Loren Bommelyn, Chahman 

Tolowa Dee-ni' Nation 

140 Rowdy Creek Rd. 

Smith River, CA 95567 

December 9, 2015 

RE: Tolowa Dee-ni' Nation Gaming Ordinance and Resolution No. 15-39. 

Dear Chairman Bommelyn: 

I am writing with respect to the Tolowa Dee-ni' Nation's October 6, 2015, Gaming 

Ordinance, which was received by the National Indian Gaming Commission f'NIGC") on 

October 13, 2015. The Gaming Ordinance was adopted by Resolution No. 15-39 of the 

Nation's Tribal Council. 

Thank you for providing the Nation's updated Gaming Ordinance for our review. 

The Gaming Ordinance establishes the Tolowa Dee-ni' Nation Gaming Commission and 

incorporates provisions required by recent changes to NIGC regulations. The Gaming 

Ordinance is approved as it is consistent with the requirements of the Indian Gaming 

Regulatory Act and NIGC regulations. 

If you have any questions concerning this letter, please contact Staff Attorney Austin 

Badger at (202) 632-7003. 

Sincerely, 

Jonodev 0. Chaudhuri 

Chairman 

cc: Laura Valley, Tribal Gaming Agency Director, Tolowa Dee-ni' Nation 

Anna S. Kimber, Esq. 

NEW MAILING ADDRESS: NIGC/C>EPARTMENT Of THE INTERIOR 1849 C Street NW, Mail Stop /I 1621 Washington, OC 20240 Tel: 202.632 7003 fox: 202.637..7066 

REGIONAL OFFICES Portland, OR; Sacramento. CA; Phoenix. AZ; St Poul, MN; Tulsa OK; Oklahoma City, OK 

WWW.NICC.COV 

Loren Mc'·lnsh·ne 

Bommd)'n 

Chairman 

Denise Padgette 

Vice Chairperson 

Scott D. Sullivan 

Council Secretary 

Dr. Joseph 

Giovsnnctti 

Treasurer 

Karo Brundin· 

Miller 

Council Member 

Jeri Lyun 

Thompson 

Council Member 

Marvin 

Rkhards,Sr 

Council Member 

Russ Crabtree 

Chll'f Executive 

Officer 

Tolowa Dee-ni' Nation 

(Fonnerly.known as Smith River Rtmclteria) 

140 Rowdy Creek Rd, Smith River, CA 95567-9525 

Ph: (707) 487-9255 Fax: (707) 487-0930 

R.ESOLUTION 15·39 

TOLOWA DEE-NI' NATION ADOPTION OF AMENDED GAMING ORDINANCE 

ADOPTED: October 6, 2015 

RESOLUTION SUMMARY: A resolution of the Tolowa Oee-ni' Nation Tribal Council, Smith 

River, California, adopting Tribal Code Title 3, Chapter 1, titled "Gaming Ordinance," as 

amended. 

Whereas, The Tolowa Dee-ni' Nation is a federally recognized Indian Tribe located in the 

Pacific Northwest and organized pursuant to the Constitution of the Tolowa Dee-ni' Nation that 

was duly adopted by the members of the Nation; and 

Whereas, The Tolowa Dee-ni' Nation Tribal Council is the duly elected governing body of the 

Nation with the Constitutional duties and responsibilities to preserve, protect, and promote the 

best interests of the Nation; and 

Whereas, on July 14, 2015 the Tribal Council authorized and approved Tribal Code Title 3, 

Chapter 1, Gaming Ordinance, and authorized its submission to the National Indian Gaming 

Commission {"NIGC") for review, to ensure the Ordinance conformed with the requirements of 

the Indian Gaming Regulatory Act ("IGRA"); and 

Whereas, Tribal Council has been informed by the NIGC that one modification of the Gaming 

Ordinance was necessary to conform with IGRA; now, therefore, be it 

Resolved, That the Tribal Council does hereby authorize and approved the Gaming 

Ordinance, as amended, based upon the directive of the National Indian Gaming Commission; 

and be it further 

Resolved, That the July 14, 2015 Gaming Ordinance previously submitted to the National 

Indian Gaming Commission be withdrawn from review; and be it further 

Resolved, That the Gaming Ordinance as amended on this date shall be submitted to the 

National Indian Gaming Commission for review and approval; and be it further 

Resolved, That the Tribal Council of the Tolowa Dee-ni' Nation does hereby adopt this 

resolution, and that the Chairperson and Secretary of the Tolowa Dee-nl' Nation Tribal Council 

are hereby authorized to sign this resolution and any and all other documents which are 

necessary to effectuate the intents and purposes of this resolution. 

x. 

Council 

Loren ~w.//<A-- Bommelyn 

Chairperson 

~ /o-7A5 

Scott D. Sullivan 

Council Secretary 

Waa-saa-gltit/11-'t1- Wee-11i Nua-d1 'aa-ghitlh-11i 

Our Heritage Is Why We Are Strong 

.. 

Tofowu Dee-11i' Na1io11 

CERTIFICATION 

J hereby certify that the foregoing resolution was adopted at a duly called and noticed meeting of the Tolowa 

Dee-ni' Nation Tribal Council held on the sixth day of October 2015 in Smith River, California, at which four 

Tribal Council members were present to constitute a quorum. by a vote of 3 For, O Opposed, 1 Abstentions 

and 3 Absent, and shall remain in full force and effect until rescinded. · 

Tfllowo De11·ni' /\"1tion 

R11s11/111io11 15-JY 

Adopttd Ocmber 6, .2015 

Stott D. Sullivan, Counc{ Secretary ? 

Waa-saa-ghitllt-'a- Wee-11i Naa-clt 'aa-ghitlh-11i 

Our Heritage bi Why We Are Strm1g 

Date 

tu/ s>/1 j 

Page 2 of 2 

TO LOW A DEE-NI' NATION 

GAMING ORDINANCE 
TABLEOFCONTENTETS 

ARTICLE I: GENERAL PROVISIONS .............................................................................. Page 1 

§ 1.0 Purpose ............................................................................................................. Page 1 

§2 .0 Findings and Declarations ............................................................................... Page 1 

§3.0 Definitions ........................................................................................................ Page J 

§4.0 Gaming Authorized .......................................................................................... Page 4 

§5.0 Ownership of Gaming ....................................................................................... Page 4 

§6.0 Use of Gaming Revenue .................................................................................. Page 5 

§7 .0 Indian Preference on Contracts ........................................................................ Page 5 

§8.0 Operation of the Gaming Facilities .................................................................. Page S 

ARTICLE II: TRIBAL GAMING COMMISSION .............................................................. Page 7 

§ J .O Establishment of the Tribal Gaming Commission ........................................... Page 7 

§2.0 Gaming Commissioners ................................................................................... Page 7 

§2.0 Commissioners Qualifications ......................................................................... Page 7 

§3.0 Disqualification for Service ............................................................................. Page 7 

§4.0 Background Investigations ............................................................................... Page 8 

§5.0 Standard of Professional Conduct .................................................................... Page 8 

§6.0 Compensation ................................................................................................... Page 8 

§7.0 Chairperson ...................................................................................................... Page 9 

§9.0 Meetings ........................................................................................................... Page 9 

§ 10.0 Reporting Responsibilities ............................................................................. Page 9 

§11.0 Removal from Office ...................................................................................... Page 9 

§ 12.0 Post-Commission Restrictions ....................................................................... Page 9 

§13.0 Conflicts oflnterests ....................................................................................... Page IO 

§ 14.0 Personnel and Administrative Policies ........................................................... Page I 0 

§15.0 Tribal Gaming Coounission Independence ................................................... Page 10 

§ 16.0 Tribal Gaming Commission Powers and Duties ............................................ Page I 0 

ARTICLE III GAMING LICENSES .................................................................................... Page 13 

§ 1.0 Licensing Policy Requirements ........................................................................ Page 13 

§2.0 Licensing Procedure ......................................................................................... Page 13 

§3.0 Gaming License is a Privilege .......................................................................... Page 14 

§4.0 Burden on the Applicant ................................................................................... Page 14 

§5.0 Release of lnfonnation ..................................................................................... Page 14 

§6.0 Persons Required to be Licensed ..................................................................... Page 14 

§7.0 Background Investigations ............................................................................... Page 15 

§8.0 Additional Background Information for Business Entities .............................. Page 16 

§9.0 Temporary Licenses ......................................................................................... Page 16 

§10.0 Application Fonn ........................................................................................... Page 17 

§ 11.0 Existing Licenses .......................................... , ................................................ Page 17 

§ 12 .0 State Gaming License .................................................................................... Page 17 

§13.0 Drug and/or Alcohol Testing ......................................................................... Page 17 

