 
b. ons 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). 

(3) Persons who would not be eligible to be officers of the Tribe 

pursuant to the Tribe's Articles and Bylaws; 

c. Terms of Office. The Commissioners shall serve for two year terms, 

except that immediately after enactment of this Gaming Act two (2) of the 

Commissioners shall serve for two years, and three (3) of the Commissioners shall 

serve for three years. Commissioners may serve for more than one term. 

d. Removal from Office. Commissioners may only be removed from office 

before the expiration of their terms by the Tribe for neglect of duty, malfeasance or 

other good cause shown. The procedure for removing a Commissioner shall be the 

same as for removing an officer of the Tribe. 

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

a quorum. 

f. Officers and Duties. The Gaming Commission shall select, by majority 

vote, a Chairman, Vice-Chairman and Secretary. The Chairman shall preside over 

meetings of the Gaming Commission and the Vice-Chairman shall preside in absence 

of the Chairman. The Secretary shall record in writing the minutes of all Gaming 

Commission meetings and all official actions taken by the Gaming Commission. 

g. Voting. All actions of the Gaming Commission shall be taken by majority 

vote. The Commission Chairman may vote on any issue. 

h. M-. Meetings shall be held at least once per month, on the second 

Tuesday of the month at 7:00 p.m. at the Tribe's primary meeting facility. Additional 

meetings shall be held as called by the Chairman or by at least three (3) other 

Commissioners. Notice of meetings shall be given in writing to each Commissioner, 

served by first class mail or personal delivery at least five (5) business days prior to 

such meeting. 

i. Cornpensat- Fringe Benefits: kmhcxment of 

Bpenses. Commissioners shall be compensated for serving on the Commission at 

rates to be set by the Tribe after review and recommendation by the Tribal Council. 

Such rates shall be identical for all Commissioners. Step increases may be allowed 
based on length of service. Commissioners shall be eligible for fringe benefits which 

are available to other employees of the Tribe to the extent the provider of such 

benefits qualifies Gaming Commission positions for such benefits. Subject to approval 

by the Tribal Council and in accordance with procedures to be adopted by that 

Council, Commissioners shall be reimbursed for expenses incurred in connection with 

the performance of their Gaming Commission duties. 

J. Powers and Duties. 

The Gaming Commission shall have the power and duty to: 

(4) 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; 

(5) Investigate any suspicion of wrongdoing in connection with any gaming 

activity; 

(6) Conduct or cause to be conducted such investigations as may be necessary 

to determine in connection with any gaming activity, compliance with law or 

this Gaming Act or any contracts, agreements, goods, services, events, 

incidents, or other matters related to gaming activities; 

(7) Conduct background investigations regarding any person in any way 

connected with any gaming activity and issue licenses to, at minimum, all key 

employees and primary management officials according to requirements at least 

as stringent as those in 25 C.F.R. parts 556 and 558; 

(8) 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; 

(9) Administer oaths or affirmations to witnesses appearing before the Gaming 

Commission; 

(10) 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 Act and IGRA; 

(1 1) Hear disputes against the gaming establishment, in accordance with the 

procedures established in this Act. 
(1 2) Hire such staff and support services as deemed necessary subject to a 

budget approved by the Tribal Council. 

(13) To the extent 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 IGRA. 

(14) Issue such regulations as it deems appropriate in order to implement the 

provisions of this Act; 

(1 5) Promulgate rules for each Class I, Class II or Class Ill game allowed under 

this Act; such rules shall govern the conduct of such games; and 

(16) Carry out such other duties with respect to Gaming Activities on the 

Reservation as the Tribal Council shall direct. 

k. AnnualReDorts. On or before April 30th of each year, the Gaming 

Commission shall provide to the Tribal Council an Annual Report summarizing its 

activities during the prior twelve (1 2) 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 the General Membership of the Tribe 

within thirty (30) days after receipt. 

. .. Section 5. Permed Gamtng Act~v~t~i. 

. . a. Unauthorized Gamma Prohlblted. All gaming activities on the reservation 

(whether Class I, II or Ill) are prohibited except as expressly authorized under this Act. 

(1 ) Class I Gaming. 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 pursuant to a finding that 

such conduct is not in accordance with tribal customs or practices or violates IGRA 

or any other law. 

