. 1 - ...

JUN1 0 2004

James Cohen, Esq.

California Indian Legal Services

510 16thStreet, Fourth Floor

Oakland, CA 94612

Dear Mr. Cohen:

This letter responds to your request to the National Indian Gaming Commission (NIGC)

for the review and approval of the Table Bluff Reservation - Wiyot Tribe Gaming

Ordinance No. 08-03 adopted November 8, 2003. This letter constitutes such approval

under the Indian Gaming Regulatory Act (IGRA). It is important to note that the gaming

ordinance is approved for gaming only on Indian lands, as defined in the IGRA, over

which the Tribe1msJ";:fsdiction.

We look

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; SI. Paul, MN; Tulsa, OK

NATIONAL HEADQUARTERS 1441 LSI. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.GOV
ORDINANCE NO. 08-03

TABLE BLUFF RESERVATION - W1YOT TRIBE

GAMING ORDINANCE

Approved November 8, 2003

Amended April 12, 2004

Amended May 10, 2004 i

2Ogij

ARTICLE I: PURPOSE

The Table Bluff Reservation -

Wiyot Tribe (Tribe), acting through its General Council,

pursuant to the Tribes inherent authority and the Constitution and Bylaws of the Table Bluff

Reservation -

Wiyot Tribe, adopted April 3, 1999, as amended, hereby enacts this Ordinance in

order to set the terms for class II and class Ill gaming operations on the Table Bluff Reservation.

ARTICLE II: DEFINITIONS

Section 1. General

Unless a different meaning is clearly indicated in this Ordinance, the terms used herein

shall have the same meaning as defined in the Indian Gaming Regulatoiy Act (25 U.S.C. § 2701

et seq.) and its regulations (25 C.F.R. § 500 et seq.).

Section 2. Special Terms

In this Ordinance:

(a) CLASS II GAMING: class II gaming means:

(i) the game of chance commonly known as bingo (whether or not electronic,

computer, or other technologic aids are used in connection therewith);

(I) which is played for prizes, including monetary prizes, with cards bearing

numbers or other designations,

(H) in which the holder of the card covers such numbers or designations when

objects, similarly numbered or designated, are drawn or electronically

determined, and

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Gaming Ordinance of the Table Bluff Reservation -Wiyot Tribe
(III) in which the game is won by the first person covering a previously

designated arrangement of numbers or designations on such cards,

including (if played in the same location) pull-tabs, lotto, punch boards, tip

jars, instant bingo, and other games similar to bingo, and

(ii) card games that

(I) are explicitly authorized by the laws of California, or

(H) are not explicitly prohibited by the laws of California and are played at any

location in California, but only if such card games are played in

conformity with those laws and regulations (if any) of California regarding

hours or periods of operation of such card games or limitations on wagers

or pot sizes in such card games.

The term class H gaming does not include any banking card games, including baccarat,

chemin de fer, or blackjack (21), or electronic or electromechanical facsimiles of any game of

chance or slot machines of any kind.

(b) CLASS I GAMING: class III gaming means all forms of gaming that are not class I

gaming (as defined in 1GRA) or class II gaming.

(c) COMMISSION: Commission means the Table Bluff Gaming Commission established

pursuant to an ordinance duly adopted by the Tribal Council.

(d) COMPACT: Compact means the Tribal-State Compact to be negotiated between the

Tribe and the State of California authorizing class Ill gaming activities, as required by

IGRA, 25 U.S.C. § 2710(d)(l)(C) and amended from time to time.

(e) IGRA: IGRA means the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 et seq. and

its regulations, 25 C.F.R. § 500 et seq.

(f) INDIAN LANDS: Indian lands means all lands within the limits of any Indian

reservation and any lands title to which is either held in trust by the United States for the

benefit of any Indian tribe or individual or held by any Indian tribe or individual subject

to restriction by the United States against alienation and over which an Indian tribe

exercises governmental power.

(g) KEY EMPLOYEE: key employee means

(1) 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

gambling devices including persons with access to cash and accounting records

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Gaming Ordinance of the Table Blufr Reservation -

Wiyot Tribe
within such devices;

(2) If not otherwise included, any other person whose total cash compensation is in

excess of fifty-thousand dollars ($50,000.00) per year; or

(3) If not otherwise included, the four (4) most highly compensated persons in the

gaming operation.

(h) NET REVENUES: Net revenues means gross revenues of gaming activity less

amounts paid out as, or paid for, prizes and total operating expenses, excluding

management fees.

(i) NIGC: NIGC means the National Indian Gaming Commission established pursuant to

25 U.S.C. § 2704.

U) PRIMARY MANAGEMENT OFFICIAL: Primary Management Official means

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

(2) Any person who has authority to: hire and fire employees; or to set up working

policy for the gaming operation; or

(3) The chief financial officer or other person who has financial management

responsibility.