§14.0 License Investigations .................................................................................... Page 18 

§15.0 License Renewal ...................................................................................... Page 18 

§ 16.0 License Fees ................................................................................................... Page 18 

§ 17 .0 Fingerprints .................................................................................................... Page 18 

§ 18 .O Eligibility Determination ............................................................................... Page 18 

§ 19 .0 Investigative Repon and Notice of .Results ................................................. Page 18 

§20.0 Notice to NIGC of License Decisions, Retention Obligations ....................... Page 19 

§21 .0 Denial of Gaming License Applications ........................................................ Page 20 

§22.0 Standards ........................................................................................................ Page 20 

§23.0 License Suspension ........................................................................................ Page 20 

§24.0 Hearings ......................................................................................................... Page 20 

Gaming Ordinance 
TABLE OF CONTENTETS 

ARTICLE IV ENFORCEMENT ACTIONS ........................................................................ Page 21 

§ 1.0 Investigation Process ........................................................................................ Page 21 

§2.0 Investigating Reports of Cheating .................................................................... Page 21 

§3.0 Exclusion or Ejection of Individuals from the Gaming FaciJity ...................... Page 21 

§4.0 Exclusion List. .................................................................................................. Page 21 

§5.0 Enforcement Actions ........................................................................................ Page 21 

§6.0 Enforcement Process ........................................................................................ Page 22 

§7.0 Civil Penalties .................................................................................................. Page 23 

ARTICLE V MISCELLANEOUS PROVISIONS ............................................................... Page 23 

§1.0 Effect ofCompact. ........................................................................................... Page23 

§2.0 National Indian Gaming Commission-Regulations ......................................... Page 23 

§3.0 National Indian Gaming Commission-Assessment. ......................................... Page 23 

§4.0 Compact with the State of California ............................................................... Page 23 

§4.0 Notice ................................................................................................................ Page 24 

§S.O Sovereign Immunity ......................................................................................... Page 24 

§6.0 Consent to Jurisdiction ......... .-........................................................................... Page 24 

§7.0 Agent for Service ...................... : ....................................................................... Page 24 

§ 8 .0 Anlendments ....... : ............................................................................................. Page 24 

§9.0 Repeal. .............................................................................................................. Page 24 

§ 10.0 Effective Date ................................................................................................. Page 24 

Gaming Ordinance 
TOLOWA DEE-Nr NATION 

GAMING ORDINANCE 

ARTICLE I: GENERAL PROVISIONS 

This Tribal Gaming Ordinance, initially enacted by the Tolowa Dee-ni' Nation (formerly known 

as the Smith River Rancheria) in 1994, and thereafter amended on May 30, 1995, February 23, 

1999, and September 20, 2000, is hereby amended and restated in it is entirety to read as follows: 

§1.0 Purpose The Tolowa Dee-ni' Nation, acting through its Tribal Council (hereafter the 

"Tribe"), pursuant to the Tribe's inherent authority and the authority identified within the Tribe's 

Constitution to enact Ordinances, hereby adopts this Gaming Ordinance for the purpose of 

establishing the Tolowa Dee-ni' Nation Gaming Commission, who shall be authorized to 

regulate all gaming activities on the Tribe's Indian ·lands. 

§2.0 Findings and Declarations 

2.01 Gaming on the Rancheria provides economic development opportunities and a source of 

revenue for the Tolowe. DeeMni' Nation and its members that are needed to promote economic 

self-sufficiency, employment, job training, Tribal Government, and to fund and ensure essential 

social programs and services; and 

2.02 It is in the best interest of the Tolowa De~ni ' Nation and its members to regulate and 

control gaming in a manner that will protect the environment, the Tribe, its members and persons 

living or passing through the Rancheria, 

2.03 Therefore, the Tribal Council adopts this Ordinance to protect and promote the political 

integrity, economic security, health, safety and welfare of the Tribe, its members and persons 

living or pa$sing through the Totowa Dee-ni' Nation. 

§3.0 Definitions Unless specified otherwise, tenns used herein shall have the same meaning 

as in and effect as those same tenns are defined in the Indian Gaming Regulatory Act ("IGRA "), 

25 U.S.C. §§2701 et seq., the National Indian Gaming Commission ("NIGC'') regulations, 25 

C.F.R. §§500 et seq., and the Tribal-State Gaming Compact ("Compact") between the Tribe and 

the State of California, including but not limited to references to "Class II," and "Class III" 

gaming. 

3.01 "Applicable Law" means IGRA and regulations promulgated thereunder, the 

Compact, this Gaming Act, and all other applicable laws and regulations promulgated under 

State, Federal, and Tribal Jaw. 

3.02 "Applkant" means an individual or entity that applies for a tribal gaming license. 

3.03 .. Association" means the association of tribal and state gaming regulators as 

established under the Compact. 

Gaming Ordinance 

As Amended October 6, 2015 

Pagel 
3.04 "Commissioner" means a member of the Tolowa Dee-ni' Nation Tribal Gaming 

Commission ( .. TGC"). 

3.05 "Compact" means any Tribal-State Gaming Compact, including amendments 

thereto, entered into by the Tribe pursuant to IGRA to govern the conduct of certain Class III 

gaming activities on Tribal Lands. 

3.06 "Financial Source" means any person extending financing, directly or indirectly, to 

the Tribe's Gaming Faci1ity or Gaming Operation. 

3.06 "Gaming Ordinance'' means the Smith River Gaming Ordinance, as amended. 

3.08 "Gaming Activities" means any Class II, or Class III gaming activity authorized 

under this Gaming Ordinance or under the jurisdiction of the Tribe. 

3.09 "Gaming Employee" means any person who: (a) operates, maintains, repairs, assists 

in any Gaming Activity, or is in any way responsible for supervising such Gaming Activities, 

including persons who conduct, operate, account for, or supervise any such Gaming Activity; (b) 

is in a category under federal Jaw, the Compact, or tribal gaming law requiring licensing; (c) is 

an employee of the TGA or of the Gaming Operation with access to confidential or proprietary 

information; ( d) is a person whose routine employment duties require or authorize access to areas 

of the Gaming Facility that are not accessible to the public; or (e) is a person whose routine 

employment duties require or authorize access to confidentiaJ or proprietary information 

regarding the Gaming Facility where such person may have the ability to alter or manipulate 

such information for illicit or unauthorized purposes. 

3.10 "Gaming Enterprise" or "Gaming Operation" means any gaming business, event, 

enterprise or activity conducted by or under the jurisdiction of the Tribe. 

3.11 "Gaming Facillty" means any building in which Class Ill gaming activities or 

gaming operations occur, or in which the business records, receipts, or other funds of the Class 

III gaming operation are maintained (but excluding offsite facilities primariJy dedicated to 

storage of those records, and financiaJ institutions), and all rooms, buildings, and areas, including 

parking lots and walkways, a principal purpose of which is to serve the activities of the Tribe's 

Gaming Operation. Nothing in this Gaming Ordinance prevents the conduct of Class II gaming 

(as defined under IGRA) in the Gaming Facility. 

3.12 "Gaming Resources" means any goods or services provided to or used in connection 

with Gaming Activities, whether exclusively or otherwise, including, but not limited to, 

equipment, furniture, gambling devices and ancillary equipment, implements of Gaming 

Activities such as playing cards and dice, :furniture designed primarily for Gaming Activities, 

maintenance or security equipment and services, gaming consulting services, and the like. The 

tenn shaJI not include professional accounting or legal services. 

3.13 "Gaming Resource Supplier'' or "G.aming Contractor'' means any person or entity 

who, directly or indirectly, manufactures, distributes, supplies, vends, leases, or otherwise 

Gaming Ordinance 

As Amended October 6, 20 t 5 

Page2 
purveys Gaming Resources to the Tribe's Gaming Operation, Gaming Enterprise, or Gaming 

Facility. The TGA may exclude a purveyor of equipment or furniture that is not specifically 

designed for, and is distributed generally for use other than in connection with Gaming 

Activities, if the purveyor is not otherwise a Gaming Resource Supplier under the Compact, and 

the compensation received by the purveyor is not grossly disproportionate to the value of the 

goods or services provided, and the purveyor is not otherwise a person who exercises a 

significant influence over the Gaming Operation. 

3.14 "IGRA" means the Indian Gaming Regulatory Act, 25 U.S.C. §2701 et seq. 