(2) 1. Class I1 and Class Ill gaming on the 

reservation is hereby authorized, provided 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 licensed a person or entity to own, operate or manage 

the enterprise pursuant to the provisions of IGRA 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 person or entity to assist the Tribe in the 

management of a gaming activity pursuant to a management agreement entered into 

under the provisions of IGRA. Class Ill gaming shall be conducted in accordance with 
any tribal-state compact between the Tribe and the State, or any alternative thereto 

as provided by IGRA. 

Section 6. Gmmg Revenues. 

a. Tribal Propertv. Except as provided for under the terms of an agreement 

pursuant to the provisions of IGRA or as otherwise permitted by law, all revenues 

generated from any Class II or Class Ill 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. Once becoming 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, provided that the Tribal Council may adopt 

rules for distributing gaming proceeds to Tribal Members on a per capita basis provided 

such plan meets the requirements of IGRA, 25 U.S.C. § 2710 (b) (3). Payments from 

the general treasury funds to Tribal Members under other tribal programs, including 

those related to health, welfare, education, elderly care, and housing, shall not be 

deemed to be "per capita" payments. 

b. Use of Net Revenues. Net revenues from gaming activities shall not be 

used for purposes other than: 

(1) To fund Tribal government operations or programs; 

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

(3) To promote economic development for the Tribe; 

(4) To donate to charitable organizations; or 

(5) To help fund operations of local government agencies. 

Section 7. Operation of Gamina Establishments. 

a. a Pernutted as I ~censed. Except to the extent authorized by an 

agreement pursuant to the provisions of IGRA or as otherwise permitted by law, 

Gaming Activities shall only be conducted in tribally owned, operated and licensed 

facilities pursuant to the provisions of this Act. Such 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 Fnviro-d Pubk. Any construction or maintenance 

of any gaming facility, and the operation of gaming therein, shall be conducted in a 

manner which adequately protects the environment and the public health and safety. 

c. Resolution. Patrons who have complaints against the gaming 

establishment shall have as their sole remedy the right to file a petition 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. Complaints shall be submitted in 

writing and, at the discretion of the Gaming Commission, the petitioner may be 

allowed to present evidence. The Gaming Commission will render a decision in a 

timely fashion and all such decisions will be final when issued. Any patron having a 

claim against the gaming establishment or a management contractor or its employees 

must submit such claim to the Gaming Commission within thirty (30) days of its 

occurrence. All claims by patrons shall be limited to a maximum recovery of $1 0,000 

per occurrence, and a cumulative limit of $20,000 per patron in any twelve (1 2) 

month period. 

Section 8. Audits. 

Annuals. Annual outside auditing by a recognized independent accounting 

firm shall be conducted of each gaming activity and the results thereof reported to the 

Tribal Council and, to the extent required by law, the Bureau of Indian Affairs and the 

National Indian Gaming Commission ("NIGC"). 

Section 9. Contracts. 

a. Bidding. Contracts relating to gaming or any gaming facility over $25,000 

or for more than five years shall be subjected to a formal, sealed bidding process prior 

to submission to the Tribal Council for approval. All reasonable attempts shall be 

made to obtain and consider at least three responsible bids; provided, the Gaming 

Commission may waive the requirement for three bids upon good cause shown. 

b. Audit Requirements. All contracts for supplies, services, or concessions for 

a contract amount in excess of $25,000 annually (except contracts for professional 

legal or accounting services) relating to Class II or Class Ill gaming on the Reservation 

shall be subject to independent audits, and such contracts shall so specify. 
Section 10. Licenses. 

a. Licensina Requirements. It is the declared policy of the Tribe that all 

gaming activities be licensed and controlled so as to protect the morals, good order 

and welfare of tribal members and other persons on the reservation and to preserve 

the honesty, fairness and integrity of such gaming activities. Accordingly, no person 

shall engage in any Class II or Class Ill Gaming Activities on the Reservation without 

an appropriate and valid independent Class II or Class Ill 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 any 

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

b. den on Applicant. The burden of proving an applicant's qualification 

to receive any license hereunder is at all times on the applicant. Applicants must 

accept any risk of adverse public notice, embarrassment or other action which may 

result from the application process and expressly waive any claim for damages as a 

result thereof. 