(k) STATE GAMING AGENCY: State Gaming Agency means the entity defined in

Subsection 2.18 of the Compact.

(1) TRIBAL COUNCIL: Tribal Council means the Tribal Council of the Table Bluff

Reservation -

Wiyot Tribe, as defined in the Constitution and Bylaws of the Table Bluff

Reservation -

Wiyot Tribe.

(m) TRIBAL MEMBER: Tribal member means any individual who is duly enrolled in the

Tribe in accordance with the Tribes Constitution and any enrollment ordinance that may

be enacted by the Tribe, as amended from time to time.

(n) TRIBE: Tribe means the Table Bluff Reservation -

Wiyot Tribe.

ARTICLE III: GAMING AUTHORIZED

Class II and class III gaming, as defined in 25 U.S.C. § 2703(7)(A) and 2703(8) and by

the regulations promulgated by the NIGC at 25 C.F.R. § 502.3 and 502.4, is hereby authorized.

The class III gaming activities authorized by this Ordinance are those gaming activities

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Gaming Ordinance of the Table Bluff Reservation -

Wiyot Tribe
authorized under the Compact.

ARTICLE IV: OWNERSHIP OF GAMING

The Tribe, acting through the Tribal Council, shall have the sole propriety interest in and

responsibility for the conduct of any gaming operation authorized by this Ordinance.

ARTICLE V: USE OF GAMING REVENUES

Section 1. Use of Net Revenues

Net revenues from class II and class III gaming shall be used only for the following

purposes:

(a) to fund tribal government operations and programs;

(b) to provide for the general welfare of the Tribe and its members;

(c) to promote tribal economic development;

(d) to donate to charitable organizations; or

(e) to help fund operations of local government agencies.

Section 2. Per Capita Payments

If the Tribe elects to make per capita payments to tribal members, it shall authorize such

payments only upon approval of a plan submitted to the Secretary olthe Interior under 25 U.S.C.

§ 2710(b)(3).

ARTICLE VI: AUDIT

Section 1. Annual Audit

The Commission shall cause to be conducted annually an independent audit olgaming

operations and shall submit the resulting audit reports to the NIGC. The annual audit shall be

conducted by an independent certified public accountant, in accordance with the auditing and

accounting standards for audits of casinos of the American Institute of Certified Public

Accountants.

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Gaming Ordinance of the labic Bluff Reservation -

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Section 2. Gaming Contracts

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

concessions in excess of twenty-five thousand dollars ($25,000.00) annually, except contracts for

professional legal and accounting services, shall be specifically included within the scope of the

audit that is described in Section 1 of this Article.

ARTICLE VII: PROTECTION OF THE ENVIRONMENT,

PUBLIC HEALTH AND SAFETY

Class II and class III gaming facilities shall be constructed, maintained and operated in a

manner that adequately protects the environment and the public health and safety. The Tribal

Council shall adopt standards for protecting the environment and the public health and safety that

are consistent with its obligations under the Compact. At a minimum, the standards for

protecting the public health and safety shall include the following prohibitions:

(a) If the Tribe permits the consumption of alcoholic beverages in a gaming facility, no

person under the age of twenty-one (21) years shall be permitted to be present in any area

in which class II or class III gaming activities are being conducted and in which alcoholic

beverages may be consumed, to the extent required by the state Department of Alcoholic

Beverage Control. No person under the age of eighteen (18) years shall be permitted to

be present in any room in which class II or class Ill gaming activities are being conducted

unless the person is en-route to a non-gaming area of the gaming facility.

(b) Possession of firearms shall be prohibited at all times in class 11 and class III gaming

facilities operated under this Ordinance, except for possession of firearms by state, local,

or tribal security or law enforcement personnel authorized by federal, state or tribal law to

possess firearms at the facilities.

ARTICLE VIII: LICENSES

Section 1. License Requirements

The following persons and entities are required to be licensed by the Commission:

(a) All employees, including key employees and primary management officials, employed at

any class II or class III gaming enterprise operated under this Ordinance;

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Gaming Ordinance of the Table Bluff Reservation -

Wiyot Tribe
(b) Gaming resource suppliers required to be licensed under Subsection 6.4.5 of the

Compact;

(c) Persons extending financing, directly or indirectly, to the Tribes gaming facility or

gaming operations; and

(d) Each place, facility, or location where class II or class III gaming is conducted under this

Ordinance.

Section 2. Raekground Investigations

The Commission or its agents shall conduct an investigation of license applicants

sufficient to make a determination under Section 3 of this Article. The Commission and its

agents are authorized to receive state summary criminal history information, as defined in

Subsection 11105(a) of the California Penal Code, or a copy thereof, maintained under a persons

name by the California Department of Justice and shall not knowingly furnish such records or

information to a person who is not authorized to receive the record or information. In conducting

a background investigation, the Commission or its agent shall keep confidential the identity of

each person interviewed in the course of the investigation.

