AUG 1 9 1999 

Honorable Paul DelRosa 

Chairman, Alturas Rancheria 

P.O. Box 340 

Alturas, California 96101 

Dear Chairman DelRosa: 

This letter responds to your request to review and approve the tribal gaming ordinance, 

Resolution No. 99-009, adopted on August 13, 1999, by the Alturas Rancheria (Rancheria). 

This letter constitutes such approval under the Indian Gaming Regulatory Act (IGRA). 

Such approval does not constitute approval of specific games. We note, however, that there 

is a typographical error in Subsection 3.05. It should read as "Class 2" or "Class 11", not 

"Class 11 ." It is important to note that the gaming ordinance is approved for gaming only 

on Indian lands as defined in the IGRA. 

With the Chairman's approval of the Rancheria's gaming ordinance, the Rancheria is now 

required to conduct background investigations on its key employees and primary management 

officials. The National Indian Gaming Commission (NIGC) expects to receive a completed 

application for each key employee and primary management official pursuant to 25 C.F.R. 

§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. §556.5(b). 

In addition, under 25 C.F.R. 9542.3, the Alturas Tribal Gaming Commission must promulgate 

tribal Minimum Internal Control Standards (MICS) that are at least as stringent as the NIGC 

MICS found at 25 C.F.R. Part 542. Also, the gaming operation must establish and implement 

an internal control system that is consistent with the tribal MICS prior to commencement 

of operations. 

Thank you for submitting the ordinance of the Alturas Rancheria for review and approval. 

The NIGC staff and I look forward to working with you and the Rancheria in 

implementing the IGRA . 

Sincerely yours, 

Montie R. Deer 

Chairman 

1441 L STREET. N.W. 9M FLOOR WASHINGTON, D.C. 20005 TEL.: 202-632-7003 FAX: 202-632-7066 
r 

ALTURAS RANCHERIA 

PO. Box 340 

Alturas, CA 96 10 1 

ALTURAS RANCHERIA 

RESOLUTION 

99-009 

Date approved: August 13th 1999 

SUBJECT: To adopt the Alturas Rancheria Tribal Gaming Code as Amended. 

WHEREAS: The Alturas Rancheria is a Federally Recognized lndian Tribe, and 

WHEREAS: The Alturas Rancheria is eligible for all rights and privileges afforded to 

Federally Recognized lndian Tribes, and 

WHEREAS: The Business Committee of the Alturas Rancheria is empowered by the 

General Council to Amend The Tribal Gaming Code, and 

WHEREAS: Subchapter 200 section 10 should be amended to read as follows: 

No License shall be granted to any person or entity who has been determined to be a 

person or entity whose prior activities, criminal record, if any, and associations pose a 

threat to the public interest or to the effective regulation and control of gaming, or create 

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

in the conduct of gaming or the carrying on of the business and financial arrangements 

incidental thereto. The background investigation shall be at least as stringent as the 

regulations of the National lndian Gaming Commission published as 25 CFR sections 

556 and 558 in the Federal Register, volume 58, no. 13, on Friday, January 22, 1993, 

and any amendment to those regulations. 

NOW THEREFORE BE IT RESOLVED: That the Business Committee hereby adopts 

the Alturas Rancheria Tribal Gaming Code as amended, a true and correct copy of 

which is attached, and 
FURTHER BE IT RESOLVED: That this Resolution shall supersede in all respects 

Resolution # 99-007 which was adopted on June 26, 1999 

CERTIFICATION 

This is to certify that he above resolution was approved at a special meeting of the 

Business Committee of the Alturas Rancheria on August 13th, 1999 at which a quorum 

was present, and this Resolution was adopted by a vote of ,2 in favor, 6 opposed, 

and abstaining. 

Dated this day of August 13th, 1999. 

Paul Del ROS~ Chairman 
ALTURAS RANCHE 

Alturas, CA 96 10 1 

ALTURAS RANCHERIA 

TRIBAL GAMING CODE 

CHAPTER - 

SUBCHAPTER 010 

GENERAL INFORMATION 

Section 1. Purpose. The Tribal Council, empowered by the Alturas Rancheria's Constitution to 

enact ordinances, hereby enacts this ordinance in order to set the terms for Class 1, Class 11 and Class 

11 1 gaming operations on Tribal Lands. 

Section 2. Background and intent. (Reserved) 

Section 3. Definitions 

Subsection 3.01 Shared meaning with IGRA. Unless a different code meaning is clearly 

indicated. the terms used in this Code shall have the same meaning as defined in the "lndian Gaming 

Regulatory Act," Public Law 100 $497. 102 Stat. 2467 (Oct. 17 1988). 

Subsection 3.02 "Calendar Year" means the period beginning January 1 at 12:00:01 and 

ending the immediately following December 31 at 12:OO o' clock midnight. 

Subsection 3.03 "Chainnan" means the Chairperson of the Alturas Tribal Gaming Commission 

appointed by the Council as the Chief Administrator of Alturas Gaming. 

Subsection 3.04 "Class 1 Gaming" means social games played solely for prizes of minimal 

value or traditional forma of lndian gaming engaged in by individuals as a part of, or in connection with, 

Tribal Ceremonies or Celebration. 

Subsection 3.05 "Class 11 Gaming" means 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. 

(ii) in which the holder of the card covers such numbers or designations when objects, similarly 

numbered or designated, are drawn or electronically determined, and 

Alturas Tribal Gaming Code page 1 
(iii) in which tlie gatne is won by the first person covering a previously designated 

arrangement of tiutnbcrs or designations on sucl~ cards, includitig (if playcd in the same location) 

pull tabs, lono, punch boards, tip jars, instant bingo, and otlicr gariies similar to bingo, and 

(b) card games that are 

(i) explicitly authorized by laws ofthe State of California. or 

(ii) are not cxplicitly prohibited by the laws of Altiiras Itidian Rancheria and the 

Statc of atid are played at any location in tlie Statc of California, hut only if SLI~II card 

games arc playcd in cotifonnity with thosc laws and regulatiotis (if any) of the State of California 

regarding hours or periods of operation of such card games or limitations oti wagers or pot sizes in 

such card games. 

(c) 'I'hc tenn "class I1 gaming" does not include 

(i) any banking cards games, including baccarat, chemin de fer, or blackjack (2 1 ), or 

(ii) electronic or electrotnechanical facsimiles of atiy gatne of' chance or slot 

niacliities of any kind. 

Subsection 3.06 "Class 111 gaming" means all fonns of gaming that arc not Class I 

gaming or Class I1 gaming. 

Subsection 3.07 "Conunission" nicans the '4lturas Tribal Gaming Cotnmission. 

Subsection 3.08 "Commissioner" means one of the members of the Alturas Tribal 

Gaming Commission. 

Subsection 3.09 "Council" means the Alturas Tribal Council. At the time of the enactment 

of this Gaming Code, the powers and authority ofthe Tribal Council regarding gaming matters have 

been delegated to the I3~1siness Cornlittee. Unless and until such delegation has bcen revoked, the 

actions of the Busincss Committee shall be deemed to be the actions of tlie Tribal Council per tlie 

provisions of this Gaming Code. 

Subsection 3.10 "Giuning or Gaming Activity" meatis to dcal, operatc, carry on, conduct, 

mainlain or expose for play any gatne playcd with cards, dice, ecluipnient or any mechanical. 

electromechanical or electronic device or machine for money, property, checks, credit or any 

representative of value, including, without limiting the geticrality of the foregoing, roulettc. keno, 

bingo, twenty-one, blackjack, craps, poker, chuck-a-luck, wheel of fortune, baccarat, pai gow, beat 

thz banker, video lottery dzvice, video poker machine, pull tabs, bingo, any banking or percentage 

game or at~y other game or device approved by the Conimission, but does not include games played 

with cards in private homes or residences in which no person makes or charges lnoncy for operating 

the game, cxcept as a player. 

Alturas Tribal Gaming Code 

Page 2 
Subsection 3.11 ''Gaming 1)cvicc" nieans any equipment or nieclianical, 

electronieclianical or electronic contrivance, coniponcnt or machinz. including video lottery 

tcnninals used retnotely or directly in connection witli gaming or any ganic which affects the rcs~tlt 

of a wagzr by detennining win or loss. The tern1 includes a systetn for processing information which 

can alter the nonnal criteria of random selection, which aflects the operation of any game or wliich 

determines the outcome of a game. 