. . c. ant Cla~m of Prlvllege. 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. 

d. Release of Information. All persons applying for a license shall agree 

to release all information necessary in order for the Gaming Commission to achieve its 

goals under this Section, and to furnish such information to the Bureau of Indian 

Affairs, the NIGC, or such other governmental agency as may be required by law. 

e. Tof. Three classes of licenses (Class A, Class B, and Class 

C) shall be issued to persons associated with gaming activities. 

(1 s A I lcerlses. Before permitting any person to become 

permanently associated with any Gaming Activity as an investor or other person 

owning or controlling 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 II or Ill 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 any 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 their background which might 

create or enhance the dangers of unsuitable, unfair, or 

illegal practices and methods and activities in the conduct 

of gaming. 

Persons who do not meet the above qualifications shall be denied a Class A license. 

(2) s B I rcenses. Persons who are not among those identified in 

subsection (1 above, but are to be employed at a gaming facility on the Reservation 

in some other capacity, such as in non-gaming related 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 public. 

(3) C l icenses. Minors (persons under 18 years of age) 

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 public. Such licenses shall be valid for no more than six 

(6) months at a time and shall be revoked upon the minor's reaching the age of 18, 

at which time a Class A or B license, as may be appropriate, will be required. Minors 

shall not be employed as dealers or otherwise to operate or supervise the operations 

of games, or to serve liquor. 

f. ]Renewal. Class A and Class B licenses shall be subject to 

renewal at least every two (2) years, and may be revoked or suspended upon the 

occurrence of any act which, if known during the application process, would have 

tended to disqualify such person for such a license. 

9 - Temporarv Licenses. Pending completion of an investigation for a license, 

temporary licenses of no more than ninety (90) days duration may be issued by the 

Gaming Commission if in its sole discretion it deems it appropriate to do so. Such 

licenses 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 licenses shall expire 90 days from date of issuance, upon issuance of a 

regular license, or until an earlier specified expiration date, whichever occurs first. 
h. J icense InvestigaliQm. The Gaming Commission may employ all 

reasonable means, inchding the engagement of outside services and investigators and 

the holding of hearings, to acquire the information necessary to determine whether or 

not a license should issue. Applicants shall also agree to release all information 

necessary in order for the Gaming Commission to achieve its goals under this section 

and to furnish such information to the Bureau of Indian Affairs, the NIGC, or such 

other agency as may be required by law. 

I. 1 icense Fees. Unless specifically waived by the Gaming Commission, all 

persons applying for a Class A, B or C license shall be required to pay all applicable 

license fees and costs when due, including a reasonable deposit for costs incurred in 

obtaining information in connection with the license application. Applicants who are 

Tribal Members will not be charged a license fee or costs. Estimates of licensing costs 

shall be provided to applicants upon reasonable request. All fees and costs must be 

received by the Gaming Commission prior to issuance of the license. 

J- Standards. All persons engaged by or associated with any gaming 

activity on the Reservation shall conduct themselves with honesty, integrity, and with 

such decorum and manners as may be necessary to reflect positively on the Tribe, its 

members and the Gaming Activities involved. Any failure to abide by such standards, 

or any violation of any rule, ordinance, custom or tradition of the Tribe, the 

Reservation or the Gaming Activity, or the terms or conditions of the license, may be 

grounds for immediate suspension or revocation of any license issued hereunder. 

k. &QE&. All decisions of the Gaming Commission regarding the issuance 

of licenses shall be final and effective when issued; provided, within fifteen (1 5) days 

of the receipt of the written decision regarding denial of the license, the applicant may 

file a petition for reconsideration with the Gaming Commission. Any Tribal Member 

who is denied a license by the Gaming Commission may, within thirty (30) days of 

written notice of such denial, appeal the denial to the Tribal Council, which shall have 

the power to reverse the decision of the Gaming Commission and order that such 

license be issued, provided furtheL that no such license shall be issued for more than 

one year, subject to the renewal procedures set forth herein, and provided further that 

no order of the Tribal Council 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. 

Backa . . I. round Investigations. 