Section 3. Eligibility Determination

The Commission shall review an applicants prior activities, criminal record, if any, and

reputation, habits and associations and shall conduct interviews with former employers,

associates andlor other persons familiar with the applicant sufficient to permit it to make a

finding concerning an applicants eligibility for a license. A license may not be issued unless the

Commission is satisfied the applicant is a person of good character, honesty and integrity. The

Commission shall not license a person if the Commission determines that the licensing of the

person: poses a threat to the public interest or to the effective regulation of gaming; creates or

enhances dangers of unsuitable, unfair, or illegal practices and methods and activities in the

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

or will undermine public trust that tribal gaming is free from criminal and dishonest elements and

would be conducted honestly.

Section 4. Periodic Review

The Commission shall review and, if appropriate, renew each license it issues at least

every two (2) years after issuance.

Section 5. Reporting

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Gaming Ordinance of the Table Bluff Reservation -

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To the extent required by IGRA and the Compact, the Commission shall promptly

forward applications, background investigation reports and related information to the NIGC and

the State Gaming Agency and notify the NIGC and the State Gaming Agency of its decisions to

deny, issue, suspend or revoke licenses.

Section 6. Additional Rerniirements

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

providing for such additional licensing and background investigation requirements and

procedures as it deems appropriate, provided that such additional requirements are at least as

stringent as those contained in IGRA (i.e., 25 U.S.C. § 2710(b)(2)(F) and 25 C.F.R. Parts 556

and 558) and the Compact.

ARTICLE IX: LICENSING AND BACKGROUND INVESTIGATION PROCEDURES

Section 1. Powers and Responsibilities

The Commission has the following powers and responsibilities:

(a) To conduct or cause to be conducted background investigations;

(b) To receive, directly or through its agents, state summaiy criminal history information, as

defined in Subsection 11105(a) of the California Penal Code, as maintained under a

license applicants name by the California Department of Justice, and to take such

measures as are reasonably necessary to prevent the release of such records or

information to persons who are not authorized by law to receive the record or

information;

(c) To prepare or cause to be prepared an investigative report in compliance with the Gaming

Ordinance;

(d) To review and approve the investigative work done;

(e) To obtain and process fingerprints, directly or through its agents;

(f) To forward license applications and the results of the background investigations to the

National Indian Gaming Commission (NIGC) and the State Gaming Agency, to the

extent required by IGRA and the Compact;

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Gaming Ordinance of the Table Bluff Reservation -

Wiyot Tribe
(g) To make eligibility determinations in accordance with Section LX of this Regulation;

(h) To issue, deny, suspend, revoke and renew licenses in accordance with the provisions of

this Regulation; and

(i) To maintain records on persons who have been issued or denied a license, as well as

persons otherwise prohibited from engaging in gaming activities within the Tribes

jurisdiction, for a period of three (3) years from the date on which the license expired or

was revoked or denied.

Section 2. Scope of R~ickgrnund !nvestig~tions

The Commission shall conduct or cause to be conducted all necessary background

investigations reasonably required to determine that an applicant is eligible for a license in

accordance with the standard set forth in Section IX of this Regulation. The minimum

procedures for conducting background investigations on applicants for licenses are as follows:

(a) Criminal history check, including a check of records maintained by the Federal Bureau of

Investigations and the California Department of Justice;

(b) Civil history check;

(c) Financial and credit check;

(d) Reference check;

(e) Previous business and employment check;

(1) Relative check;

(g) Business and personal associates check;

(h) Fingerprint check; and

(i) Educational verification.

The above information submitted by the applicant may be verified by written or oral

communication. The disposition of all potential problem areas noted and disqualifying

information obtained shall be documented by the Commission.

Section 3. Cooperation

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Gaming Ordinance of the Table Bluff Reservation -

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The Commission shall cooperate with the State Gaming Agency in sharing as much

background information as possible, in order to maximize investigative efficiency and

thoroughness and to minimize investigative costs.

Section 4. Fingerprinting

The Commission shall be deemed to be the Tribes law enforcement agency for the

purpose of taking fingerprints and conducting criminal history checks under this Regulation. The

Commission may elect to process fingerprint cards directly on behalf of the Tribe or to process

fingerprint cards through the State Gaming Agency or the NJGC and may execute such

documents as may be necessary to enter into such an arrangement. Fingerprint cards shall be

submitted to the Federal Bureau of Investigations and the California Department of Justice in

order to obtain criminal history record information.

Section 5. Confidentiality

The identity of third parties interviewed during the course of background investigations

shall be kept confidential.