3.15 "Key Employee" means a person who performs one or more of the following 

functions: bingo caller; counting room supervisor; chief of security; custodian of gaming 

supplies or cash; floor manager; pit boss; dealer; croupier; approver of credit; or custodian of 

gaming devices, including those persons with access to cash and accounting records within such 

devices. If not otherwise included, any other person whose total cash compensation is in excess 

of$SO,OOO per year, and the four most highly compensated persons in the Gaming Operation, are 

included in the definition of Key Employee. Key Employee shall also include any employee 

oonsidered o Key Employee under criteria established by the State and the Tribe under the 

Compact, as well as any person whose employment duties require or authorize access to 

confidential or proprietary infonnation regarding the Gaming Facility where such person may 

have the ability to alter or manipulate such information for illicit or unauthorized purposes. At 

the discretion of the TGA, other positions or persons may be included under the definition of 

Key Employee and are subject to the requirements thereof. 

3.16 "Licensee" means any Person who has been issued a valid and current gaming 

license pursuant to the provisions of this Ordinance. 

3.17 "National Indian Gaming Commission,. or 14NIGC" means the federal gaming 

commission established under IGRA. 

3.18 "Net Revenues" means the gross revenues of any Gaming Activity less amounts paid 

out as prizes, winnings and total gaming-related operating expenses and non-operating expenses 

consistent with professional accounting pronouncements, excluding management fees. 

3.19 "Patron" means an individual who uses the services of the Tribe's Gaming 

Operation. 

3.20 "Person" means any natural person or entity, including but not limited to 

corporations, partnerships and trusts. 

3.21 "Primary Management Official" means the person who has management 

responsibility for a management contract; any person who has authority to hire and fire 

employees; to set up working policy for the Gaming Operation; or the chief financial officer or 

other person who has financial management responsibility. At the discretion of the TOA, other 

positions or persons may be included under and be subject to the requirements for Primary 

Management Officials. 

Gaming Ordinance 

As Amended October 6, 2015 

Page3 
3.22 "Raocheria" or "Tribal Lands" means all lands under the jurisdiction and control of 

the Tribe, including those lands that satisfy the definition of 4'Jndian lands" as set forth in IGRA. 

3.23 "State" means the State of California. 

3.24 "State Gaming Agency" means the entity authorized to investigate, approve, and 

regulate Class III gaming licenses pursuant to the Gambling Control Act {Chapter 5, 

commencing wjth section 19800, of Division 8 of the Business and Professions Code). If the 

State faiJs, under a Compact provision, to designate an agency authorized to investigate, approve, 

and regulate gaming licenses, any function otherwise assigned to the State Gaming Agency shall 

be asswned by the TOC until such time as the State establishes and designates such an agency. 

3.25 "Tribal Council" means the Tribal CounciJ of the Totowa Dee-ni' Nation. 

3.26 "Tribal Court" means any court or forum estabJished by the Tribe to hear disputes. 

3.27 "Tribal Gaming Commission" ("TGC") means the tribal governmental agency 

established by the Tribe under this Gaming Ordinance to monitor Gaming Activities, investigate 

wrongdoing, conduct background investigations, issue licenses, and perfonn other duties as 

required for the regulation of gaming on the Reservation. 

3.28 "Tribe" means the Smith River Rancheria. 

3.29 "Union" or "Labor Organization" means any organization of any kind, or any 

agency or employee representation committee or plan, in which emp1oyees participate and which 

exists for the purpose, in whole or in part, of dealing with employers concerning grievances, 

labor disputes, wages, rates of pay, hours of employment, or conditions of work. 

§4.0 Gaming Authorized 

4.01 Class 11 and Class Ill gaming as defined in the Indian Gaming Regulatory Act, 25 U.S.C. 

Section 2701 et seq. ("IGRA"), and any regulations of the National Indian Gaming Association 

("NIGC") promulgated thereunder, are hereby authorized. 

4.02 Class III gaming shall be conducted in accordance with any Tribal-State Gaming 

Compact between the Tribe and the State of California. 

4.03 All other Gaming Activities on Tribal Lands are prohibited except as expressly pennitted 

under this Gaming Ordinance. 

§5.0 Ownership of Gaming 

S.01 The Tribe shal1 have the sole proprietary interest in and responsibility for the conduct of 

any gaming operation faci1ities and/or enterprise{s) authorized by this Ordinance. 

5.02 The Tribe may, in accordance with IGRA, enter into a management contract for 

maintenance, operation and management of any gaming operation on such tenns and under such 

Gaming Ordinance 

As Amended October 6, 2015 

Page4 
conditions as the Tribal Council has detennined to be fair and reasonable and in the best interest 

of the Tribe. 

S.03 No elected official of the Tribe, any Commissioner, or any member of any other 

committee or Commission of the Tribe shaJl have a financial interest in or management 

responsibility for any management agreement entered into pursuant to the IGRA. Further, none 

of the above named individuals shall serve on the board of directors or hold (directly or 

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

ten percent (10%) or more of the beneficial interest in any partnership, trust, or other entity, in 

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

management responsibility for, such contract. 

§6.0 Use of Gaming Revenue 

6.01 Net Revenues for any Gaming Activities shall be used only for the following purposes: 

to fund tribal government operations and programs; to provide for the general welfare of the 

Tribe and its members; to promote tribal economic development; to donate to charitable 

organizations; or to help fund operations of local government agencies. 

6.02 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 of the Interior under 25 U.S.C. 

Section 2710(b)(3). 

§7.0 Indian Preference in Contracts 

7.0 The management of the Gaming Facility, any management and inveshnent gaming 

contracts or other gaming contracts for the construction and operation of the Gaming Facility or 

activity must adhere to the provisions of the Tribe's Employment Rights' Ordinance ("TERO")~ 

§8.0 Operation of the Gaming Facilities 

8.01 Protection of the Environment and Public Health and Safety All Gaming Facilities 

shall be constructed, maintained and operated in a manner that adequately protections the 

environment and public health and safety. 

8.02 Facility Licensing In order to ensure the protection of the environment and public health 

and safety, and to ensure that Gaming Activities are only conducted the within a tribally owned 

and operated Gaming Facility, the Gaming Commission shall issue a separate license to each 

place, facility or location where Gaming Activities are conducted under this Ordinance. · 

8.03 Inspection Before Gaming Activities can be conducted in any Gaming Facility, the 

Gaming Commission shall inspect and license each Gaming Facility in accordance with this 

Gaming Ordinance, the Compact and any other applicable law. The Gaming Commission shall 

also determine and certify that the Gaming Facility and any new Gaming Facility construction 

meets the Tribe's building and safety codes, and any applicable federal or Compact 

requirements, and shall issue a certificate of occupancy to the Gaming Facility as required under 

the Compact. Inspections shaJI be conducted by qualified building and safety experts at the 

direction of the TGC. The certificate shall be posted in a conspicuous and public place at the 

Gaming Ordinance 

As Amended October 6, 2015 

Pages 
Gaming Facility. The issuance of the certificate shall be reviewed for continuing compliance a 

minimum of every two years thereafter. 

8.04 Notice to the State The Gaming Commission shalJ give reasonable notice of each 

inspection to the State's designated agent or agents who may accompany any such inspection. 

The TGC and the State's 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 

the Tribe's Chairperson. 

9.0 Patron Dispute Resolution 

Patrons who have personal injury or property damage complaints against the Gaming FaciJity or 

Gaming Operation ("Patron Tort Claims") shall have the right to remedies provided in the 

Tribe's Tort Ordinance. Patrons who have complaints arising from their participation in Gaming 

Activities at the Gaming Facility ("Patron Gaming Claims") shaU have the right to remedies as 

provided in the TGC policies and procedures. 

10.0 Minimum Age Requirements 

10.01 If the Tribe pennits the consumption of alcoholic beverages in the Gaming Facility, no 

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

gaming activities are being conducted, and in which alcohoJic beverages may be consumed, to 

the extent required by the California Department of Alcoholic Beverage Control. 

10.02 If alcohol consumption is not prohibited, no person under the age of eighteen {18) years 

shall be pennitted in any area where Gaming Activities are being conducted, unless the person is 

en-route to a non-gaming area of the Gaming Facility. 

11.0 Firearms Prohibition 

Possession of firearms shall be prohibited at all times within the Gaming Facility, except for 

fireanns in the possession by state, local or tribal law enforcement personnel or tribal security 

authorized by federal, state or tribal law to possess firearms at the Gaming Facility. 

12.0 Tribal Minimum Internal Control Standards 

12.01 Applicable Standards The Gaming Facility shall fonnally adopt Tribal Minimum 

Internal Control Standards ("MICS") that shall be applicable to the Tribe's gaming operation. 

Tribal MICS shalJ: 

(1) Provide a level of control that equals or exceeds those set forth in 25 CFR Parts 

542 (as in effect on October 10, 2008, or as may be amended), 543 and54 7; 

(2) Contain standards for currency transaction reporting that comply with 31 CFR 

Part 103; and 

(3) Establish internal control standards for Class II and III games that are not 

addressed in the MICS, if any. 