(1) The Gaming Commission shall request from each primary management 

official and each key employee all of the information specified in subsections (a) 

through (n) below. Further, each other applicant for a Class A license, except as 

provided otherwise by the Gaming Commission, shall also submit the information 

specified in (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), date of birth, place of birth, citizenship, gender, all languages (spoken or 

written); 

(b) Currently and for at least the previous five (5) years: 

business and employment positions held, ownership interests in those businesses, 

business and residence addresses and drivers license number(s1; 

(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 as listed under subsection (b) above; 

(d) Current business and residence telephone numbers; 

(e) Description of any existing and previous business 

relationships with the gaming industry generally, including ownership interests in those 

businesses; 

(f) A 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 ever 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 ten (1 0) years of the date of the 

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

if any, of the case; 

(j) For each criminal charge (excluding minor traffic charges), 

whether or not there is or was a conviction, if such criminal charge is within ten (1 0) 

years of the date of the application and is not otherwise listed above pursuant to 

subsections (h) or (i) above: the criminal charge, the name and address of the court 

involved and the date and disposition, if any, of the case; 
(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; 

(I) Current photograph; 

(m) Any other information the Tribe or the Gaming Commission 

deems relevant; and 

(n) Fingerprints consistent with procedures adopted by the 

Gaming Commission according to 25 C.F.R. § 522.2(h). 

(2) The Tribe shall conduct or cause to be conducted an investigation, 

through the Gaming Commission, sufficient to make a determination of eligibility as 

required under this Gaming Act. In conducting the background investigation, the 

Gaming Commission and its agents shall promise to keep confidential the identity of 

each person interviewed in the course of the investigation. 

. . m. Determlnatlon. 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, the Gaming Enterprise 

shall not employ that person in a key employee or primary management official 

position or in any other position for which a Class A license is required, except as 

specifically established by the Gaming Commission. 

- Licensing Appllcat~ons and Repo . . n. Forwardma rts to NIGC. 

(1) On or before the date any key employee or primary management 

official is employed by a Gaming Enterprise authorized under this Act, the Gaming 

Commission, acting on behalf of the Tribe, shall forward to the NIGC the person's 

completed application for employment containing the information required above under 

section 10.1. of this Act. 

(2) Prior to issuing a license to a primary management official or key 

employee, the Gaming Commission, acting on behalf of the Tribe, shall forward to the 

NIGC, together with a copy of the eligibility determination made under subsection 

1 O.m. above, an investigative report on each background investigation. The 

investigative report on each background investigation shall be forwarded to the NIGC 

within sixty (60) days after the employee begins work, or within sixty (60) days of the 
approval of this Act by the NIGC. The Gaming Enterprise shall not employ or continue 

to employ any person as a key employee or primary management official who does not 

have a license within ninety (90) days of beginning work. 

The investigative report shall include the following information: 

(a) Steps taken in conducting a background investigation; 

(b) Results obtained; 

(c) Conclusions reached; and 

(d) The bases for those conclusions. 

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

provide to the NlGC or other agency, any other reports and information required by 

IGRA and regulations promulgated thereunder. Further, 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 

NlGC for no less than three (3) years from the date of termination of employment. 

(4) If a license is not issued to an applicant, the Gaming Commission 

shall notify the NlGC and may forward copies of its eligibility determination and 

investigative report (if any) to the NlGC for inclusion in the Indian Gaming Individuals 

Records System. 

0. Grantina a Gamina License. 

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

as required under subsection 10.n. above, the NlGC notifies the Tribe that it has no 

objection to the issuance of a license pursuant to the license application filed for a key 

employee or primary management official for whom the Gaming Commission has 

provided an application and investigative report, the Gaming Commission may issue 

the license. 

(2) The Gaming Commission shall provide any additional information 

requested by the NlGC concerning a key employee or primary management official 

who is the subject of a report as required under this subsection. A NlGC request for 

additional information shall suspend the thirty (30) day period established under this 

subsection until the NlGC receives the additional information. 

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

subsection, the NlGC provides a statement itemizing objections to 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 retains the right to make the final determination whether to issue the 

license to such applicant. 

P. 1 icense Sugmsh. 

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

information from the NlGC or other reliable source indicating that a key employee or 

a primary management official is not eligible for employment under the eligibility 

criteria established in section 10. above, the Gaming Commission shall suspend the 

license and shall notify the licensee in writing of the license suspension and proposed 

revocation. 

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

place for a hearing on the proposed revocation of a license. 

(3) After the revocation hearing, the Gaming Commission shall 

determine whether to revoke or to reinstate the gaming license. For actions taken in 

response to information provided by the NIGC, the Gaming Commission shall notify 

the NlGC of its decision. 