Section 6. Eligibility Determin~ifions

The Commission shall review an applicants prior activities, criminal record, if any, and

reputation, habits and associations and shall conduct interviews with former employers,

associates and/or other persons familiar with the applicant sufficient to permit it to make a

finding concerning an applicants eligibility for a license. A license may not be issued unless the

Commission is satisfied the applicant is a person of good character, honesty and integrity. The

Commission shall not license a person if the Commission determines that the licensing of the

person: poses a threat to the public interest or to the effective regulation of gaming; creates or

enhances dangers of unsuitable, unfair, or illegal practices and methods and activities in the

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

or will undermine public trust that tribal gaming is free from criminal and dishonest elements and

would be conducted honestly.

In making findings concerning the eligibility of license applicants, the Commission shall

take into consideration any of the following circumstances:

(a) If the applicant knowingly and intentionally provided false statements or information or

omitted relevant information on the application, or otherwise misrepresented or failed to

disclose a material fact to the Commission;

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Gaining Ordinance of the Table Bluff Reservation -

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(b) If the prior activities, criminal record, reputation, habits and associations of the person

indicate that the person may be a threat to the public interest or to the effective regulation

and control of gaming;

(c) If association with or employment of this applicant creates or enhances the dangers of

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

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

(d) If the applicant has violated, failed, or refused to comply with the provisions,

requirements, conditions, limitations, or duties imposed by any provision of the Compact

or Gaming Ordinance, or possesses knowledge that such violation has occurred upon any

premises occupied or operated by any such person or over which he or she has/had

substantial control;

(e) If the applicant knowingly caused, aided, abetted, or conspired with another to cause any

person or entity to violate any of the laws of any jurisdiction, the provisions of the

Compact or the Gaming Ordinance;

(f) If the applicant has ever obtained a license by fraud, misrepresentation, concealment, or

through inadvertence or mistake;

(g) If the applicant has ever been convicted of, or forfeited bond upon a charge of, or plead

guilty to forgery, larceny, extortion, conspiracy to defraud, willful failure to make

required payment or reports to any Tribal, State, or U.S. Govermnent agency at any level,

or filed false reports therewith, or of any similar offense(s), or of bribing or otherwise

unlawfully influencing a public official or employee of a Tribe, a State, or the U.S.

Government, or of any felony or misdemeanor involving any gaming activity, physical

harm to individuals or moral turpitude;

(h) If the applicant is subject to current prosecution or pending charges, or a conviction under

appeal for any of the offenses listed above. Upon request of the applicant, the

Commission may defer decision on the application pending the results of such

prosecution or appeal;

(i) If the applicant has demonstrated a willful disregard for compliance with a gaming

regulatory authority in any jurisdiction or has ever had a gaming license issued by any

State, Tribe or foreign gaming regulatory agency suspended, revoked or denied; or

~) If the applicant has failed to provide any information requested by the Commission within

fourteen (14) days of the request for the information.

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Gaming Ordinance of the Table Bluff Reservation -WiyotTnbc
Section 7. Privacy Notice

(a) The following notice, or substantially similar wording contained in such standardized

application forms as may be adopted by California Tribes and the State of California

pursuant to the Compact, shall be placed on the license application form before that form

is filled out by an applicant:

in compliance with the Privacy Act of1974, the following information is

provided. Solicitation ofthe information on this form is authorized by 25 US.C. §

2701 et seq. The purpose ofthe requested information is to determine the

eligibility ofindividuals to be employed in or do business with a gaming

operation. The information will be used by the Gaming Commission, the State

Gaming Agency, and the National indian Gaming Commission members and staff

who have needfor the information in the performance oftheir 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, the State Gaming Agency, or the National Indian Gaming Commission

in connection with the hiring orfiring ofan employee, the issuance or revocation

ofa gaming license, or investigations ofactivities while associated with a tribe or

a gaming operation. Failure to consent to the disclosures indicated in this notice

will result in a tribes being unable to hire you or do business with you. The

disclosure ofyour Social Security Number (SSN) is voluntary. However, failure to

supply a SSN may result in errors in processing your application.

(b) Existing licensees shall be notified in writing that they shall either:

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

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

uses described in that notice.

Section 8. Notice Regarding False Statements

(a) The following notice, or such substantially similar wording contained in standardized

application forms as may be adopted by California Tribes and the State of California

pursuant to the Compact, shall be placed on the application form before that form is filled

out by an applicant.

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Gaming Ordinance of the Table Bluff Reservation -Wiyot Tribe
A false statement on any part ofyour application may be grounds for

denial or revocation ofa license. Also, you may be punished byfine or

imprisonment.

(US. Code, title 18, section 1001.)