Suhscction 3.12 "Canling Establishment or Gaming Prcmiscs" tiieans any prctiiiscs 

where gaming, other than Class I gamitlg" is operated or conducted, and includes all buildings, 

improvements, equipment, and facilities used or n~aititained in connection witli such gaming, 

including hut not limited to thc storage and tnai~~tenatlce ofany gatning equiptnent, including all 

gaining devices. 

Subsection 3.13 "Cross Rcvenue" means the total monztary value that would be due to 

any operator of a gaming activity for any chance taken, for any table fces for card playing, or other 

fees charged for participation or admittance, as evidenced by requircd rzcords. 'I'he value shall be 

stated in U.S. currency, before any deductions or allowances for prizes, pay out ofwinnings, cost of 

operation, promotional espenses, taxes, labor espenses, equipment or lnaterials used, or anv other 

espenses. In the absetice of records, gross revenue shall be the niaxitnum that would be due to an 

opcrator from that particular activity if opcratcd at masiniiirn capacity. 

Suhscction 3.14 "Indian land" means 

(a) Any lands title to which is either held in trust by the United States for tlic benefit of 

the Alturas Indian Ilarlcheria, or held by the Alturas Indian Ranchcria subject to restriction by the 

1Jnited States against alienation and over wtiicli the Alturas Indian Rancheria eserciscs 

govertunental power; and 

(b) Any lands title to which is either held it1 trust by the IJnited States for the benefit of 

the individual Indian, or held by an individual Indian s~ibject to restriction by the United States 

against alienation and over which the Alturas Indian Rancheria exercises governmental power. 

Subsection 3.1 5 "Kcy Employee" means 

(a) a person who perfonns one or more of the following functions: 

(1) Bingo caller, or, 

(2) Counting room supervisor, or, 

(3) Chief of Security, or, 

(4) Custodial1 of ganiing supplies or cash, or 

(5) Floor managzr, or 

(6) Pit boss, or, 

(7) Dealer, or, 

(8) Croupier, or, 

(9) Approver of credit, or. 

(10) Custodian of gambling deviccs includitig persons with access to cash and 

accounting records within such devices; or 

Alturas Tribal Gaming Code 

Page 3 
(b) if not otherwise included, any other pcrson whose total cash cornpensation is in excess of 

$ 50,000 per ycar; or 

(c) if not otherwise included, the four most highly cotiipcnsated persons in the gatnitig 

operation; or 

(d) if not otlienvise included, any "key etnployee" as defined by the tribal-state Compact. 

Subsection 3.16 "1,iccnsce" nieans any pcrson who has been iss~~ed a valid and current 

license pursuant to the provisions of this Gaming Code. 

Subsection 3.17 "Net Revenue" rncans gross revenues of a gaining activity less anioutits 

paid out as, or paid for, prizes, winnings, and total gaming-related operating expenses, including 

reasonable salaries paid LO employees, but excluding ttlanagemcnt fees. Notliitig in this definition is 

intended to exclude revenue participation fees as a deduction fiom "gross revenuc" for purposes of 

determining "net revenuc" in connection Lvitli any issue with tlie State of California regarding 

interpretation or cnforcenicnt of the tribal-state compact. 

Subsection 3.18 "Management Contract" nieans any contract, subcontract, or collateral 

agrccrnent between thc Alturas Ranchcria and a contractor or bctwcen a contractor and 

subcontractor, if such contract or agreement provides for managznicnt of all or pad of a gaming 

operation. 

Subsection 3.19 "Managrn~cnt l~ce" means any nionies paid fro111 gaming revenue to any 

person (not an etnployee) or to ariy entity contracted and/or licensed to operate or manage a gaming 

establislunent. Such temi shall not include monies paid for operating espenses. 

Subsection 3.20 "Operating Expense" 

(a) Operating expense shall include all monies that arc rcasotiably attributed to 

maintaining and operating tlie ganiing activities, reasonable salaries paid to employees, and nongatning activities that are reasonably related to promoting business in thc gaming cstablislunent; 

(b) The Commission may detcnnirie that revenue participation fees with a third-party 

may he deemed an operating expense, even though such designation may vary from Generally 

Acccpted Accounting Principals (GM); 

(c) Unlcss specifically designated by the Conunission, the detennitiation of an 

"operating expense" shall be consistent with GAAl'. 

Subsection 3.21 "Patron" means ariy person or group of persons who participate as 

players in ganies as dzfined by this Codc, or who are pl~ysically prcsent on pretiiises wlicrcin or 

whereon such garnes are being played. 

Subsection 3.22 "Person" means ariy association, partncrsliip, corporation, firni, trust or 

other fonn of business association as wcll as a natural person. 

Nturas Tribal Gaming Code 

Page 4 
Subsection 3.23 "Primary ~Mimagement Oflicids" shall include: 

(a) all officials of the gaming activity who exercise authority over daily operation of'the 

gaming, including the authority to hire and fire etnployees, to supcnlisc cmployees or to establish 

operational policy for the gaming activity. Such officials shall include, but not be limited to, all 

owners, officers, shareholders with greater than a tcn percent (10 96) ownership interest, or partners 

of the management contractor, if any; or 

(b) any person who the authority: 

(1) to hire and fire crnployees; or 

(2) to sct up working policy for the gaming operation; or 

(3) tht: Chief Financial Oficer or other pzrson who has financial nianagctnznt 

rzsponsibility 

(c) any other pcrson designated as primary management officials in thc tribal-state Compact. 

Subscction 3.24 "Regulation" means the regulations of the Commission undcr this Code. 

Subscction 3.25 "Reservation" when not qualified, means the Nturas Indian Resewation, 

and any other lands dcsignatzd as reservation lands by the Secretary of the Ilepartment of Interior 

Subsection 3.26 "Services" mcans labor provided by one pcrson to or for another, where 

such labor is provided in pursuit of the purpose of gaming pursuant to this code, or facilitates the 

operation of the gaming enterprise in any manncr. 

Subsection 3.27 "Tribal Court" tneans the Tribal Court of the Nturas Indian Kanchcria. 

At the time of thc enactment of this Ordinance, the Tribal Court is not in place. Until such time as 

the Tribal Court is in place, the Commission shall provide a full opportunity to bc heard to any 

entity or person who would otherwise appeal a Commission decision to the Tribal Court. 

Commissiotl decisions after such reconsideration shall be final and non-appealable. Until such time 

as the Tribal Court is in place, the Tribal Council shall provide a fill opportunity to be heard to any 

entity or person who would otherwise appeal a Tribal Council decision to the Tribal Court. Tribal 

Council decisions aAer such reconsideration shall be final and non-appealable. 

Subsection 3.28 "Tribal-State Compact" or "Con~pact" means a written document, eitlicr 

negotiated and agreed to by the Alturas Raticheria and at1 oficial or agency of thz State of 

California, or prescribed by the Secretary pursuant to 25 U.S.C. 2710 (7) (B) (vii), governing the 

conduct of Class 111 gaming activities on Indian lands. 

Subsection 3.29 "Tribe" means the Alturas Indian Rancheria, a federally recognized 

Indian Tribe 

Subsection 3.30 "Wcekdays" means Monday through Friday except Federal or 'I'ribal 

holidays. 

Alturas Tribal Gaming Code 

Page 5 
Subsection 3.31 Words and Terms: 'Tense. nunibcr and gcndcr. In constn~cting the 

provisions of this Code, save whzti othcnvisc plainly dcclarcd or clearly apparent from thc contexl; 

(a) words in thz present tensc shall include the filture tense; 

(b) words in niasculine, f mitiinc atid ~izutcr genders sliall include all gcndzrs; 

(c) words in tlie singular shall include thc plural, and in tlie plural sliall includc the singular. 

[Reserved] 

SURCHAPTER 100 

ADMIh'lS'rR,2'TION AND EKFOKCXMEN'T 

100 Section 1 Unautllorized Gaming. Any Indian who cotnrnits any act of unauthorized gaming 

on this rcsenlation or on any Indian land sliall be guilty of a crime and shall bc prosccutcd in 'I'rihal 

Court. IJntil such time as a tribal court is in place, such Indian shall be referred to thc United States 

Attoniey for prosecution. Prosecution for such a crime in Tribal Court is not mcant to be esclusive; 

a finding of guilt or innocence sliall not deprive the federal government from criminal jurisdiction, 

arid shall not deprive the statc government from critninal jurisdiction, but only as provided for in a 

tribal-state Compact. I-iowever, it is hereby declared that Class I1 and a~~thorized Class I11 gaming, 

conducted on this reservation or on any Indian land, that fully complies with the provisions of this 

Codc shall not be subject to any criminal penalties. 