12.02 Annual CPA Testing of Compliance In order to verify that the gaming operation is in 

compliance with the Tribal MICS adopted pursuant to the Section above, an independent 

certified public accountant ("CPA") shall be engaged annually to perform "Agreed-Upon 

Procedures. 't. 

Gaming Ordinance 

As Amended October 6, 2015 

Page6 
12.03 Complian(e The Tribal Gaming Commission shal1 monitor and enforce compliance with 

the internal control standards adopted pursuant to this Section. 

ARTICLE II: TRIBAL GAMING COMMISSION 

§1.0 Establishment of the Tribal Gami.ng Commission 

The Tribe hereby establishes the Tolowa Dee-ni' Nation Tribal Gaming Commission ("TGC"). 

The TGC shall function as an independent tribal entity responsible for the regulation of all 

gaming activities on tribal lands. 

§2.0 Gaming Commissioners / 

The TGC shall consist of no less than three (3) Commissioners. Gaming Commissioners shall be 

hired by the Tribal Council, and shall be full time employees. Vacancies shall be filled by the 

Tribal Council. Gaming Commissioners must report to the Tribal Council when requested to do 

so by the Tribal Council 

§2.0 Commissioner Qualifications 

2.01 Gaming Commissions must be at least twenty-five (25) years of age, be a U.S. citizen, 

and have experience in one or more of the following fields: accounting, law, gaming o~ations, 

gaming management, gaming regulation, law enforcement or public administration. 

2.02 The Gaming Commissioners may not be an elected officiaJ of the Tribe, employed in the 

Gaming Operating, gaming contractors (including any principal of a management, or other 

contracting company), or directly re]ated to, or sharing a residence with, any of the above. 

Gaming Commissioners may hold other non-elected tribal positions and engage in business; 

provided, however, that Commissioners shall not engage in any business that is subject to the 

provisions of this Ordinance. 

2.03 All Gaming Commissioners shall be licensed, and background investigations of each 

Gaming Commissioner shall be conducted by an independent investigator or an investigator 

appointed by the TGC under the direction of the Tribal Council. 

2.04 Gaming Commissioners are subject to the drug and alcohol policy of the Tribe. 

§3.0 Disqualification for Service 

3.01 No Gaming Commissioner may be employed in the management of the Tribe's Gaming 

Facility 

3.02 Gaming Commissioners must meet the licensing standards otherwise applicable to 

applicants for a Tribal gaming license. 

3.03 Gaming Commissioners shall not participate in any Gaming Activity offered by the Tribe 

in its Gaming Facility 

Gaming Ordinance 

As Amended October 6, 2015 

Page? 
3.04 Gaming Commissioners shall not solicit or accept employment from any person or entity 

licensed by the TGC during their employment, provided however that this restriction shall not 

appJy to persons or entities licensed to provide non-gaming goods or services. 

3.05 During their employment, Gaming Commissioners shalI not own any securities of, or any 

ownership interest whatsoever in, any entity licensed by the TGC, provided, however, that this 

restriction shall not apply to publicly held corporations if the ownership therein is Jess than 5%. 

§4.0 Bac.kground lnvestigadons 

4.01 Background investigations of each Gaming Commissioner shalJ be conducted by an 

independent investigator or an investigator appointed by the Tribal Council under the direction 

of the Tribal Council, and if deemed necessary. the Tribe's attorney. The investigator shall 

conduct an investigation sufficient to make a determination of eligibility as required under this 

Act and other applicable law. This shall include verification of infonnation submitted by the 

applicant. In conducting the background investigation, the investigator shall maintain as 

confidential the identity of each person interviewed in the course of the investigation. The 

investigator shall document all potential problem areas noted and any disqualifying information. 

The investigator shalt keep the details of the investigation confidential, but the Tribe's attorney 

may confer with the investigator or any other person experienced in conducting or evaluating 

background investigations provided such other person agrees to maintain the confidentiality of 

the infonnation obtained about the applicant. 

4.02 Upon completion of the independent investigation the, Tribal CounciJ, in consultation 

with the Tribe's attorney shall make a detennination as to whether the suitability standards 

contained within this Gaming Ordinance have been met. 

4.03 Background investigations of alt TGC employees that are not conducted by an 

independent or appointed investigator as provided for above shall be conducted by the 

appropriate TGC staff as directed by the TGC, unless otherwise provided for by the TGC. 

§5.0 Standard of Professional Conduct 

Each Commissioner shall abide by the foJlowing standard of professional conduct: 

confidentiality, impartiality, fairness, and commitment to upholding the reputation of the Tribe 

for conducting Gaming Activities of the highest integrity and honesty. 

§6.0 Compensation 

The salaries for Commissioners shall be approved by the Tribal Council as part of the annual 

budget. Commissioners shall be reimbursed for expenses incurred in connection with the 

perfonnance of their duties as Commissioners and in accordance with the budget. Policies with 

respect to reimbursement of expenses shall be the same as those applicable to other Tribal 

government employees. Any Commissioner employed on a fulJ-time basis shall be eligible for 

the same fringe benefits as such other full-time Tribal government employees. 

Gaming Ordinance 

As Amended October 6, 2015 

Page8 
§7.0 Chairperson 

The Tribal Gaming Commission Director shall be responsible for managing, supervising and 

overseeing the daily activities of the Commission its employees. The Gaming Commission 

Director shall report directly to the Tribal Council. 

§9.0 Meetings 

9.01 The TGC may adopt such rules and regulations for the conduct of their meetings and the 

management of the TGC as they may deem proper. 

9.02 A quorum shall consist of two (2) Commissioners if there. are three (3) Commissioners 

total serving on the TGC. If more than three (3) Commissioners are serving on the TGC, then 

two-thirds of the Commissioners shall constitute a quorum. 

9.03 TGC meetings may be held in closed sessions for good cause, including the protection of 

the privacy of persons, personnel matters, licensing determinations, review of background 

investigations, hearings on complaints against individuals, consideration of whether to include an 

individual on the Exclusions list. 

§10.0 Reporting Responsibilities 

10.01 The TGC shall make at least one report a month to the Tribal Council which shall include 

a summary of the TGC activities, including aJl licensing and enforcement actions for the 

preceding month. 

10.02 The TGC shall provide to the Tribal Council annually all finance and compliance audits 

performed pursuant to this Ordinance. A summary of these annual reports will be presented at 

the annual General Membership meeting. 

10.03 The TGC shall conduct or cause to be conducted an annual independent CPA audit of the 

gaming operation, which shall include all gaming related contracts that result in purchases of 

. supplies. services, or concessions for more than $25,000 in any year (except contracts for 

professional legal or accounting services), with the results of those audits submitted to the NIGC. 

§11.0 Removal from Office 

Commissioners may only be removed from office by the Tribal Council for neglect of duty, 

malfeasance or other good cause shown (collectively referred to as "good cause'~). Upon receipt 

of an allegation of an act or omission that constitutes good cause, the Tribal Council may 

suspend, with or without pay at its own discretion, a Gaming Commissioner from office for no 

more than 60 days pending a full investigation of misconduct. At the expiration of the 

suspension period, the suspension shall be lifted upon a determination that no cause exists for 

removal under this Gaming Ordinance, or, upon a finding of misconduct, the Tribal Council shall 

discipline the Commissioner as appropriate, up to and including removal from office. 

§12.0 Post-Commission Restrictions 

Gaming Commissioners and TGC employees shall be precluded from consulting or employment 

in any position with the Tribe's Gaming Enterprise for a period of no less than two (2) years 

Gaming Ordinance 

As Amended October 6, 2015 

Page9 
from their date of tennination at the TGC. This prohibition may be waived by the Tribal 

Council. 

§13.0 Conflkts of Interests 

If any Commissioner has a conflict of interest in investigating, hearing or: deciding a matter to 

come before the TGC, the Commissioner shall have a duty to disclose such conflict and shall 

recuse themselves from that matter. 

§14.0 Personnel and Administrative Policies 

The TGC shall be deemed to be an agency of the Tribal government and as such shall be subject 

to the personne] and other governmental administrative policies of the Tribal government, as the 

Tribal Council shall determine from time to time. In the absence of specific personnel policies, 

those affecting management leve] employees of the Gaming Enterprise shalJ be applied to the 

operation of the TGC. The Tribal Council shall, in good faith, consider and approve any 

exceptions necessary to tailor such policies to the TGC. All Commissioners and Commission 

employees shall strictly abide by the TGC oaths of confidentiality and professionalism in the 

discharge of their duties. 