(b) The Commission shall notify in writing existing licensees that they shall either:

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

statements; or

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

Section 9. Required Information - General

The Commission shall request from each applicant all of the following information:

(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 five (5) years: business and employment positions held,

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

license numbers;

(c) The names and current addresses of at least three (3) personal references, including one

(I) personal reference who was acquainted with the applicant during each period of

residence listed under paragraph (1 )(b) of this Section;

(d) Current business and residence telephone numbers;

(e) A description of any existing and previous business relationships with Indian tribes,

including ownership interests in those businesses;

(f) A description of any existing and previous business relationships with the gaming

industry generally, including ownership interests in those businesses;

(g) 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;

(h) For each felony for which there is an ongoing prosecution or a conviction, the charge, the

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

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Gaming Ordinance of the Table Bluff Reservation -Wiyot Tribe
(i) For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding minor

traffic violations), within ten (10) years of the date of the application, the name and

address of the court involved and the date and disposition;

(j) For each criminal charge (excluding minor traffic charges), whether or not there is a

conviction, if such criminal charge is within ten (10) years of the date of the application

and is not otherwise listed pursuant to paragraph (h) or (i) of this Section, the criminal

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

(k) 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;

(1) A current photograph;

(m) Any other information the Commission deems relevant; and

(n) Fingerprints consistent with procedures adopted by the Commission according to 25

C.F.R. § 522.2(h).

Section 10. Required Information - Rusiness Entities

In addition to the information required under this Ordinance, the Commission shall

request from an applicant that is a business entity all of the following information, provided that

two (2) or more business entities having a commonality of the characteristics identified in the

following subparagraphs (a) -

(d), inclusive, may be deemed to be a single business entity:

(a) Each of its officers and directors;

(b) Each of its principal management employees, including any chief executive officer, chief

financial officer, chief operating officer, and general manager;

(c) Each of its owners or partners, if an unincorporated business;

(d) Each of its shareholders who owns more than ten percent (10%) of the shares of the

corporation, if a corporation;

(e) Each person or entity (other than a financial institution that the Commission has

determined does not require a license under Subsection 6.4.6 of the Compact) that, alone

or in combination with others, has provided financing to the business entity in connection

with any gaming authorized under the Compact, if that person or entity provided more

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Gaining Ordinance of the Table Bluff Reservation -

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than ten percent (10%) of:

(1) the start-up capital;

(2) the operating capital over a 12-month period; or

(3) a combination thereof.

Section 11. Reporting to NIGC

(a) When a key employee or primary management official begins work at a gaming operation

authorized by this ordinance, the Commission shall forward to the NIGC a completed

application for employment and conduct the background investigation and make the

determination referred to in this Ordinance. The Commission shall prepare and forward

to the NIGC, within sixty (60) days after a key employee or primaiy management official

begins work or within sixty (60) days of the approval of this Ordinance by the Chairman

of the NIGC, an investigative report on each background investigation and a copy of the

eligibility determination made under this Ordinance. The background investigation report

shall include all of the following:

(1) Steps taken in conducting a background investigation;

(2) Results obtained;

(3) Conclusions reached; and

(4) The bases for those conclusions.

(b) With respect to key employees and primary management officials, if a license is not

issued to an applicant, the Commission shall notify the NIGC and may forward copies of

its eligibility determination and investigative report (if any) to the NIGC for inclusion in

the Indian Gaming Individuals Records System.

(c) With respect to key employees and primary management officials, the Commission shall

retain applications for employment and reports (if any) of background investigations for

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

years from the date of termination of employment.

Section 12. Reporting to State Gaming Agency

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Gamrng Ordinance of the Table Bluff Reservation -

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(a) Except for an applicant for licensing as a non-key gaming employee, as defined by

agreement between the Commission and the State Gaming Agency, the Commission shall

require the applicant to also file an application with the State Gaming Agency, prior to

issuance of a license, for a determination of suitability for licensure under the California

Gambling Control Act.

(b) Upon receipt of a completed license application and a determination by the Commission

that it intends to issue a license, the Commission shall transmit to the State Gaming

Agency a notice of intent to license the applicant, together with all of the following:

(I) A copy of the license application materials and information received by the

Commission from the applicant;

(2) An original set of fingerprint cards;

(3) A current photograph; and

(4) Except to the extent waived by the State Gaming Agency, such releases of

information, waivers, and other completed and executed forms as have been

obtained by the Commission.

(c) Upon receiving notice of the State Gaming Agencys denial of an application for a

determination of suitability, the Commission shall promptly notify the Tribal Council

and, if the Commission objects to the denial, request an opportunity for the Tribe to be

heard and diligently exercise its right to a hearing.

(d) With respect to non-key gaming employees, as defined by agreement between the

Commission and the State Gaming Agency, the Commission shall provide the State

Gaming Agency with the name, badge identification number, and job descriptions of all

such employees on a monthly basis, within seven (7) days of the end of each month.

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

a gaming facility which includes only Class II gaming and not Class III gaming, its

reporting and other obligations pursuant to this Ordinance shall be limited to those

required under applicable federal law. in such case, the Commissions ability to issue a

license shall not be dependent on receiving a determination of suitability from the State

Gaming Agency unless otherwise required by applicable federal law.