100 Section 2 Ownership - Revenues to Benefit 'Tribe. The Tribe shall have tlie sole 

proprietary interest in. and the sole responsibility for tlie conduct of tile gaming activity. Such 

provision does not, however, limit the Tribe's ability to enter into a ~nana~cnietit contract or a 

revenue participation agreement wherein net revenues are divided between the 'Tribe and other 

parties to the contract. A gaming establislunent sliall bc operated so as to produce thc masinium 

amount of net revcnues to the Tribe. Net revenues will go cntirrly to the Tribe and will bz used 

solcly for the following purposes: 

(a) to fund tribal governnient operations or 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 

Alturas Tribal Gaming Code 

Page 6 
(e) to help fund operations of local govcnmlent agencies. 

100 Section 3 Establishment of Commission. The Altilras Tribal Gaining Cornnlissioti is hereby 

reafinned as an existing subdivision of the Tribe. Any Conunissioner that is lawfully in ollice as of 

the date of approval of these amendments to this Code is deemed to bc a duly appointed 

Cornmissioner under this Codc. A Conunissioner may bc retnovzd lion1 ofict: only for cause by a 

majority vote of the Tribal Coilncil. The Conunission shall consist ol'three (3) members appointed 

by a majority vote of the Council. Vacancies shall be filled within 90 days by the Coimcil. 

Cotnniissioncrs must mect thz suitability standards for, and submit to the background check rzqi~ired 

of, primary nianagemcnt officials. 

100 Section 4 Restrictions on Comnussioncrs. Comnlissioners may engage in business which is 

not subject to the provisions of this Gaming Code. Commissioners shall not gamble in the gaming 

establishment and shall not have any personal financial interest in any gambling by any patron. 

100 Scction 5 Compensation of Commissioners. Conunissioners shall bz compensated at a rate 

to be establishzd by the Gaming Conunission and approved by the Tribal Council. Commissioners 

shall be reimbursed for actual expenses incurred on Commission business, including neccssary travel 

expenses. In no event shall compensation be based on a percentage of net profits from gaming 

operations of the Tribe. 

100 Scction 6 Selection of Chairperson. 'The Chainnan shall be appoititcd by the Tribal Couticil. 

and shall serve as one of the Cotnmissioners. 

100 Section 7 Mectings Open to Membership. Meetings of the Conunission shall be open to all 

tribal members and shall be governed by Roberts Rules of Order. However. the Comnlission may 

recess at any tirnc. upon majority vote to disci~ss any matter in executive session. Thc Conmmission 

tnust express in a motion calling for an executive session the general subject matter to be disci~ssed 

in executive session. The Commission shall not take any final or official action on the matter in 

executive session. 

100 Section 8 Quorum - Majority Vote. A quorum shall consist of three members of the 

Commission. All decisions shall be made by a majority vote unless indicated otherwise in this Code. 

100 Section 9 Monthly Report. The Commission shall make monthly reports to the Council 

within 30 days after the close of the month for which the infonnation is being required. l'he reports 

shall include a full and complctz statement of espcnses and all other financial transactions of tlie 

Commission and a summary of all licensing and enforcement actions. 'The 'Tribal Council may 

require the Commission to provide this infonnation in a specific format with specific detail. 

100 Scction 10 I'owers. The Cornmissioti may exercise any proper power and authority necessary 

to perform the duties assigned to it by this Code, and is not limited by enumeration of powers in this 

chapter. The Commission shall make recornniendations and set policy, and transact other business 

that may be properly brought before it. The Conunission shall promulgate n~lcs and regulations for 

tlie operation of any gaming establishtilent and shall hear and resolve all disputes regarding any 

Alturas Tribal Gaming Code 

page 7 
provision of this Code. In all decisions, the Conitnissioti sliall act to protliote and ensure integrity. 

sccurity, honesty, and fairness of tlic operation and adlnitiistratioti of gaming atid ancillary activities 

of the gaming enterprise. 'I'lie Commission shall Iiave the power and authority to deny any 

application, to revokc, limit, condition, suspend, or rcstrict any license; tnake a finding of suitability 

or approval of a license; or to imposc a fine upon any person licensed, for any causc dccnled 

reasonable by thc Commission. 

100 Section 11 Prior Notice of Actions. In adopting, atnznding, and repealing regulations, tlir 

Cotnniissioti shall give prior notice of tlie proposed action to all licetisees and other persons wlioni 

the Comtnission has reason to believe have legitimate atid bonn fide intcrzst in such proposed 

action. Said notice shall inform such persotis as to the general nature of the proposcd action and 

advise thcni as to the manner in which cornnients on said proposed action shall be reccived by the 

Cotnmission. In cmergcncies, the Comtnission may sutnnlarily adopt, amcnd or repeal any 

regy~latioti if at the time the Conunission determines such action is necessary for the immediate 

preservation of the public peace, hzalth, safety, morals, and good order or general welfare, together 

with a statement of facts constituting the emergency; provided, the Cotnniissioti sliall conduct a 

review of such eniergcncy action at a regular hearing witliin thirty (30) days aAer any emergency 

meeting. 

100 Section 12 Request for Commission Action. Atiy person who is determined by tlie 

Cotnmission to be a bona fide intcrested party tnay file a request in a manner and fomi approved by 

tlie Conunission requesting the adoption, amendment or repeal of a regulation. IJpon receipt of tlie 

request, the Cottunissioti shall witliin thirty (30) days deny the request in writing or schedule thc 

matter for action pursuant to this chapter. 

100 Section 13 Voting on Licensing. Any Cotnniission vote rcsultitig in approving, disapproving, 

revoking, suspending, limiting or conditioning a license under this Code shall be by ballot only; 

provided, that in an emergency a phone vote niay be polled pursuant to Conimission Regulations. 

Should an applicant disagree with the deterniination of thz Conunission, the Commission shall hold 

a hearing to review its decision, within seven (7) weekdays from the date an applicant filcs hislhcr 

written disagreement with the Commission. At the hearing tlie burden sliall be upon the applicant to 

show cause why thc Conunission's decision was incorrect. Any Commissiotier that may gain 

ecotiomically (other that1 gain to the Tribe and tribal membersliip generally) from thz granting or 

denial of a licensing application shall abstain from voting on such application. 

100 Section 14 Commission Findings. Following such hearing, the Commission shall, within 

seven (7) weekdays, reach a detennination conccrning: 

(a) the accuracy ofthe preliminary certification of facts, and 

(b) whether the license in question sliould be grantcd, denied, continued, suspended, 

revoked, conditioned, or limited, and 

(c) whether or riot any other action rccommendcd to the Conunission including, but not 

limited to, forfeitures, should be taken. 

Alturas Tribal Gaming Code 

page 8 
100 Scction 15 Notification of Commission Dccision. Within five (5) weekdays following this 

determination the Cotnnlission shall infornl thc subject in writing of that detcrnminatioti. 

100 Scction 16 Duties of the Chaitnlan. 'l'hc Chainnan shall perform all duties, excrcisc all 

powers, assume and discharge all responsibilities, and carry out and eflicct all purposes of this Code 

relating to the regulation of all gaming activity. In all decisions, tlic Chainnan shall act to promote 

and ensure integrity, security, honesty, and fairness of the operation and administration of all gaming 

activity. The Chairman's dities shall include but not be limited to the following: 

(a) Negotiate contracts for payments by the Commission for the provision of sec~~rity and 

other professional senices. 