§15.0 Tribal Gaming Commission Independence 

Notwithstanding the fact that the TGC is a Tribal governmental agency and is accountable to the 

Tribal Council for its administration, in order to maintain independence and ensure the highest 

level of integrity, the Tribal Council shall not interfere with TGC business or compromise the 

TGC's ability to perform its duties and responsibiJities as provided for in this Ordinance. The 

decisions of the TGC regarding licensing, suitability and compliance with Applicable Law shall 

be within the exclusive province of the TGC, except that the Tribal Council may review any 

allegation that ·the TGC has exceeded its authority under this Gaming Ordinance, or a Gaming 

Commissioner has violated his or her duties under this Ordinance. If, upon r.eview, Tribal 

Council deems the allegations to be true, it shall take any action necessary, which may include 

reversal of a TGC decision, or removal of a Commissioner for cause. 

§16.0 Tribal Gaming Commission Powers and Duties 

The TGC shaJI have the power, duty, and primary responsibility to carry out and enforce the 

Tribe's regulatory responsibilities under federal and tribal Jaw and any applicable provision of 

the Compact in effect, to protect the integrity of the Gaming Activities and the Gaming 

Operation. The TGC shall: 

16.01 Conduct on-site gaming regulation and control; inspect, test. audit, examine, and 

monitor the Gaming Facility and Gaming Activities, including internal control systems; prepare 

reports and monitor compliance, including the authority to demand access to and inspect, 

examine, photocopy and audit all papers, books and records related to the Gaming Facility or 

Gaming Activities; 

16.02 Investigate any suspicion of wrongdoing in connection with the Gaming Facility or 

Gaming Operation, or related to any Gaming Activity or Jicensee, including potential licensing 

or internal control violations, or interference with TGC operations, and require correction of 

violations as the TGC deems necessary, including establishing and imposing fines or other 

Gaming Ordinance 

As Amended October 6, 2015 

Page 10 
sanctions _against licensees or other persons who interfere with or violate the Tribe's gaming 

regulatory requirements under applicable federal or tribal law or the Compact, and provide 

notification to applicable regulatory authorities as deemed necessary fur violations not corrected 

in a timely manner; 

16.03 Conduct, or cause to be conducted, such h:westigations as may be necessary to 

detennine compliance with applicable laws, including this Gaming Ordinance, or any oontracts, 

agreements, goods, services, events, incidents, or other matters related to Gaming Activities; 

16.04 ·Conduct, or cause to be conducted, background investigations regarding any person 

or entity in any way connected with any Gaming Activity and/or the Gaming Operation, and 

issue licenses and identification badges to, at minimum, all Key Employees, Primary 

Management Officials, and Gaming Resource Suppliers according to requirements at least as 

stringent as those established in 25 C.F.R. Parts 556 and 558; provided no Commissioner shall 

provide any personal endorsement, recommendation or other support fur an Applicant; 

16.05 Administer oaths or affirmations to witnesses appearing before the TGC; hold 

hearings, sit and act at such times and places, summon persons on Tribal Lands to attend and 

testify at such hearings, take testimony, and receive such evidence as the TGC deems relevant to 

fulfill its duties; 

16.06 Execute agreements necessary to receive comprehensive criminal history and other 

background investigation infonnation from other jurisdictions and sources; 

16.07 Implement and administer a system for investigating, licensing (including license 

issuance, renewal, denial, and revocation), and monitoring the Gaming Facility, employees, 

Gaming Contractors, vendors, suppliers, investors, and others connected with Gaming Activities, 

as described below, including the licensing of Gaming Facilities, individuals and entities as 

required under this Gaming Ordinance, IGRA, or any applicable Compact; 

16.08 Ensure, monitor, and direct inspections of the Gaming Facilities by qualified building 

and safety experts in order to comply with the Tribe's building and safety codes; provide reports 

as requested to the Tribal Council and, if applicable, the State; review reports; and issue a 

certificate of occupancy to the Gaming Facility; 

16.09 Provide a copy of each Gaming Facility license and renewals thereof to the NIGC, 

including, at minimum: the Tribe•s name; name and address of the Gaming Facilities; types of 

gaming allowed; effective date of each license; the signature of the tribal official responsible for 

issuing the license; and the name and phone number of the TGC; 

16.10 Hear and resolve disputes against the Gaming Facility or Gaming Operation, in 

accordance with procedures established in this Gaming Ordinance, consistent·with the Compact 

and any other Ordinances, policies or procedures; 

16.11 Hire staff and support services as deemed necessary, subject to the TGC budget 

approved by the Tribal Council; 

Gaming Ordinance 

As Amended October 6, 201 S 

Page 11 
16.12 To the extent required, comply with any reporting requirements established under this 

Gaming Ordinance, the Compact, IGRA and regulations promulgated thereunder, and other 

applicable law; 

16.13 Develop necessary documentation and protocols, and establish joint cooperative 

working relationships with federal, state, and local jurisdictions as necessary to assist in ensuring 

the effective regulation of the Tribe's Gaming Activities; 

16.14 Implement appropriate rules, regulations, and procedures to ensure the effective 

enforcement of the provisions of this Gaming Ordinance, including but not limited to: 

(I) Protect the physical safety of gaming patrons, employees, and others in the 

Gaming Facility; 

(2) Ensure the physical safeguarding of assets transported to, within, and from the 

Gaming Facility. 

16.15 Prevent illegal activity in the Gaming Facility or Gaming Operation through: 

(I) Maintenance of employee procedures and a surveillance system in accordance 

with industry standards; 

(2) Maintenance of detailed and pennanent records of all occurrences and incidents in 

the Gaming Facility that deviate from normal operating policies and procedures; 

(3) Establishment of employee procedures to detect theft, cheating and fraud; 

(4) Development of an exclusion policy that includes a right to a hearing and requires 

maintenance of a list of persons barred from the Gaming Facility. 

16.16 Conduct or cause to be conducted an annual independent CPA audit of the gaming 

operation in accordance with Section I 0.03 of this Article; 

16.17 Approval of all game rules and regulations; 

16.18 Establish and impose license fees. sanctions, fines, and conditions as appropriate under 

applicable Jaw; 

16.19 Investigate and ensure compliance with any requirements for tribal owriership, 

management, and control of the Gaming Facility and Gaming Operation, as set forth in 

applicable law; 

16.20 Investigate and ensure compliance with age restrictions for patrons including provisions 

prohibiting minors in the Gaming Facility and age limits on service of alcoholic beverages as 

provided under applicable law; 

16.21 Carry out any requirements under Tribal or federal law or the Compact for the 

protection of the health and safety of Gaming Facility patrons, guests, and employees, including 

requirements that the Gaming Facility meets building and safety codes duly adopted by the 

Tribe; and 

Gaming Ordinance 

As Amended October 6, 201 S 

Page 12 
16.22 Approval of Gaming Facility floor plans, closed.circuit television system, and cashier's 

cage, minimum staffing and supervisory requirements, and technical standards for gaming device 

operations; 

16.23 Ensure gaming devices are not transported to or from the Tribal Lands except in 

accordance with procedures established by an agreement between the TGC and the State Gaming 

Agency. The agreement shall require at least ten (10) days-notice to the county sheriff, and 

transportation only to specific destinations for specific purposes as established in the agreement 

and the Compact; 

16.24 Promulgate rules governing the conduct of each Class II or Class III game allowed under 

this Gaming Ordinance. 

16.25 Comply with a Tribal conflict of interest policy to ensure that Commissioners are free 

from corruption, undue influence, compromise, and conflicting interests in the conduct of their 

business. · 

16.26 Monitor and ensure compliance with Tribal Minimum Internal Control Standards 

("MICS"); 

16.27 Verify the Gaming Operation is in compliance with the Tribal Minimwn Internal Control 

Standards adopted by engaging an independent certified public accountant to perform "AgreedUpon Procedures;" 

16.28 Carry out such other duties with respect to the regulation of Gaming Activities on Tribal 

Lands as required under Applicable Law, including this Gaming Ordinance, JGRA, and the 

Compact; 

16.29 Carry out such other duties as assigned by the Tribal Council of the Tribe, provided that 

any additionally assigned duties shall not conflict with TGC's duties and obligations pursuant to 

this Ordinance or any applicable law. Such assignments shall be made through appropriate 

policy or procedure in order to capitalize upon certain expertise of the TGC. 

16.30 Any attempt to prevent or obstruct the exercise of any of the Commission's powers 

pursuant to this Ordinance shall constitute a violation of this Ordinance. 

ARTICLE III GAMING LICENSES 

§1.0 Licensing Polley and Requirements It is the policy of the Tribe that a11 Gaming 

Activities be licensed and controlled so as to protect the morals, good order and welfare of tribal 

members and other persons on Tribal Lands, and to preserve the honesty, fairness and integrity 

of such Gaming Activities. Accordingly, no person shall engage in any Class II or Class IJI 

Gaming Activities on Tribal Lands without a valid license issued by the TGC. 