Section 13. Granting a Gaming License

(a) Key Employees and Primary Management Officials. If, within a 30-day period after the

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Gaming Ordinance of the Table Bluff Reservation -Wiyot Tribe
NIGC receives a report, the NJGC notifies the Commission that it has no objection to the

issuance of a license pursuant to a license application filed by a key employee or a

primary management official for whom the Commission has provided an application and

investigative report to the NIGC, the Commission may issue a license to such applicant.

The Commission shall respond to a request for additional information from the Chairman

of the NIGC concerning a key employee or a primary management official who is the

subject of a report. Such a request shall suspend the 30-day period until the Chairman of

the NIGC receives the additional information. If, within the 30-day period described

above, the NIGC provides the Commission with a statement itemizing objections to the

issuance of a license to a key employee or to a primary management official for whom the

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

Commission shall reconsider the application, taking into account the objections itemized

by the NIGC. The Commission shall make the final decision whether to issue a license to

such applicant.

(b) All Employees, Including Primary Management Officials. If an applicant has completed

a license application to the satisfaction of the Commission, and the Commission has

conducted a preliminary background investigation, the Commission may issue a

temporary license and impose such conditions thereon as it deems appropriate pending

completion of the licensing process, provided that the Commission has no information

suggesting the applicant would either be automatically disqualified from obtaining a

license or that would cause a reasonable person to investigate further before issuing a

license. The Commission may issue a regular license to a person who meets the

eligibility standards set out in this Ordinance after receiving a determination of the

applicants suitability from the State Gaming Agency. In the event the State Gaming

Agency denies an applicant a determination of suitability or refuses to renew a

determination of suitability, the Commission shall revoke any temporary license issued to

the applicant and deny the applicant a license, except that the Commission shall have

discretion to renew a license if the person is an enrolled member of the Tribe or has been

continuously employed by the Tribe for at least three (3) years prior to the effective date

of the Compact and also meets the following criteria:

(I) The person holds a valid and current license issued by the Commission;

(2) The person is not an employee or agent of any other gaming operation; and

(3) The State Gaming Agencys denial of the persons application for a determination of

suitability is based solely on activities, conduct or associations that antedate the filing of

the persons initial application to the State Gaming Agency for a determination of

suitability.

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Gaming Ordinance of the Table Bluff Reservation -

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(c) The Commission shall be responsible for issuing licenses and for delivering them, by

certified mail, return receipt requested, or in person, to applicants once they are issued.

Section 14. Limitfition

The gaming operation shall not employ or continue to do business with a person who

does not have a license that is not a temporary license after ninety (90) days.

Section 15. Identification Cards

All persons who are required to be licensed pursuant to the Gaming Ordinance shall be

required to wear, in plain view at all times while in a gaming facility licensed by the

Commission, identification badges issued by the Commission. The identification badges must

display the persons photograph, identification number, name, and expiration date of his or her

license.

Section 16. Gaming Facilily

(a) The Commission shall issue a separate license to each place, facility or location on Indian

lands where class II or class III gaming is conducted under this Ordinance. The license

shall be posted in a conspicuous and public place in the gaming facility at all times.

(b) The Commission shall determine and, if appropriate, certify that each gaming facility, or

the modification or expansion of a gaming facility, meets the Tribes building and safety

code and the Americans with Disabilities Act, 42 U.S.C. § 12101 ci seq. based an

inspection by qualified building and safety experts.

(c) The Commission shall give reasonable notice of each inspection to the States designated

agent or agents, who may accompany any such inspection. The Commission and the

States designated agent or agents shall exchange any inspection reports within ten (10)

days after completion of the report and simultaneously forward copies of such reports to

Tribes Chairperson.

(d) The Tribe is responsible for ensuring that any gaming facility condition noted in an

inspection that does not meet the standards set out in paragraph (b) of this Section is

corrected.

(e) If the States designated agent or agents object to a certification by the Tribes building

and safety code experts that a gaming facility meets the standards set out in paragraph B

of this Section, the Tribe shall make good faith efforts to address the States concerns, but

if the State does not withdraw its objection the matter will be resolved in accordance with

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the dispute resolution provisions of Section 9 of the Compact.

(f) The requirements of subsections (c) and (e) of this Section shall not apply to any facility

which includes only Class H gaming activities and not Class III gaming activities, unless

otherwise required by applicable federal law.