(b) Correspond with the National Indian Gaming Commission and do whatever is necessary 

to complete compliance with the rules and regulations of that agency. Specifically, the Chairman 

shall arrange for an annual outside audit of authorized gaming and will provide a copy to the 

National Indian Gaming Commission; 

(c) assure that all gaming activity is conducted in a manncr which adequately protects the 

environment and the public health and safety; 

(d) Prescribe an adequate system which ensures that background investigations are 

conducted on all primary management oflicials and key ernployces of any Gaming establishment 

and that oversight of such officials and their management is conducted otl an ongoing basis. The 

Chairman will recotnnlend to the Comnission, which shall have final authority, on tllc granting of 

tribal licenses. The Chairman shall immediately notify the National Indian ahi in^ Comnission of 

the issuance of licenses for primary management oficials and key employees. 'I'he Chairman will 

review all applications and background investigations to ensure that no person shall be eligible for 

employment in or with any part of the gaming operation if that person's prior activities, criminal 

record, if any, or reputation, habits and associations pose a threat to the public interest or to the 

effective regulation of gaming, or create or enhance tlle dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of gaming. The Chairman shall notify the 

National Indian Gaming Conunission of the results of such background checks before the issuance 

of such licenses; 

(e) Hire such professional, clerical, technical, and adnlinistrativc personnel as may bc 

necessary to carry out thc provisions of this Code; 

(f) Review all records, documents, and anything else necessary and pertinent to etlforccment 

of any provisions of this Code; 

(g) Recommend to the Conunission whether sanctions should bc itnposed on any person 

subject to the jurisdiction of this Code; 

(h) Issuc subpoenas to compel the attendance of witnesses for hearing at any place on 

Alturas Indian lands, administer oaths, and require testimony under oath. Any process or notice 

may be served in the manner provided for service of process and notices in civil actions. The 

Alturas Tribal Gaming Code 

Page 9 
Chairnian may pay such transportation and other expenses of witnesses as it deetns reasonable and 

proper. 

100 Section 17 Right of' Inspection. The Comtnission and its agents and inspectors, have tlic 

authority: 

(a) To inspect and esaminc all preniises wherein gaming is conducted or gambling devices 

or equipment are nianufricti~red, stored, tnaintained, sold or distributed; 

(b) To inspect all equipment and supplies in, ilpori or about a gaming establishment, or 

inspect any equipment or supplies wherever located, which niay. or have been used in tllc gaming 

establislilnent; 

(c) Surmnarily to seize and remove from a gaming establislunent (or wherever located) and 

impound such equipment or supplics for the pilrposc of cxatnination, inspection, evidence or 

forfeiture; 

(d) To demand access to and inspect, esaniine and audit all papers, books and records of 

applicants and licensees respecting any income produced by any gaming business, atid require 

verification of inconie and all other matters afl'ecting the enforcement of tlic policy of or any of'the 

provisions of tliis Code; 

(e) To seize and impound any patron's winnings which tlic Cotnnlissioti niay have reasons to 

believe may have been won or obtaincd in violation of tliis Code pending a hearing beforc tlie 

Commission; 

(f) For the purpose of administratioti and enforcement of this Code the Commission and its 

investigative personnel may, by resolution of tlie Tribal Council, have the powers of thc pcace 

officer of the Alturas Indian Rancheria for purposes of this Code only; 

100 Section 18 (lonfidcntiality of Information. 'I'he Commission rnay refi~se to reveal, in any 

court proceeding the identity of any informant, or the.information obtained from the informant, or 

both the identity and the information. 

100 Section 19 Powers of Delegation; Commission Budget; Commission Records. The 

Commission rnay organize itself into functional divisions as it may decm necessary and from time to 

titnc alter such plan of organization as it may deem expedient. Within the limitations of a Couticil 

approved budget, the Conunission shall establish its own budget for operations, and acquire sucli 

furnishings, equipment, supplies, stationery, books, motor vcliicles, and othcr things as it niay deem 

necessary or desirable in carrying out its functions, and incur such other expenses, within the limit of' 

funds available to it, as it may deem necessary. Within the limits of a Council approved budget, the 

Cornniission shall employ and fix the salaries of or contract for thz services of such professional, 

technical and operational personnel and consultants as the execution of its dutics and the operation 

of the Conunission may require. At the Council's discretion, said budget may be reviewed and 

modified by the Council every twelve (12) months. Upon the end of the budget year any surplus 

which might exist shall be rchnded to the Tribe's Gencral Fund at the Council's discrction. The 

Nturas Tribal Gaming Code 

page 10 
Conmiissiotl shall keep and niaintain a filc of all applicatiotis for licetlses under rliis cliapter. 

togctlier with a record of all action taketi with respect to si~cli applicatiotis. 'I'lic Conmiission sliall 

keep and maintain such othcr files and rccords as they tnay deem desirable atid all si~ch rccords rnay 

bc open to public inspection as the Tribal Co~~ncil by resolution and tlic Comtnission by regulation 

dectiis appropriate; provided, that the annual Cornmission budget shall bc tnadc available to any 

tribal member upon demand. 

100 Section 20 Sanctions. Any person who etigagzs in activities on propzrty subject to tlie 

provisions of this Gambling Code without a license, in violation of the license or temis imposed 

thercon, in violatioti of temis of suspension, or in violation of any rcg~latioti, provision, or 

amcndtnent undzr this Code sliall be in violatioti of this Code, including any person who unlawfi~lly 

trcspasscs upon any premises licensed by this Code without the consent of the licensce and/or thc 

Cotnn~issioti, shall be subject to punislunznt in accordance with the provisions of 100 Sectio~i 22 

hereinafter. Thc Cornniissiotl shall consider the issuancz of satictiotis if the Tribal Couticil request 

such considcratioll by formal resolution stating the purpose of the inquiry. Nothing herein shall be 

intcrpreted to limit the liability of such individuals in tribal, state or federal court. 

100 Section 21 Violations of Code - Punishment. By accepting a license, the licensee is 

consenting to the civil jurisdiction of the Gaming Cotnmission. Any violatioti of this Code shall be 

subject to a fine of no more than twenty-five thousand dollars (S 25,000.00) for each separate count 

or violation. Each day of violation sliall constitute a separate violation under this Code. A violator 

tnay also bc required to pay Conunission costs, storage fees, and auction or sales fees. All property 

used or which tnay be used in cach and every separate violatiotl of this Code may become tlie 

property of the Tribe; persons may be prohibited from trespassing on pretniscs licensed under this 

Code, licenses may be suspended, revoked, or limited andlor establishments tnay be forcibly closed. 

All such action shall be taken at the discretion of tlie Commission. Winnings found to have been 

received in violation of this Code are forfeited and become the property of the Tribe. 

100 Section 22 Proccdurc Regarding Enforcement Actions. The Conitnission sliall promulgate 

regulations protecting the ridits of all individuals subject to thz etdorcement of this Code. Sucli 

regulations sliall provide, at a minimum: 

(a) provide standards for emergency or sunmiary suspension of license; and 

(b) provide fair notice and opportunity for hearing regarding any revocation or suspension of 

license, and regarding any enforcement action taken, or proposcd to be taken pursuant to this Code. 

100 Section 23 Special Agents. The Coriltiiissiori may authorize special agents appointed pursuant 

to and otherwise in compliance with tribal law, to perform services reasonably necessary to assure 

compliance with the provisions of this Code only. Said special services of etlforcenient and 

surveillance shall be under the direction of the Chairman. This section shall in no way be deemed to 

limit tlie normal law enforcement functions of these or other tribal law etiforccment officers not so 

authorized. 

100 Section 24 Independence of Commission. Thc Chaimian, Commissioners, members of'tlie 

Council and their itnniediate families sliall rcceivc no personal conipensation, gin, reinlbursctnent or 

Alturas Tribal Gaming Code 

page 11 
paymcnt of atiy kind from any persoti doing or wishing to do business with tlie I'rihc relatitig to 

gaming nor with any person wishing to obtain an unfair advantage in any a~~thorized wager on 

gaming. Personal competisation, gifl, rcimbursemetit or payment of any kitid shall riot include 

business entertaituiient. meals, lodging or other ordinary and reasonable expenses in the negotiation 

and solicitation of contracts. Any propcrty received in violation of this provision, including cash 

payments, shall be immediately forfeited to the Tribe and the offending persons shall be prosecuted 

to the fullest extent possible under applicable law for accepting a brihc. The Comniission shall 

cooperate to the fullest extent possible with any Federal or State law enforcemetit agcticy to p~lrs~~e 

prosecution under applicable Federal or State law. 

SUBCIIAPTER 200 

LICENSING OF GAMES 

200 Section 1 - Mandatory License. Any pcrson seeking to conduct, opzratc, or manage any 

gaming activity pursuant to this Code shall apply for, and receive, all the requircd licenses fioni the 

Comniission prior to engaging in such gaming activities. Engaging in such gaming activities without 

first obtaining thc required licellscs shall be decmed a violation of this Code and shall be punishable 

in accordance with 100 Section 22. 'This provision shall not preclude thc Conimission froni entering 

into consulting contracts for services, the paymcnt of which is fixed and not dcternlined by a 

perccntage of thc net profits from thz gaming operation. 