§2.0 Licensing Procedure The Tribe's Gaming Licensing procedure shall be administered 

through the TGC. The program shall be an investigative licensing process under which all 

Gaming Ordinance 

As Amended October 6, 2015 

Page 13 
applicants for gaming license are evaluated against the standards set forth in, and subject to, the 

following applicable laws: 

(1) This Gaming Ordinance, and any gaming regulations promulgated thereunder; 

(2) The Indian Gaming Regulatory Act and any applicable regulations published by the 

National Indian Gaming Commission; 

(3) Any applicable Compact requirements; and 

(4) Any other applicable tribal, federal or state laws. 

§3.0 Gaming License is a Privilege A11y gaming license or finding of suitability issued by the 

TGC shall be deemed a privilege, and is subject to suspension or revocation at any time. No 

license or license renewal shall be issued that would place the Tribe in violation of any 

applicable law. A gaming license or finding of suitability is subject to renewal at least every two 

(2) years. 

§4.0 Burden on the Applicant The burden of proving an applicant's qualifications to receive a 

license hereunder is at all times on the applicant. Applicants must accept any risk of adverse 

public notice, embarrassment or other action that may result from the application process and 

expressly waive any claim for damages as a result thereof. 

§5.0 Release of Information Persons applying for a license shall agree to release all 

information necessary in order for the TGC and any applicable federal or state entity to complete 

their suitability determination. Applicants must update all such information promptly on an 

on-going basis, and to furnish such information as may be required by the State Gaming Agency, 

or any other governmental agency as may be required by law 

§6.0 Persons Required to be Licensed The foJlowing persons and entities are required to be 

licensed by the Gaming Commission, and as a basis for issuing a license, the Gaming 

Commission must conduct, or cause to be conducted, a background investigation, in accordance 

with the requirements of this Article, of those persons listed, below: 

(1} All gaming employees, including Key Employees and Primary Management Officials, 

employed within the Tribe's Gaming Enterprise, and the Tribal Gaming Commission; 

(2) A Gaming Resource Supplier or contractor who, directly or indirectlyt provides, has 

provided, or is deemed likely to provide, at least twenty-five thousand dollars ($25,000) 

in resources or labor annually. All other Gaming Resource Suppliers, as well as NonGaming Resource Suppliers who directly or indirectly provides, has provided, or is 

deemed likely to provide at least twenty-five thousand dollars ($25,000) in resources or 

labor annually, shall be licensed at the discretion of the Commission. 

(3) Financial Sources as defined by this Ordinance; provided the Commission shall have the 

discretion to not require a license for Financial Sources that provides financing by a 

federally regulated or state-regulated bank, savings and loan, or other federally-or stateregulated lending institutions; 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. 

Gaming Ordinance 

As Amended October 6, 2015 

Page 14 
(4) Unions or Labor Organizations, including its management and representatives, seeking to 

represent any Gaming Employees must first apply for and be deemed suitable to obtain a 

license under standards and licensing requirements established by the TGC. 

In addition, the TGC may require persons who are to be employed at a Gaming Facility on Tribal 

Lands in another capacity, such as in non-gaming related activities, to establish that they have 

not been convicted of certain crimes or engaged in any activity which the Tribal Gaming 

Commission in its sole discretion deems to render such person a danger to the safety or integrity 

of the Gaming Activities, or to the safety and security of the Tribe, property of the Tribe, any 

Tribal member, any Gaming Employee or patron, or the public. 

§7.0 Background Investigations License Applicants shall be required at a minimum to submit 

for consideration aJl infonuation require<l under lhe IGRA, including Section 25 CPR Part 556.4. 

7.01 The TGC shall request from each Applicant, unless provided otherwise by the TGC 

·consistent with Applicable Law, all of the information specified in subsections O below, as well 

as any other information required on the gaming license application. The TGC reserves the 

right, at any time, to request additional infonnation during or subsequent to any background 

investigation: 

J (1) Full name, other names used (oral or written), social security number(s), date of birth, 

place of birth, citizenship, gender, all languages (spoken or written); 

(2) Currently and for the previous five (5) years: business and employment positions held, 

ownership interests in those businesses, business and residence addresses and driver's 

license numbers; 

(3) Names and current addresses of at least three (3) personal references (who are not related 

to or living in the same household with applicant), including one personal reference who 

was acquainted with the applicant during each period of residence as listed under 

subsection (2} above; 

(4) Current business and residence telephone numbers; 

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

including ownership interests in those businesses; 

{6) A description of any existing and previous business relationships with the gaming 

industry generaJly, including ownership interests in those businesses; 

(7) Name and address of any licensing or regulatory agency with which the person has filed 

an application for a license or pennit related to gaming, whether or not such license or 

permit was granted; 

(8) For each felony for which there is an on-going prosecution or a conviction: the charge, 

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

case; 

(9} For each misdemeanor conviction or on-going 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; 

(10) 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 

Gaming Ordinance 

As Amended October 6, 2015 

Page 15 
and is not othetwise listed above: the criminal charge. the name and address of the court 

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

(11) 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 

pennit was granted; 

(12) A current photograph; 

(13) Any other information the TGC deems relevant; and 

(14) Fingerprints consistent with procedures adopted by the Gaming Commission 

according to 25 C.F.R. § 522.2(h) and, as applicable, fingerprints to be processed through 

the State Gaming Agency. For the limited purpose of obtaining fingerprints in 

compliance with 25 C.F.R. § 522.2 (h) the Tribal Gaming Commission shatl be the 

designated law enforcement agency. 

§8.0 Additional Background Information for Business Entities In addition, the TGC shall 

request from an Applicant that is a business entity all of the following infonnation, provided that 

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

following sub-sections may be deemed to be a single business entity: 

(1) Each of its officers and directors; 

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

financial officer, chief operating officer, and general manager; 

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

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

corporation, if a corporation; and 

{5) Each person or entity (other than a financial institution that the Gaming Commission has 

determined does not require a license under Sub-section 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 

than ten percent (10%) of: 

(a) The start- up capital; 

(b) The operating capital over a 12 - month period; or 

(c) A combination thereof. 

§9.0 Temporary Licenses Upon completion of a preliminary background investigation, and 

that investigation does not indicate the applicant has a criminal history or other information in 

his or her background that would either automatically disqualify the applicant from obtaining a 

license or cause a reasonable person to investigate further before issuing a license, or is 

otherwise unsuitable for a license, the TGC may issue a temporary license of no more than 

ninety (90) days duration it: in its sole discretion, it deems such issuance appropriate, and may 

grant an extension of such a license if necessary to complete the investigation or to obtain 

additional Criminal History Record Information results from fingerprint submissions. Such 

licenses shall permit the licensee to engage in such activities pursuant to such tenns and 

conditions as the TGC may specify. Temporary Jicenses may be suspended or revoked at any 

time by the TGC, and shall expire ninety (90} days from date of issuance, upon issuance of a 

regular license, or until a specified expiration date. 

Gaming Ordinance 

As Amended October 6, 2015 

Page 16 
§10.0 Application Forms 

10.1 Notices. Each application form for a License Applicant, unless otherwise specifically 

exempted by the TGC consistent with applicable law, shall contain the following notices: 

Privacy Act Notice. 

in comp1iance with the Privacy Act of 1974, the following infonnation is 

provided: Solicitation of the information on this form [your application for a 

gaming license and any renewal thereof] is authorized by 25 U.S.C. 2701 et. seq. 

The purpose of the requested information is to determine the eligibility of 

individuals to be granted a gaming license. The information will be used by the 

Gaming Commission and by the National Indian Gaming Commission ("NIGC") 

members and staff who have need for the information in the performance of their 

official duties. The infonnation may be disclosed by the Tribe or the NIGC to 

appropriate federal, tribal, state, local, or foreign law enforcement and regulatory 

agencies when relevant to civil, criminal, or regulatory investigations or 

prosecutions, or when pursuant to a requirement by a tribe or the NIGC in 

connection with the issuance, denial, or revocation of a gaming license, or 

investigations of activities while associated with a tribe or a gaming operation. 

Failure to consent to the disclosures indicated in this notice will result in the 

Tribe's being unable to license you for a primary management official or key 

employee position, or other position as determined by the Tribe. The disclosure 

of your Social Security Number (SSN) is voluntary. However, failure to supply a 

SSN may result in errors in processing your application. 

Notice Regarding False Statem.ents. 

A false statement or any part of your license application may be grounds for 

denying a license or the suspension or revocation of a license. Also, you may be 

punished by fine or imprisonment (18 U.S.C § I 001 ). 