Section 17. Gaming Resource Suppliers

Any gaming resource supplier who, directly or indirectly, provides, has provided, or is

deemed likely to provide at least twenty-five thousand dollars ($25,000.00) in gaming resources

in any 12-month period, or who has received at least twenty-five thousand dollars ($25,000.00)

in any consecutive 12-month period within the 24-month period immediately preceding

application, shall be licensed by the Commission prior to the sale, lease, or distribution, or

further sale, lease, or distribution, of any such gaming resources to or in connection with the

Tribes gaming facilities. The Tribe shall not enter into, or continue to make payments pursuant

to, any contract or agreement for the provision of gaming resources with any person whose

application to the State Gaming Agency for a determination of suitability has been denied or has

expired without renewal. Any agreement between the Tribe and a gaming resource supplier shall

be deemed to include a provision for its termination without further liability on the part of the

Tribe, except for the bona fide repayment of all outstanding sums (exclusive of interest) owed as

of, or payment for services or materials received up to, the date of termination, upon revocation

or non-renewal of the suppliers license by the Commission based on a determination of

unsuitability by the State Gaming Agency.

Section 18. Financial Sources

Any person extending financing, directly or indirectly, to the Tribes gaming facilities or

gaming operations shall be licensed by the Commission prior to extending that financing,

provided that any person who is extending financing at the time of the execution of the Compact

shall be licensed by the Commission within ninety (90) days of such execution. Any agreement

between the Tribe and a financial source shall be deemed to include a provision for its

termination without further liability on the part of the Tribe, except for the bona fide repayment

of all outstanding sums (exclusive of interest) owed as of the date of termination, upon

revocation or non-renewal of the financial sources license by the Commission based on a

determination of unsuitability by the State Gaming Agency. The Tribe shall not enter into, or

continue to make payments pursuant to, any contract or agreement for the provision of financing

with any person whose application to the State Gaming Agency for a determination of suitability

has been denied or has expired without renewal. A gaming resource supplier who provides

financing exclusively in connection with the sale or lease of gaming resources obtained from that

supplier may be licensed solely in accordance with licensing procedures applicable, if at all, to

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gaming resource suppliers. The Commission may, at its discretion, exclude from the licensing

requirements of this section, financing provided by a federally regulated or state-regulated bank,

savings and loan, or other federally- or state-regulated lending institution; or any agency of the

federal, state, or local government; or any investor who, alone or in conjunction with others,

holds less than 10% of any outstanding indebtedness evidenced by bonds issued by the Tribe.

Section 19. Denial, Revocation and Suspension of License

The Commission shall suspend, revoke or deny a license upon the occurrence of any of

the following:

(a) Notification by the NIGC, or by any other reliable source, that the licensee is not eligible

for a license under this Ordinance;

(b) Notification by the State Gaming Agency that it intends to deny an application for a

determination of suitability or a renewal of determination of suitability;

(c) The Commission has probable cause to believe that the licensee has, by act or omission,

violated provisions of the Compact, the Gaming Ordinance, the Tribes Gaming

Regulations, any condition of a Conditional Gaming License, or any other Federal, State

or Tribal laws or regulations;

(d) The Commission has reason to believe that the continued licensing of a person constitutes

an immediate threat to the public health, safety or welfare;

(e) The Commission has reason to believe that the licensee is involved in any theft,

misappropriation, misuse or abuse of Tribal assets;

(f) The licensee engages in any conduct that brings discredit or embarrassment to the Tribes

gaming operations or the Tribe, or interferes with the normal operation of the Tribes

gaming facilities;

(g) The licensee fails to disclose any required information on any State or Tribal gaming

license application;

(h) The licensee fails to respond to a request from the Commission within fourteen (14) days

of the date of the initial request; or

(i) The licensees employment with the Tribes gaming operations is terminated, voluntarily

or involuntarily.

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Section 20. Notification of Receipt of Information by NIGC

If the Commission receives notification from the NIGC that the NIGC has received

reliable information indicating that a key employee or a primary management official is not

eligible for employment under applicable federal regulations, the Commission shall suspend such

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

shall notify the licensee of a time and a place for a hearing on the proposed revocation of the

persons license. After such revocation hearing, the Commission shall decide to revoke or to

reinstate a gaming license. The Commission shall notify the NIGC of its decision.

Section 21. Due Process

The denial, suspension or revocation of a license pursuant to Section XXII of this

Regulation shall require:

(a) Written, certified, return receipt requested or personally hand-delivered notification of the

denial, suspension or pending revocation be given to the licensee ten (10) days in advance

of the proposed action;

(b) Such written notification shall include information concerning the licensees right to a

hearing, shall specify the date, time and place for the hearing, and shall also advise the

licensee that failure to appear for a scheduled hearing shall forfeit any further right to

appeal;

(c) The Commission shall make a ruling within three (3) days, and the licensee shall be

notified in writing, within three (3) days of the ruling, of the ruling and the licensees

right to file a petition with the Commission for a rehearing within fifteen (15) days of the

receipt of the written notification;

(d) If the licensee files a petition for a rehearing within fifteen (15) days of receipt of the

written notification described in the preceding paragraph, the Commission shall review

any additional information submitted by the licensee with the petition and notify the

licensee in writing of its decision, which shall be a final decision.