200 Section 2 Authorization of Class I Gaming Activity. ?'he Comtnission tiiay autliorizc Class 

I Gaming Activity to be played on Indian lands that arc within the jurisdiction ofthe Tribe. 

200 Section 3 Licensing and Regulation of Class I1 Gaming Activity; Net Revenue 

Allocation; Audits; Contracts. 

(a) A separate license issued by the Commission shall be required for each place, facility, or 

location within the Tribe's jurisdiction at which any Class I1 Gaming Activity is conducted. 

(b) 'The Cortunission shall not license and regulate a tribally owned Class I1 Gaming 

Activity unless - 

(i) such gaming activity is located on Indian lands within the Tribe's jurisdiction, and 

tlie State of California pennits such gaming for any purpose by any person, organization or entity 

(and such gaming is not otherwise specifically prohibited on Indian lands by Federal laws); and 

(ii) net revenues froni such Gaming Activity are used in accordance with 100 

Section 2 of this Code; and 

(iii) such gaming activity is subject to annual outside audits, which tilay be 

encotnpassed within cxisting independent tribal audit systems, and provided to the Council, atid 

Alturas Tribal Gaming Code 

page 12 
(iv) all contracts for supplies, services, or concessions for an aggregate amoutit in 

excess of $25,000 annually relating to such gaming are also subject to independent audits. provided 

that s~ch audits of accounting and legal services sllall not compel the disclosure of'cotfidetitial or 

privileged irlforniatiot~; and 

(v) the cotistn~ction and tnaititetiance of the ganiing facilitv, atid the operation of that 

gaming. is conducted in a matuier whicli adequately protects the cnviron~nctit atid tlie public liealtll 

and safety; and 

(vi) all primary management officials and key employees of' the Class I1 gaming 

operation have successfully passed a background investigation, the procedure atid scope of which is 

approved by the Tribc and tlie National Indian Gatning Conmmission. 

200 Section 4 Licenses for Class I1 Giuning Chvncd By a Non-tribal Entity. 

(a) The Commission may license and regulate Class 11 gaming activities owned by ally 

person or entity other than the Tribe and conducted within the 'T'ribe's jurisdiction, only if tlie 

requirements described in subparagraph (b) of this Sectiot~ are met arid arc conducted in a manner 

that is at least as restrictive as the regulations established by California State law governing similar 

gaining witliin its jurisdiction. No person or entity, other than the 'Tribe, shall be eligible to receive a 

license from the Commission to own a Class I1 gaming activity conducted within the 'I'ribe's 

jurisdiction if such person or entity would not be eligible to receive a liccnsc from tlie State of 

California to conduct the same activity within State jurisdiction. 

(b) Such licenses are only valid so long as tlie licensee and tlie Tribe comply, at a 

minimum, with the following provisions 

(i) income to the Tribe from such gaming is used only for the purposes described in 

100 Section 2 of this Code, and 

(ii) not less than 60 percent of tlie net revenues is income to the Tribe, and 

(iii) the owner of such gaming operation pays the appropriate assessment levied by 

the National Indian Ganiing Commission. 

200 Section 5 Issuance of Tribal Gaming Licenses; Objections. The Conmiissioti sliall consult 

with appropriate law enf'orcement oficials concerning any gaming licenses it may issue. If; after 

issuance or a gaming licetise by the Comniission, reliable irlfornlation is received that a primary 

management official or key employee does not nieet the standard established under 200 Section 4 of' 

this Code, the Commission may suspend such license and, after notice and hearing, may revoke such 

license. 

200 Section 6 L,icense and Regulation of Class 111 gaming activities; Tribal-State Compact 

Required. 

Alturas Tribal Gaming Code 

page 13 
(a) The Codasion shall not liccaw a Class ILI Gaming Activity unless with respect to 

Class III gaming: 

(1) Such meets t&e ~quirements of 200 Section 3, and 

(2) such gamin8 is conducted in confonnanct with the terms and conditions of a 

valid Tribal-State Compact entered into by the I'ribe and the State of California, or with tbe turns 

and conditions of valid procedures fir the regulation of class IlI games in the absence of a 

compact, or in compliance with aomc other lawful rcmody in the absenoe of a compact; 

(b) Nothing herein Wl be interprotcd to be a restriction on tht sovereign authority of 

the Tribe to continue regulation of gaming on its lands in the event the federal courts strike all or 

part of lGRA to be invalid, illegal, unconstituti~nsl or unenfot~:eablc. 

200 Section 7 Non-transferabMty of License. Any licanse issued pursuant to the pr~visions of 

this Code is valid only for the penion or entity at the place of business shown on the hce themof, It 

is not assignable or otherwise transfimblc to any other person or entity for any other location 

without approval of the Chairman and Commission. 

200 Won 8 Granting of llcenae - Majority Vote. To approve of any license issued pursuant to 

this Code, a quorum of the Cbmdssia must be present vdth a majority vote of approval required. 

A license will not be issued to a person whose license has previously been revoked pwsuant to this 

Code, or to whom the issuance of renewal of a license ~RS been denied, except with the majority 

approval of the Codelon members. 

200 Section 9 Application Fee, Thc Commission shall set a fee for applicatioas, background 

inveetigations, and licenses. All such fees shall be made payable to the Alhvae Tribal Gar&$ 

Commission and delivered to the Alturas Ranchecia's Accounting 0fHce. 

200 Sectton 10 Background Investigation. No License shall be granted to any penon or entity 

who has been determined to be a person or entity whose prior activities, criminal mrd, if any, and 

associations pose a threat to the public interest or to the effective regulation and control of gaming, 

or Create or enhance the dangers of unsuitable, WXr, or illegal practices, methods, and activities in 

the conduct of gaming or tb carrying on of the .business and flaancial amngementa incidental 

thereto. The background inwstigation shall be at least as 8trkgemt as the tegulationa of the National 

Indian Gaming Commission published as 29 CFR sections 556 and 558 in the Federal Register, 

~lume 58, no. 13, on Friday, January 22, 1993, md any amendment to those regulations. 

200 Section 11 Fdure of Applicant to Dfsctase Materlal Infonndion. An applicaut for 

licensing shall make truo and fW1 disclosure of ell infbnnation to the Commission as nbcessary or 

appropriate in the public interest or as required in otder to carry out the policies of this Tribe 

relating to Licensbg and conbol of the gaming industry, It is the duty of the applicant to disclose all 

iuformation material to whether his involvement with gaming would jeopardize or compromise the 

Tnial interest, whether or not the applicant has been specifically requested to provide that 

infodon. It shall constitute a violation of tbis code to fail to disclose, to mislead or to misstate 

any such material infomation to the Commission, or to any licemsec's employer. 

Altwaa Tribal Gaming Code 

Pa* 14 
200 Section 12 Tcrnporary Kmployrnent Licenses. The Commission may issuc a temporary 

etnploytnent license to any person or entity that has applied for a license to work in a licensed 

ganiing establishnient. A temporary license may not be issued: 

(a) in thc case of applicants for High Sccurity Employee (as dcfined in the tribalktate 

compact) positions, until thirty (30) days aAer the individual's or entity's application has becn 

submitlcd and processed in accordance with thc Conimission's regulations; 

(b) in thc case of applicants for Idow Sccurity Etnployec (as dcfined in the tribal/state 

compact) positions, until aAer the individual's or cntity's application has been subtnittcd and 

processed in accordancc with the Conunission's regulations 

200 Section 13 Parameters of Licensee. Violation of any provision of this Code or any of the 

Cotnniission's regulations by a licensee, his agent, or employee shall bc deemed contrary to the 

public health, safety, tiiorals, good order and general welfare of the /llturas Rancheria or its 

members, and shall be deemed grounds for refusing to grant or renew a license, suspcnsion or 

revocation of a license, or shall constitute grounds for the filing of charges by the Conimission. 

Acceptance of a gaming license or renewal thereof, or condition imposed thereon, by a licensee, 

constitutes an agreement on thc part of the licensee to be bound by all the regulations and conditions 

ofthe Commission and by the provisions of this Code as the same are now, or may hereafler be 

amended or promulgated, and to cooperatc fully with the Commissioti. It is tho responsibility of the 

licensee to keep informed of the contents of all such regulations, anicndnients, provisions, and 

conditions, and ignorance thereof will not excuse violatiotis. The Commission shall use reasonable 

efforts to notify all licensees of changes in regulations. 