§11.0 Existing Licensees Any existing licensee, unless othenvise specifically exempted by the 

TGC, shall be notified that they shalJ either: 

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

Regarding False Statements; or 

{2) Sign a statement that contains the Privacy Act Notice and consent to the routine use~ 

described in that Notice and sign a statement that contains the Notice Regarding False 

Statements. 

§12.0 State Gaming Agency Class Ill Gaming Employees, Gaming Resource Suppliers, 

gaming management and investors may further be subject to State Gaming Agency investigation 

and suitability requirements, including issuance of a license or certification of suitability, under 

the Compact. 

§13.0 Drug and/or Alcohol Testing The TGC reserves the right to require drug and/or alcohol 

testing {or any, icense applicant or icensee at any time. 

Gaming Ordinance 

As Amended October 6, 2015 

Page 17 
§14.0 License Investigations The TGC may employ all reasonable means, including engaging 

outside services and investigators and holding hearings, to acquire the infonnation necessary to 

determine whether or not a license should be issued. Applicants shall agree to release all 

information necessary in order for the TGC to achieve its goals under this Gaming Ordinance 

and to furnish such infonnation to the NIGC, the State Gaming Agency, or other agencies as may. 

be required by Applicable Law. 

§15.0 License Renewal All licenses shall be subject to renewal at least every two (2) years, and 

more frequently if so required by the TGC or other applicable law. Such licenses may be 

revoked or suspended upon the occurrence of any act that, if known during the application 

process, would have tended to disqualify such person or entity for such a license. 

§16.0 License Fees Unless specifically waived by the TGC, all persons applying for a license 

shall be required to pay all applicable license fees and costs when due, including a reasonable 

deposit for costs that may be incurred in connection with the license application. Estimates of 

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

be received by the TGC prior to issuance of the license, unless the Tribe or the Gaming 

Operation has agreed to reimburse the TGC directly for all or part of such fees and costs. 

§17.0 Fingerprints The TGC shall cause fingerprints to be taken and forwarded to the NIGC 

and to the State Gaming Agency, as applicable, consistent with all applicable laws and the 

Compact. Fingerprints shall be processed through the FBI and/or other available state sources as 

applicable to detennine the applicant's criminal history, if any. 

§18.0 Eligibility Determination The TGC shall review a person's prior activities, criminal 

record, if any, and reputation, habits and associations to make a finding concerning the eligibility 

of an Applicant to hold a gaming license. If the TGC, in applying the standards adopted herein, 

detennines that licensing of the person poses a threat to the public interest or to the effective 

regulation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal practices 

and methods and activities in the conduct of gaming, the TGC shall not license that person in any 

position for which a license is required. 

§19.0 Investigative Report and Notice of Results When a Primary Management Official or 

Key Employee is employed, the TGC shall create a complete application file containing the all 

the information required by this Section. 

19.01 Before issuing a License to a Key Employee or Primary Management Official, the TGC 

shall create an investigative report on each background investigation. The investigative report 

shall include the following infonnation; 

(1) Steps taken in conducting a background investigation; 

(2) Results obtained; 

(3) Conclusions reached; and 

(4) The basis for those conclusions. 

Gaming Ordinance 

As Amended October 6, 2015 

Page 18 
19.02 The TGC sha11 prepare an eligibiHty detennination, and submit a notice of results of the 

Applicant's background investigation to the NlGC no later than sixty (60) days after the 

Applicant begins work. The notice of results shall contain the following infonnation: 

(I) Applicant,s name, date of birth, and social security number; 

(2) Date on which the applicant began or will begin work as a key employee or 

primary management official; 

(3) A summary of the information presented in the investigative report, which shall 

include a listing of: 

(a) Licenses that have previously been denied; 

(b) Gaming licenses that have been revoked, even if subsequently reinstated; 

(c) Every known criminal charge brought against the applicant within the last ten 

( 10) years of the date of application; and 

(d) Every felony of which the applicant has been convicted or any ongoing 

prosecution. 

19.03 If, within thirty (30} days of the receipt of the information identified in Section 19.02, 

the NIOC provides the TGA with a statement itemizing objections to the issuance of a license to 

the Applicant, the TGA shall reconsider the application) taking into account the objections 

itemized by the NIGC. The TOA shalJ make the final decision as to whether to issue a license to 

the Applicant. 

19.04 If the TGA issues a license to the Applicant before receiving the NIGC's objections, the :: 

notice and hearing provisions outlined in Section 24 shall apply. ~ 

§20.0 Notice to NIGC of License Decisions, Retention Obligations After the TGC has 

provided a notice of results of the background check to the NIGC, it may Jicense a Key 

Employee or Primary Management Official. Within thirty (30) days after the issuance of the 

license, the TGC, and shall notify the NIGC of its issuance. 

20.01 The Gaming Operation shall not employ or continue to employ a Key Employee or 

Primary Management Official who does not have a gaming Jicense within (90) days of begiMing 

work. 

20.02 If the TGC does not license an applicant: 

(1) The TGC shall notify the NIGC; and 

(2) The TGC shall foiward copies of its eligibility determination and notice of results 

to the NIGC for inclusion in the Indian Gaming Individuals Record System. 

20.03 The TGC shall retain the following for inspection by the NIGC for no less than three 

(3) years from the date of tennination of employment: 

(1) Applications for licensing; 

(2) Investigative reports; and 

(3) Eligibility detenninations. 

Gaming Ordinance 

As Amended October 6, 2015 

Page 19 
§21.0 Denial of Gaming License Applicants Applicants who are denied a license must wait 

for at least two (2) years before they may reapply for a gaming license. The applicant shall be 

entitled to appeal a license denial as set forth in this Gaming Ordinance. 

§22.0 Standards All persons engaged by or associated with any Gaming Activity on Tribal 

Lands shall conduct themselves with honesty, integrity, and with such decorum and manners as 

necessary to reflect positively on the Tribe, its members and the Gaming Activities. Any failure 

to abide by such standards, or any violation of a rule, regulation, law, custom or tradition of the 

Tribe, the TGC or the Gaming Operation, or with the tenns or conditions of the license, may be 

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

§23.0 License Suspension If, after issuing a gaming license, the TGC receives reliable 

information from the NIGC or other reliable source indicating that a Licensee is not eligible, or 

is no longer eligible, to hold a gaming license under the eligibility criteria established herein, the 

TGC shal1 immediate]y suspend the license and shaU provide the licensee with written notice of 

suspension and proposed revocation. 

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

a license in accordance with the procedures set forth in this Gaming Ordinance. 

After the revocation hearing, the TGC shall decide whether to revoke or to reinstate the gaming 

license. If the suspension of the license is a result of information received from the NIGC, the 

TGC shall notify the NIGC of its decision within 45 days of receiving notification from the 

NIGC. 

§24.0 Hearings The TGC may conduct hearings as needed to make regulatory compliance 

detenninations within the scope of this Gaming Ordinance, and sha1l conduct hearings for 

licensing detenninations, proposed exclusions of individuals from the Gaming Facility, 

enforcement actions, the imposition of fines and applicable Patron Gaming Claims; provided, 

however, hearings on Patron Tort Claims against the Gaming Facility shalJ be conducted in 

accordance with the Tribe's Tort Liability Ordinance. 

24.01 All Tribal Gaming Commission hearings shall: 

(1) Be properly noticed in writing to the party that is the subject of the TGC's 

decision or order. Such notice shal1 be delivered at least ten (l 0) business days prior to the 

hearing; 

(2) Allow the party that is the subject of the TGC's decision or order to present 

written or oral statements or other evidence to support his or her position; 

(3) Be documented or recorded and maintained on file in accordance with the 

governing records retention policy; 

(4) Advocates may participate in the hearing on behalf of either party at the party's 

own expense, and the TGC may seek the advice of the Tribe's legal counsel as needed. 

24.02 The TGC shall weigh the evidence, testimony, and exhibits and make its decision, 

based on the credibility of the evidence and witnesses, by a preponderance of the evidence. 

TGC's decisions shall be issued in writing within 30 days of the hearing. All decisions shall 

Gaming Ordinance 

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Page20 
include a statement of facts and a statement of lega1 authority on which the decision is based. 

Decisions shall be delivered to the party and include information and instructions for appealing 

the decision. 

24.03 Nothing herein shall prohibit the TGC from taking immediate action in emergency 

situations to protect the health and safety of patrons and employees or assets of the Trfbe. Such 

actions shall immediately be followed by this hearing process. 

24.04 The decision of the Commission shall be final. 

ARTICLE IV ENFORCEMENT ACTIONS 

§1.0 Investigation Process The TGC shall conduct or cause to be conducted any investigations 

necessary to ensure the Gaming Activities are conducted within the Gaming Facility in 

accordance with this Gaming Ordinance and any other applicable law. 