(e) Notwithstanding subparagraph A above, the Commission may suspend or revoke a

license without advance notice if, in the opinion of the Commission, the continued

licensing of the person:

(1) falsified a license application;

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Gaming Ordinance of the Table Bluff Reservation -Wiyot Tribe
(2) poses an immediate threat to the integrity of the Tribes gaming operations;

(3) poses a threat to public health or safety; or

(4) may violate the Commissions licensing or other standards.

Section 22. Duration and Renewal

All regular licenses shall be effective for two (2) years from the date of issue. Renewal

applications must be received by the Commission at least thirty (30) days prior to the expiration

of the license. Upon receiving a renewal application, the Commission shall inform the applicant

of his or her obligation to apply to the State Gaming Agency for renewal of his or her

determination of suitability. Any licensee applying for renewal may continue to be employed or

engaged under the expired license until the Commission takes action on the renewal application.

Applicants for renewal shall provide updated material as requested by the Commission but shall

not be required to resubmit information already available to the Commission. Additional

background investigations may be performed at the discretion of the Commission. Updated

criminal history checks are required.

Prior to renewing a license, the Commission shall forward to the State Gaming Agency

copies of the renewal application and related documents. With respect to gaming facilities, the

Commission shall provide verification to the State Gaming Agency that the it has reviewed and,

if appropriate, renewed a gaming facilitys license.

Section 23. Fees

The Gaming Committee shall establish a fee schedule for licenses. Application fees shall

be nonrefundable, regardless of whether or not a license is issued. Such fees shall be made

payable to the Table Bluff Reservation -Wiyot Tribe.

ARTICLE X: ENFORCEMENT

The Tribal Council shall promulgate regulations authorizing the Commission or other

agent of the Tribe to investigate reported violations of this Ordinance, other tribal gaming

ordinances or regulations, IGRA or the Compact and to impose fines or other sanctions within

the Tribes jurisdiction against persons who interfere with the Tribes obligations under this

Ordinance, other tribal gaming ordinances or regulations, IGRA or the Compact.

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Gaming Ordinance of the Table Bluff Reservation -

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ARTICLE XI: RESOLUTION OF PATRON DISPUTES

Patrons of the Tribes class II and class III gaming facilities who have complaints against

the gaming establishment, including disputes with any management contractor or its employees,

shall have as their sole remedy the right to file a petition for relief with the Commission.

Complaints shall be submitted in writing no later than thirty (30) days after the occurrence of the

incident on which the complaint is based. At the discretion of the Commission, the petitioner

may be allowed to present evidence. The Commission will render a decision in a timely fashion

and all such decisions will be final when issued. Each claim by a patron shall be limited to a

maximum recovery often thousand dollars ($10,000.00), and a cumulative limit often thousand

dollars ($10,000.00) per patron in any 12-month period.

ARTICLE XII: SERVICE OF PROCESS

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

determination, order, or notice of violation.

ARTICLE XIII: REPEAL

All prior gaming ordinances are hereby repealed.

ARTICLE XIV: SEVERABILITY

If any provision of this Ordinance shall in the future be declared invalid by a court of

competent jurisdiction, the invalid provision or provisions shall be severed and the remaining

provisions shall continue in full force and effect.

ARTICLE XV: AMENDMENT OF ORDINANCE

This Ordinance may be amended or repealed upon approval by the Tribal Council.

ARTICLE XVI: EFFECTIVE DATE

This Ordinance shall be submitted to the Chairman of the NIGC for approval pursuant to

IGRA and 25 CFR part 522, and shall become effective immediately upon its approval by the

Chairman of the NIGC or ninety (90) days after the date of its submission to the Chairman of the

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Gaming Ordinance of the Table 8luff Reservation -Wiyot Tribe
NIGC if he or she fails to approve or disapprove this Ordinance within those ninety (90) days.

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Gaming Ordinance of the Table Bluff Reservation -

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CERTIFICATION

We, the undersigned, do hereby certify that this Ordinance was reviewed and adopted at a

General Council meeting held on November 8, 2003, by a vote of 24 in favor, 0 opposed and 0

abstaining, that this Ordinance was amended by approval of the Tribal Council at a regular

meeting held on April 12, 2004, by a vote of 5 in favor, 0 opposed and 0 abstaining, that this

Ordinance was amended by approval of the Tribal Council at a regular meeting held on May 10,

2004, by a vote of ~ in favor, p opposed and p abstaining, and that this Ordinance has

not been further amended or rescinded in any way.

f//~//~/4t

Cheryl A(~eidner ~

Tribal Chairwoman

an son

Tribal Secretary (//

/

Date

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Gaming Ordinance of the Table Bluff Reservation -

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