200 Section 14 Licensing of Distributors. The Commission may authorize, require and issue 

such annual licenses as the Conlmission by regulation may provide, to any person or entity to 

engage in the selling, distributing, or otherwise supplying of gambling equipnlent or paraphernalia 

for use in connection with licetised gaming activity. 

SUBCI-IAPTER 300 

MANAGEMENT CONTKAC'I'S 

300 Section 1 Commission Approval Required. 

(a) Any management contract entered into by the Tribe for the operation and management 

of Class I1 or Class 111 gaming activity must be subnlittcd to the Commission for approval, but, 

before approving such contract, the Commission shall requirc and obtain the following information: 

(i) the name, address, and other additional pertinent background information on each 

person or entity (including persons comprising such entity) having direct financial interest in, or 

management responsibility for, such contract, and, in the case of a corporation. thosc individuals 

Alturas Tribal Gaming Code 

page 15 
who serve on the board of directors of such corporation atid eacli of its stockholders ~~ho hold 

(directly or indirectly) 10 percent or morc of its issued and outstatiding stock; and 

(ii) a description of any previous experience that eacli person listed pursuant to 

subparagraph (i) has had with other gaming contracts with Indian tribes or with the gaming industry 

generally, including specifically the name and address of any licensing or regulatory agency with 

which such person has had a contract relating to gaming; and 

(iii) any further or additional irlformation as may be required under the tribal-state 

Cotnpact entered into between the Tribe and the State; and 

(iv) any additional inforn~atioti that the Comtnission tilay rcasonablv request. 

(b) Any person listed pursuant to subsubparagraph (a)(i) shall be required to respond to 

such written or oral questions that the Conunission may propound in accordance with its 

responsibilities under this Subchaptcr 300. 

(c) For pilrposes of this Code, any reference to the matiagemcnt cotitract described in 300 

Section I (a) shall be considered to include all collateral agreements to such contract that relate to the 

gaming activity. 

(d) Afler the Comrnissioti has givcn its approval of a ttianagcment contract, the Commissioti 

shall submit such contract to the National Indian Ganiitig Conunission for its approval. No si~cli 

contract shall be valid until the National Indian Gaming Conitnission has approved it, provided 

however, that a person or entity may perfonn pursuant to the tenns of the tiianagetnetlt contract on 

an interim basis pending NIGC approval. 

300 Section 2 Requirements for Mmagcment Contri~cts. The Commissioti shall approve any 

management contract entered into by the Tribe pursuant to this Subchapter 300 unless it determines 

that such contract is not in conipliance with the provisions of this Gaming Code, and does not 

provide at least: 

(a) for adequate accounting procedures that are maintained, and for verifiable financial 

reports that are prepared, by or for the Council on a monthly basis; 

(b) for access to the daily operations of the gatning to appropriate tribal officials who shall 

also havc a right to verify the daily gross revenues and inconie nladc froni any such tribal gaming 

activity; 

(c) for a minimum guaranteed payment to the Tribe that has prefcrencc over thc retiretncnt 

of development and construction costs; 

(d) for an agreed ceiling for the repayment of development and constnlction costs; 

Alturas Tribal Gaming Code 

page 16 
(e) for a contract tern1 not to exceed five years, except that, upon the rcqucst of thc I'ribc, 

tlie Conirnissioli may authorize a contract tenii that cxcceds five years but does not excccd seven 

years if the Cotrunission is satisfied that the capital itivesttnetit required, atid the incotlie projections, 

for tlie particular gaming activity rcquirc additional time and the National Indian Gatiiitlg 

Comnlissiori concurs with the findings of tlie Alturas 'l'ribal Gaming Comtnission; and 

(f) for grounds and mechanisms for terminating such contract, hiit actual contract 

teniiination shall not require the approval of the Commission. 

(g) for prcfcrcnce to Tribal members and lion-mcmber Indians in hiring of employees Tor the 

gaming establishment. 

300 Section 3 Rcconsideration at Direction of Tribill Council. In tlic event the Conmiission 

determines a contract is not in compliance with Subcliaptcr 300, tlie Commission shall inmiediately 

communicatc its detennination to the Tribal Council. If the Tribal Council, by duly autl~orizcd 

resolution, requcst thz Conunission to reconsider tlic management contract, thc Commission shall do 

so. If after fiflecn (1 5) days of such request for reconsideration, the Conmission has not detennitied 

that the managznient contract is in con~pliance with Subchapter 300, tlic Tribal Council may 

cliallengc tlie Cotnrnission's determination in Tribal Court. The decision ofthe Tribal Court shall be 

final. Until such time as the Tribal Court is in place, tlie Comniission shall provide a full opportunity 

for the 'Tribal Council to be heard, and the Cornmission decision, affer such reconsideration shall be 

final. 

300 Section 1 Percentage-of-Net-Hevcnue Fees. 

(a) The Commission shall not approve a management contract providing for a fee based 

upon a percentage of the net revenues of a tribal gaming activity unless such percentagc fee is 

reasonable in light of surrounding circumstances. Except as provided in this Section, such fee shall 

not exceed 30 percent of the net revenues; 

(b) The Comtnission sliall not approve a management contract providing for a fee based 

upon a percentage of tlie nct revenues of a tribal gatning activity that exceeds 30 percent but not 40 

percent of the net revenues unless the National Indian Gatnitig Commission and the Tribal Council 

are satisfied that the capital investment required, and income projections, for such tribal gaming 

activity require tlie additional fee, and such contract is otherwise in compliance with this Gaming 

Code.. 

300 Scction 5 Contract Disapproval. ?'he Conimission shall not approve any contract if it 

detcnnines that: 

(a) Any person listed pursuant to 400 Section 1 (a)(i)- who 

(i) has becn or subsequently is convicted of any felony relating to a gaming offcnse; 

or 

Alturas Tribal Gaming Code 

page 17 
(ii) has knowingly and willfully provided materially important false statetncnts of' 

information to the Conmiission or the tribal oficials who negotiate such contracts or has refused to 

respond to questions propounded pursuant to 300 Section l(b); or 

(iii) has been detennined to be a person wliose prior activities, crirninal record if' 

any, or reputation, habits, and associations pose a threat to the public intcrest or to the effective 

regulation and control of gaming, or create or ctll~ance the dangers of ~uisuitable, unfair, or illegal 

practices, methods, and activities in the cond~~ct of gaming or the carrying on of tlie business and 

financial arrangements incidental thereto; 

(b) The management contractor has, or has attempted unduly to interfere or to influeticc for 

its gain or advantage any decision or process oftribal govemncnt relating to gaming activity; 

(c) The management contractor has deliberately or substantially failed to comply with the 

tcrnis of the management contract or the provisions of'tliis Code or any regulations adopted pursuant 

to this Code or the Indian Gaming Regulatory Act. 

(d) Any person listed in 300 Section l(a)(i) is an elected member of tlie Tribal Council. 

300 Section 6 Modif*g or Voiding Contract. The Commission, afier notice and hearing, shall 

have the authority to require appropriate contract modifications or may void any contract if it 

subseqi~ently detcnnines that any of the provisions of this Chapter have been violated. 

300 Section 7 Conveying Interest in Land. No tnanagemcrit contract for the operation of a 

gaming activity regulated by this Code shall transfer or, in any other manner. convey any interest in 

land or other real property, unless specific applicable statutory authority exists and unless clearly 

specified in writing in said contract. 

300 Section 8 Fee for Investigation Cost. The Cotm~ission may require a potential contractor to 

pay a fee to cover the cost of the investigation necessary to reach a determination required in 300 

Section 4 of this Subchapter. 

SUBCHAPTER 400 

AUDITING AND INTERNAL CONTROI, 

400 Section 1 - hlinimum P~.ocedures for Control of Internal Fiscal Affairs. The Commission 

shall promulgate regulations for control of internal fiscal affairs of all gaming operations. At a 

minimum, those regulations shall: 

(a) Prescribe minimum procedures for safeguarding the gaming operation's assets and 

revenues, including recording of cash and evidences of indebtcdness, mandatory count procedures. 