§2.0 Investigating Reports of Cheating The TGC shall investigate any reports received 

regarding allegations of acts of cheating by patrons or employees. Individuals suspected of 

cheating may be excluded from the Gaming FaciJity, or in the case of an employee, may have 

their license suspended pending the outcome of the investigation. 

§3.0 Exclusion or Ejection of Individuals from the Gaming Facility In order to protect the 

health and safety of tribaJ members and the Patrons of the Gaming Facility, and to ensure the 

integrity of the Gaming Activities, the TGC shall be authorized to ex.cJude or eject individuals 

from the Gaming Facility. This shall include the authority to pennanently exclude certain 

individuals. 

§4.0 Exclusion List The TGC shall establish a list of persons .who are to be limited, exc1uded 

or ejected from the Gaming FaciJity. The list may include any person whose presence in the 

Gaming Facility is determined by the TGC to pose a threat to the interests of the Tribe, State of 

California or to licensed gaming. Race, color, creeds national origin, ancestry or sex must not be 

grounds for placing the name of a person on the list. 

4.01 Individuals subject to exclusion shall be afforded a hearing in accordance with Article III 

Section 24. 

4.02 Once placed on the exclusion list, individuals shalJ not be pennitted to enter into the 

Gaming Facility or engage in any Gaming Activity. A Licensee who knowingly fails to exclude 

or eject someone from the Gaming Facility who is on the Exclusion List may be found to have 

violated this Ordinance. 

§S.O Enforcement Actions If the TGC detennines that a violation of this Ordinance has 

occurred, depending upon the seriousness of the violation, the TGC may take any one of the 

following actions: 

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5.01 Contact the alleged violator about possible violations of this Ordinance, or practices which 

may result in violations of this Ordinance, in order to assist the alleged violator in adhering to the 

requirements of this Ordinance; 

S.02 Issue a warning of violation, in the fonn of a letter from the TGC to the violator, containing 

an explanation of the basis for the warning, measures required to correct the violation, and an 

explanation of the steps the TGC may take if the violator does not take positive corrective action; 

5.03 Issue an order to the violator to cease and desist from further commission of such violation; 

S.04 Assess a civil fine or penalty against the violator; 

5.0S Seize the gaming machines or other gaming equipment that are being operated in violation 

of this Ordinance, and/or the assets/proceeds obtained in violation of this Ordi~ance; 

S.06 Order the management of the Gaming Facility to halt any payments to or cease continued 

relations with any violator where such payment or continued relationship is in violation of this 

Ordinance; 

S.07 Order a temporary closure of the Gaming Facility, or the affected portion(s) thereof, where 

the violation has occurred or is occurring; and/or 

5.08 Impose other appropriate and reasonable sanctions within the TGC's jurisdiction. 

§6.0 Enforcement Process 

6.01 The TGC shall initiate enforcement actions by issuing a notice of violation, describing 

the violation and the proposed penalty or other enforcement action, to the person who is charged 

with the violation. 

6.02 The notice of violation shall be served by personal delivery or U.S. Mail, return receipt 

requested. Notice shall be considered received on the date of personal delivery or three (3) days 

after the notice is mailed by U.S. Mail 

6.03 The notice shall include a warning that if the person does not respond within seven (7) 

business days, the proposed assessed civil penalty or other enforcement action will become 

pennanent, and the person will lose all rights to appeal. 

6.04 Within seven (7) business days of receipt of the notice of violation, the person who is 

charged with the violation may submit a written request for a hearing before the TGC on the 

proposed enforcement action described in the notice of violation. If a hearing is requested, it 

shall be held in accordance with Article III Sections 24 and 25 of this Ordinance. 

6.0S If the alleged violator does not request a hearing within seven (7) business days of receipt 

of the notice of violation, the proposed assessed civil penalty or other enforcement action will 

become permanent, and the person shall lose all right to appeal. 

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6.06 The TGC and/or Tribal Court or appellate tribunal, may institute proceedings in any 

judicial forum of competent jurisdiction to enforce a penalty issued by the Gaming Commission 

and/or upheld by the Tribal Court/appellate tribunal on appeal. 

§7.0 Civil Penalties Any person engaging in a prohibited activity under this Ordinance is 

subject to asset forfeiture and civil fines in an amount not to exceed twenty-five thousand 

($25,000) dollars for each day in which the violation occurs, to be assessed by the TGC. In 

addition to any monetary fine, any person violating the provisions of a license issued under this 

Ordinance is subject to a penalty of probation, suspension, revocation, non-renewal, or denial of 

a license, to be detennined by the TGC. 

In detennining the type and amount of the penalty and/or fine, the TGC shall consider the 

appropriateness of such fine and/or penalty in light of the gl'avity of the economic benefit of 

noncompliance, the seriousness of the violation, the respondent's history of violations, the 

degree of fault of the respondents in causing or failing to correct the violation, and the degree of 

the respondent's good faith in attempting to achieve rapid compliance after issuance of any 

warning of violation. 

ARTICLE V MISCELLANEOUS PROVISIONS 

§1.0 Effect of Compact Notwithstanding anything in this Gaming Ordinance to the contrary, 

any licensing procedures required under the Compact shall be implemented as provided therein, 

and the TGC may adopt regulations integrating such procedures with the foregoing. 

§2.0 National Indian Gaming Commission-Regulations Notwithstanding any provision in the 

Gaming Ordinance, this Ordinance or any regulation promulgated thereunder, the Commission is 

fully empowered to comply with all applicable regulation promulgated by the National Indian 

Gaming Commission, including but not limited to all requirements to report ordinances, 

contracts, license applications, background checks and other infonnation to th~ National Indian 

Gaming Commission. 

§3.0 National Indian Gaming Commission-Assessment Notwithstanding any provision in the 

Gaming Ordinance, this Ordinance or any regulation promulgated thereunder, the TGC is fully 

empowered to comply with all assessments authorized by the National Indian Gaming 

Commission. Such assessments shall be paid from the Treasury of the Tolowa Dee-ni' Nation. 

§4.0 Compact with the State of California Notwithstanding any provision in the Gaming 

Ordinance, this Ordinance or any regulation promulgated thereunder, the TGC is fully 

empowered to comply with the applicable provisions of any compact properly executed between 

the Tribe and the State of California; provided, however, that if any provision of the Tribal-State 

Compact provides for action by the Tribe, the Commission is not authorized to, and shall not, 

contact the State's appointed agencies (or its agents) without the prior written approval of the 

Tribal Council. 

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§4.0 Notice Unless othe1wise specifically provided for in this Ordinance, written notice shall 

be served by U.S. Mail, return receipt requested, or personal delivery. Notice shall be considered 

received on the date of personal delivery or three (3) days after the notice is mailed by U.S. Mail. 

§5.0 Sovereign Immunity Except as provided herein, nothing in this Ordinance shall be 

construed as a waiver of the sovereign immunity of the Tribe or any of its officers, employees, or 

entities. 

§6.0 Consent to Jurisdiction Any person who applies for a License under this Ordinance, 

applies for employment in any Gaming Establishment, enters into any contract or agreement 

related to gaming, or participates in any gaming on the Reservation, shall be deemed to have 

consented to the civil jurisdiction of the Tribe, the Commission and the T1ibal Court. Nothing in 

this section shall limit the jurisdiction of the Tribe, the Commission, or the Tribal Court under 

any circumstances not explicitly contemplated in this Ordinance. 

§7.0 Agent for Service The Chairperson of the Tribal Council is hereby appointed as the agent 

for service of process. The Chairperson's address is: 

140 Rowdy Creek Rd. 

Smith River, California 95567 

§8.0 Amendments All provisions of this Ordinance are subject to amendment by the T1ibal 

Council. All Rules promulgated by the TGC are subject to proper revision, repeal, or amendment 

by the 

§9.0 Repeal To the extent that they are inconsistent with this Ordinance, all prior Gaming 

Ordinances are hereby repealed on the effective date of this Gaming Ordinance. 

§10.0 Effective Date After adoption by the Tribal Council, this Gaming Ordinance and any 

subsequent amendments thereto shall become effective on the date of final approval by the 

NIGC, as applicable. 

CERTIFICA TON 

We, the undersigned duly elected officials of the Tolowa Dee-ni' Nation, do hereby 

certify that the foregoing Ordinance was adopted on October 6, 2015, at a duly called meeting of 

the Tribal Council of the Totowa Dee-ni' Nation with quorum present by vote of 3 for, 0 

against, 1 abstaining and 3 absent. 

Attest: 

~~J1~~~ Loren Bommelyn, Chairperson 

Gaming Ordinance 

As Amended October 6, 2015 

Page 24 

JVu: 

Scott Su11ivan, 

A .Y.tc;)1

Secretary 

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