9. Facilities Licenses . Before gaming activities can be conducted therein, 

the Gaming Commission shall inspect and license each such facility in accordance with 

this Act and any requirements of IGRA. Facilities in which Gaming Activities were 

taking place on the date this Act was adopted shall be deemed to have qualified for 

and be operating under such a license upon adoption of this Act. 

. . Section 1 1. m~on Form. 

a. Each application form for a key employee or a primary management 

official, as well as for all other Class A license applicants, unless otherwise specifically 

exempted by the Gaming Commission, shall contain the notices set forth in 

subsections (1) and (2) below: 

(1) Privacy A c t Not& 

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. 52 70 1 et w. The purpose of the requested information is to determine 

the eligibility of individuals to be employed in a gaming operation. The in forma tion will 

be used by National Indian Gaming Commission members and staff who have need for 

the information in the performance of their official duties. The information may be 

disclosed to appropriate Federal, Tribal, State, local, or foreign law enforcement and 
regulatory agencies when relevant to civil, criminal or regulatory investigations or 

prosecutions or when pursuant to a requirement by a Tribe or the National Indian 

Gaming Commission in connection with the hiring or firing of an employee, the 

issuance or revocation of a gaming license, or investigations of activities while 

associated with a Tribe or a gaming operation. Failure to consent to the disclosures 

indicated in this notice will result in a Tribe's being unable to hire you in a prhary 

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 -a False Statements. 

A false statement on any part of your application may be grounds 

for not hiring you, or for firing you after you begin work. Also, you may be punished 

by fine or imprisonment. (U. S. Code, title 18, § 100 1) 

b. Any existing key employee or primary management official that has nct 

completed an application form containing the language set forth in Section 11 .a.(l) 

and (2) above, or other Class A licensee unless otherwise specifically exempted by the 

Gaming Commission, shall be notified that they must either: 

(1) Complete a new application form that contains the Privacy Act 

notice and the notice regarding false statements; or 

(2) Sign a statement that contains the Privacy Act notice and consent 

to the routine uses described in that notice, and sign a statement that contains the 

notice regarding false statements. 

Section 12. Class Ill Gamina: Tribal-State Compacts. 

In addition to the provisions set forth above, no Class Ill gaming shall be 

engaged in on the Reservation unless a tribal-state compact has first been obtained 

in accordance with the IGRA. All negotiations for such compacts shall be conducted 

through the Chairperson of the Tribe, with the advice and suggestion of the Gaming 

Commission, and shall be finalized only upon the majority vote of the Tribal Council 

after consideration of the terms of such compact. In the event the Tribe approves a 

tribal-state compact, the provisions of such compact, once approved under IGRA, shall 

govern over the provisions herein, to the extent the compact is inconsistent herewith. 

Section 13. Interest in Manaaement Contracts bv Tribal Officials. 
No elected official of the Tribe, including the Gaming Commission or any other 

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

responsibility for, any management agreement entered into pursuant to IGRA, nor shall 

such elected official serve on the board of directors or hold (directly or indirectly) ten 

percent (1 0%) or more of the issued and outstanding stock of any corporation, or 

10% or more of the beneficial interest in any partnership, trust, or other entity, in any 

such corporation, partnership, trust or other entity, having a financial interest in, or 

management responsibility for, such contract. 

Section 14. Service of Procs. 

The Tribe designates as its agent for service of any official determination, order, 

or notice of violation, the Chairperson of the Tribe. 

Section 15. Tribal Gamin9 Corporation. 

Nothing in this Act shall prevent the Tribe from delegating the authority to 

conduct gaming to one or more Tribal corporations, so long as the Gaming Enterprises 

to which such authority is delegated agree to meet all criteria and requirements 

established under this Act. 

Section 16. Pepea I of Prior Ga mina Ordinances: Effective Date. 

All prior gaming ordinances of the Tribe are repealed, and this Act shall become 

effective upon its adoption by the Tribal Council. 
I, the undersigned, duly elected Secretary of the Elem Colony of Pomo Indian's 

Tribal Council, do hereby certify that the foregoing Act was adopted by the members 

of the Elem Colony of Pomo Indians at a duly called tribal meeting on ,19 

, by a vote of , "for", , "against" and "abstaining" and 

such resolution has not been rescinded or amended in any way.