Such procedures shall establish a control environment, accounting system, and control proccdurcs 

that safeguard the assets of the organization, assures that operating transactions arc propcrly 

recorded, and encourage adherence to prescribed policies; 

Alturas Tribal Gaming Code 

page 18 
(b) Prescribe rninit~lnm reporting rcquiremetlts to the Cotntnission; 

(c) Provide for the adoption and use of internal audits, by internal aitditors and Certified 

Public Accountants licensed to practice public accounting; 

(d) Formulate uniforn~ minimum illtenla1 control standards (MICS) of acconnts and 

accounting classifications to assure consistency, colnparability and effective disclosurc of financial 

information. Such MICS shall requirc that records be retained that reflect statistical drop (amount 

of cash wagered by patrons)? statistical win/loss (amoutlt of cash won/lost by the gatning operatiotl) 

and the percentage of win/loss to drop, or provide similar information, for each type of game, or 

cach gaming dcvice; 

(c) Prescribe the intervals at which si~ch information shall be furnished; 

(f) Provide for the maintenance of documentation (i.e. checklists, programs, reports, etc.) to 

evidence all internal work pcrfonned as it relates to thc requirements of this section; and 

(g) Provide that all financial statements and documentation referred to in paragraph (0 be 

maintained for a minimum of five (5) years. 

400 Scction 2 Commission Oversight of Internill Fiscal Afl'irs. 

(a) The Commission shall, by regulation, require audits of the financial statements of all 

gaming operations. Such audits must: 

(1) be made by independent Certified Public Accountants holding a pennit issued by 

the State of California to practice public accounting; 

(2) include an opinion, qualified or unqualified or, if appropriate, disclaim an 

opinion on the financial statements taken as a whole in accordance with standards of the accounting 

profession established by rules and regulations of the American Institute of Certified Public 

Accountants; and in accordance with the rules and regulations of the California State Board of 

Accountancy, except that revenuc participation fees tnay he treated as "operating expense" without 

regard to GMP or California State rules and regulations; 

(3) disclose whether the accounts, records and control procedures maintained by the 

gaming operation are as required by the regulations promulgated by the Commission; and 

(4) provide for a preliminary rcview of procedures and regulations relating to the 

control of internal fiscal operations upon adoption of the policies and procedures by the gaming 

operation, to disclose any deviation from prescribed rules and regulations and report sucll findings to 

the Commission and management; 

Nturas Tribal Gaming Code 

page 19 
400 Section 3 Commission Right to Conduct Audit. The Conunission sliall be able to retain its 

own appointed accountants, or direct an accountant c~nploycd by tlie 'Tribe, to conduct its own audit 

of any ga~ning operation. 

400 Scction 4 Prohibition Against Embezzlement. Any dclay, nianeuvcr or action of any kind 

which in the opinion of the Chairman is effectuated by any liccnsee to unla\Yfully divert gaming 

proceeds or other proceeds properly belonging to thc Tribc shall constitute grounds for taking 

disciplinary action against that licensee. If the Comniission fillds an unlawful diversion was 

attcmpted, it shall sanction the licensee. Sanctions may include fining, revoking, suspending. 

limiting or rebsing to renew the license. Nothing herein shall hc interpretcd to limit the 

Commission's authority per 100 Section 22. 

SUBCHAPTER 500 

AUTHORIZATION OF GAMING 

500 Section 1 I'rohibition Against Gaming. No person duly authorizcd by the Conunission shall 

engage, conduct or condone any Class I1 or Class I11 ganlc unless such gamz is approved by this 

Co~nmission and regulations for rules governing sucli game have becn duly proniulgated by this 

Comnlission. 

500 Section 2 Grace Period. The prohibition contained in 500 Section 1 shall not apply to tliosc 

games already bcing played as of the date of enactment of this Code, provided, however, that the 

licensee conform to the rules promulgated thereunder within five (5) days of such promulgation. 

500 Section 3 Authorization of Gaming. Thc Cornniission may authorize the playing of any 

game lawfill under applicable federal law. 'The Comniission shall protnulgate regulations for rules 

governing the equipment (chips, dice, cards, tiles etc.) used in sucli game. Any provision in the 

Tribe's Compact with the State of California providing for notice and comnient from the State, shall 

be complied with before any ganie is authorized by the Commission. 

500 Section 4 Approval of Gaming 1Squipmcnt. The Commission shall have the discretion to 

review and approve all gaming equipment and other devices used in the gaming operation as to 

design, integrity, fairness, honesly and suitability. 

(a) 'I'hc Commission may test any machine in a gaming facility at any time, or may require a 

prototype or sample of any model of ganiing terminal or other dcvice used in tlie gaming operation 

to be placed in the custody of tlie Chainnan and retained by him as a control for comparison 

purposes. 

(b) Any evidence that gaming terminals or other equipment used in the gaming operation has 

bcen tampered with or altered in any way which would affect the integrity, fairness, honcsty or 

suitability of the terminal or equipment shall be immediately reported to the Commission. 

500 Section 5 Posting of Rules. l'he Rules of each authorized game ontred at any duly licenscd 

gaming establishment shall be posted in a conspicuous location and shall be clcarly legible. 

Alturas Tribal Gaming Code 

page 20 
SUBCI-IAPTER 600 rgp 

EXCLUSION OR EJECTION OF INDI\fIDUAIJS I ? 19gg 

600 Section 1 List of Undesirables. ?'he Commission shall, by regulation, provide for the 

establislunent of a list of persons who are to be excluded or ejected from any duly liccnsed gaming 

operation. The list nlay include any person whosr: presencs in thc gaming establishtnznt is 

detemlined by thc Comn~ission to posc a threat to the interests of the l'ribc, the Slate of California, 

or to licensed gaming. Race, color, crscd national origin or anccstry, or scx must not be grounds for 

placing the nanie of a person on the list. 

600 Section 2 Notice and Opportunity to be Ileard. The Cot~unissiotl shall promulgate 

regulations providing fair notice and opportunity to bc heard to any individual whose name is being 

contemplated by the 'I'ribc to be placed on the list referred to in 600 Section 1. Such regulations 

must provide the person an opportunity to show cause to thc Conunission why his namc should bc 

deleted from the list. 

600 Section 3 I'rohibition Against 1,isted Individuals. It shall be a violation of this Code for any 

licensee who knowingly fails to excludc or eject from the gatning cstablisluticnt any pcrsotls placed 

on the list ref rrcd to in GOO section 1. It shall be a violatiotl of this Code for any person whose nanie 

appears on the list referred to in 600 Section 1 to enter into or engage in atiy garne at a duly licensed 

gatning establishment. Nothing in this section may be interpreted to prevent the gatning operation 

from refusing service to anyone. 

600 Section 4 Prohibition Against Certain Individuals. It shall be a violation of this Code for 

any licensee who knowingly fails to excludc or eject from thc gaming cstablishmcnt any individual 

who: 

(a) is visibly under the influence of liquor or any narcotic or such other substances; or 

(b) is to be excluded per the provisions of the tribal-state Compact. 

SUBCI-IAPTER 700 

CHEATING 

700 Section 1 Unlawful Acts. It is unlawrul and a violation of this Code, pi~tiishable by the 

Commission, for any person: 

(a) to alter or misrepresent the outconic of'a game or other event on which wagers have been 

made after the outcome is made sure but before it is revealed to the players; 

Alturas Tribal Gaming Code 

page 2 1 
(b) to place: increase or decrease a bet or to dctcrniine the course of play ancr acquiring 

knowledge, not available to all players, of the outcome of the game or knowledgc of any event that 

affects the outcome of the ganie or knowledge that is the subject of the bet or wagcr; 

(c) to aid anyone in acquiring such knowledge as set forth in subparagraph (b), for the 

purpose of increasing or decreasing a bet or wager, or for the purpose of determining the course of 

play contingent upon that event or outcome; 

(d) to claim, collect or take, or attempt to claim, collect or take, money or anything of valuc 

in or from a gatnbling game with intent to defraud, without having made a wagcr contingent 

thereoti, or to claim, collect or take an amount greater than the amount won; 

(c) knowitigly to entice or induce another to go to any place where a gambling ganie is being 

conducted or operated in violation of the provisions of this Gaming Code, with the intent that the 

other person play or participate in that gambling gatne; 

(f) to place or increase a bet or wager after acquiring knowledge of the outcome of thc game 

or event which is the subject of the bct or wagcr, including past-posting and pressing bets; 

(g) to reduce the amount wagered or cancel the bet aficr acquiring knowledge of the 

outcome of the game or other event which is the subject of thc bet or wager, including pinching bets; 

(h) to manipillate with intent to cheat, any component of a gaming tcnninal or any tangible 

device used in connection with the gaming activity in a matulcr contrary to the designed and nonnal 

operational purpose for the component, with knowledge that the nianipulation alrects the outcome of 

the game or with knowledge ofany event that affects the outcome of the game. 

700 Section 2 Prohibition against Electronic Aids. Except as specifically pennittcd and 

approved by the Conimission, no person shall possess with thz intent to itse, or actiially use, at any 

table game, either by liiniselr, or in concert with others, any calculator, computer, or other clectronic, 

electrical, or nieclianical device to assist in projecting an outconie at any table ganie, to keep track of 

or analyze the cards having been dealt, to change the probabilities of any table game or the playing 

strategies to be utilized. Nothing in this section shall be interpreted to preclude the gaming 

establishment from maintaining and ofliering such electronic aids so long as the information provided 

from such aids is made available to all players. 

Alturas Tribal Gaming Code 

page 22 
SUBCI-IAPTER 800 

NA'I'IONAL INDIAN GAMING COMMISSION 

and TRIBAL-STATE COMPACTS 

800 Section 1 National Indian Gaming Commission - Regulations. The Conunission shall 

cornply with all regulatiotis proniulgated by the National Indian Gaming Commission, including, 

but not limited to, all requirements to rzport ordinances, contracts, license applications, background 

checks, and other information to the National Commission. Nothing in this section shall be 

interpreted as a waivcr ofthe Tribe's riglit to challenge the legality of any silcli regulations. 

800 Section 2 National Indian Gaming Conimission - Assessment. Thc Commission shall 

comply with all assessments authorized by the National Commission. Such assessments shall be paid 

from the gaming enterprise. Nothing in this section shall be interpreted as a waiver of the Tribe's 

right to challenge the legality of any such regulations. 

800 Section 3 Compact with the State of California. The Commission shall comply with the 

provisions of any compact properly executed between the Tribe arid the State of California, under 

IGRA. Nothing in this section shall bc interpreted as a waiver of the Tribe's right to challengc the 

lcgality of any such compact or any compact provision. 

SUBCHAPTER 900 

MISCELLANEOUS 

900 Section 1 Security. Each licensed gaming establishment must provide for adequate 

security. All security personriel must be licensed by the Commission. 

900 Section 2 Maintenance of Code and Regulations. Each licensee shall obtain, maintain arid 

keep current a copy of the Gaming Code and regulations promulgated thereunder, which shall be 

located at the przniises used for the conduct of a licensed activity. This Code and regulations shall be 

produced by the Commission to any pzrson upon writla1 request to the Cornniission. l.,iccnsee's 

obligation to abide by this Code and regulations is not, in any way, affected by the I,icensce7s lack 

of a copy or knowledge of this Code and rcgulations. 

900 Section 3 Compliance with Other Laws. The construction, maintenance and operation of any 

facility in which gaming activities are to take place shall be in a manner which adequately protects 

the environment and the public health and safcty and shall comply with any otherwise applicable 

tribal and federal laws rclating to environmental protection and piiblic health and safety. 

900 Section 4 Amendments. All provisions of this Gaming Code are siib.ject to amendment by the 

Alturas Tribal Council. All regulations promulgated by the Commission are subject to proper 

rzvision, rcpeal, or amcndnlent by the Commission. 

Alturas Tribal Gaming Code 

page 23 
900 Section 5 Xo Waiver of Sovcreign Immunity. Kothing Iiercin shall be intcrprcted as 

empowering the Conltnission to waive the Tribz's or the Commission's inununitv from suit. Any 

contract or otllcr agreement that provides for such waiver shall be void ~~nless ratified by thc Tribal 

Council. 

900 Section 6 Scvcrability. If any provision of this Code, or its application to any purpose or 

circumstance, is held invalid by a court of competent jurisdiction, the fill1 renlainder of the 

provision, or the application of the provision tluough another person or circumstance, shall not be 

affected. 

Alturas Tribal Gaming Code 

page 24 
Procedures for Resolving Disputes betwccn the Gaming Public 

and Alturas Gaming Operations 

The following procedure shall be used for rcsolutioti of any dispute hctween the gaming 

public, with any and all gaming operations under the jurisdiction of the Alturas Rancheria: 

1) When a patron brings a dispute to any employee, the employee shall refcr the patron 

to the shiA supervisor. The shift supervisor shall make all reasonable efTorts to rcsolve promptly? thc 

dispute to the satisfaction of the patron. 

2) If the patron is not satisfied with the decisions of the shift supervisor, the patrori shall 

bc provided a writtcn "Cicstotner Conceni Fonn," a copy orwhich is attached. Fi~rther, thc Custorner 

shall be provided a card that is 2.5 " x 3.5" which states: 

Any customer may request a dcterm~nation of a lsputr ~nvolvmg Ihe 

conduct of a game or any other matter involving The Casuio Nmras 

by submitting in writing, the details of your dispute to: 

Manager - Casino Alturas 

P 0 Box 340 

Alturas, California 961 0 1 

If the dctermmahon 1s stdl not satlsfacto~y, awntten statement of tlle 

dspute may be fomlardcd to the Alturas l'nbal Gaming Comm~ssion, 

at the foUowmg address 

Alturas Garnmg Commiss~on 

P 0 Box 310 

Nturas, Cahfomra 96101 

'171e dec~slon of the Gami~lg Corn~nlss~on wdl be Gnal 

3) Thc Custorner Concern Fonn shall be submitted to the Casino Manager, who shall 

revicw it and take whatcver corrective action he deems appropriate, and if' reasonably possible, the 

Casino Manager shall noti@ thc custonier of the action taken, and record whether the c~lstonler is 

satisfied or dissatisfied with the decision. 

4) If the Customer is dissatisfied with the decision of the Casino Manager, a written 

statenient of the dispute may be forwarded to thc Alturas Tribal Gaming Comnissioti. The 

Alturas Rancheria 

5 552.2(f) Procedures for Resolving Patron Disputes 

page 1 
Cotmiission shall review it and if a majority of the Comtnission believes that the decisiotl of the 

casino manager was not reasonable, the Cotnmissio~l shall take corrective action as it deems 

appropriate, as long as such action is othenvise in compliance with the Tribal Gaming Codc. 

a) If either the Casino Manager or the Gatning Conunission concludes that a 

customer should be deprived of winnings that hctshe alleges belong to 

Iiindhzr, the alleged winnings shall be withheld from the custonier, and the 

customer may seek a full hearing before tlie Alturas Tribal Craning 

Cottunission. Aftcr a hll hearing, tlie Conirnission shall dccidc whcthcr the 

winnings should be paid to tlic custonler. The Conmlission7s decision shall bc 

non-appealablc. 

b) 11' either the Casino Manager or the Gatning Conltnission concludes that a 

customer should be excluded froin gaming operations on Alturas Indian 

lands, the customer shall be so excluded and niay seek a fill1 hearing before 

the Alturas Tribal Gaming Commission. Afler a full hearing. the 

Cotnrnission shall decide whether the c~~stonlcr should bc pem~aricntly 

excluded. The Comnission's decision shall be non-appealable. 

c) In any action taken by the Conunission, otlicr than those set forth in a) and b) 

above, the decision of thc Alturas Tribal Gaming Commission shall bc final 

and nonappealble. 

5) All "Customer Concern 1;orrns" shall bc recorded and maintained by the gaming 

operation for a period of not lcss than three ycars. 

6) Nothing herein shall be interpreted to enable any gaming cmployce, or agent of tlie 

Tribe to take any corrective action that contravenes fcdcral or tribal law. 

Alturas Rancheria 

3 552.2(f) Procedures for Resolving Patron Disputes 

page 2 
DESIGNATION OF AGENT FOR SERVICE OF PROCESS 

The designated agent for the Alturas lndian Rancheria for service of process in 

matters relating to the National lndian Gaming Commission, as required for in 25 CFR § 

522.2(g), and referenced in 25 CFR § 51 9.1, of the regulations promulgated by the National 

lndian Gaming Commission, is 

Paul Del Rosa 

Alturas lndian Rancheia 

800 County Line Road #56 

Alturas, California 961 01 

If verbal or fax communication is required, Chairman Del Rosa can be reached by phone at 

530 233 5571, or by fax transmission at the same number. If the matter is an emergency, 

and Mr. Del Rosa cannot be reached, please contact the Tribe's general counsel for 

gaming issues, Mr. Scott Crowell at 425 828 9070.