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-----... - .. - - .

II

" NATIONAL

5' INDIAN

. GAMING

" ~COMMISSJON

MAYI 5 /995

Marcel simon, Tribal Chairperson

Middletown Rancheria

P.O. Box 1035

Middletown,CA 95461

Dear Chairperson Simon:

This letter responds to your request to review and approve

the tribal gaming ordinance adopted by Resolution No. GC/O 94-1

by the Lake Miwok Nation of Middletown Rancheria (the Tribe) on

December 3, 1994. This letter constitutes such approval under

the Indian Gaming Regulatory Act (IGRA).

Under the IGRA and the regulations of the National Indian

Gaming commission (NIGC), the Chairman is directed to review

ordinances with respect to the requirements of the IGRA and the

implementing regulations. Thus, the scope of the Chairman's

review and approval is limited to the requirements of the IGRA

and the NIGC regulations. provisions other than those required

under the IGRA or the NIGC regulations that may be included in a

tribal ordinance are not subject to review and approval. Such

approval does not constitute approval of specific games. Also,

the gaming ordinance is approved for gaming only on Indian lands

as defined in the IGRA.

with the Chairman's approval of the Tribe's gaming

ordinance, the Tribe is now required to conduct background

investigations on its key employees and primary management

officials. The NIGC expects to receive a completed application

for each key employee and primary management official pursuant to

25 C.F.R. § 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). .

Thank you for submitting the ordinance of the Lake Miwok

Indian Nation of Middletown Rancheria for review and approval.

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

Tribe in implementing the IGRA.

Sincerely yours,

~C\.~ \:, ALeJ~~;lc,

(~) Harold A. Monteau

Chairman

1050 M SInCE 1. N W. SUIIC 2!;o.

III 202 GJ:! 700] rAX 202.GJ2.70iH:
Verjfication ofAdoption of

Tribal Gaming Ordinance GC/O 94-1
Lake Miwok Indian Nation

Middletown Rancheria

Middletown, CA

Verification of adoption of Triba! Gaming Ordinance GC/O 94-1

On this date, December 3, 1994, by majority vote of the voting members of the

Middletown Rancheria, with the tally of votes as indicated below, the General Council of

the Lake Miwok Indian Nation of the Middletown Rancheria did ___________________

adoption of Ordinance GC/O 94-1 setting policy and procedurefor the legal performance

of class LI gaming on the land of the Middletown Rancheria: with 13 voting YES;

_________

voting NO; and __________

abstaining.

(~~~y -

t~stimony of tl~ Secr~ary, Laura (3alupe

and enacted by
GENERAL PROVISIONS

SECTION 1- SHORT TITLE

This Ordinance may be cited as the Middletown Rancheria Tribal Gaming Ordinance.

SECTION 2- DECLARATION OF TRIBAL POLICY

2-1. It is the policy of the Mlddlletown Rancheria, hereinafter refened to as Tribe:

(a) That the Tribe shall have the sole proprietary interest in any gaming operation;

(b) That all gaming operations of Tribal lands shall be conducted by the Tribe,

or its management contractors only;

(c) That it is the objective of this Ordinance to provide revenue to promote (i)

Tribal economic development and self.sufficiency and (ii) the health, education,

and welfare of Tribal members; and

(d) That the gaming activities provided for by this Ordinance within lands of the

Tribe shall be conducted in conformance ~vith the requirements of the

Ordinance, the Indian Gaming Regulatory Act, 102 Stat. 2467, 25 U.S.C. }

2701, et sea. as implemented by the regulations promulgated by the National

Indian Gaming Commission, and the provisions of any Tribal-State, compact

governing class II gaming on Middletown Rancheria Tribal lands.

SECTION 3- FTh~DTh~GS

3-1. The Tribal Gaming Commission finds that -

(a) Class H gaming may be conducted on Tribal lands of the Tribe by reason of the

fact that the State of California permits -

(i) Bingo;

(ii) Pull Tabs;

(iii) Penny-Ante card games.

2
(b) Class 111 gaming may be conducted on Tribal lands of the Tribe by reason of

the fact that the State of California permits -

(I) Lottery

(ii) Pari-Mutuel wagering on horse racing;

(in) Card games, including poker, pinochle, bridge, rummy, canasta, hearts,

dominoes, and mah jong;

(iv) Casino nights;

(v) Off-Track betting and/or simulcasting horse races.

SECTION 4- DEFINiTIONS

4-1. For the purpose of this Ordinance, the following definitions shall apply:

(a) Act meaiis the Indian Gaming Regulatory Act, Public Law 100-497, 102

Stat. 2466, codified at 25 U.S.C. )) 2701, et sea

(b) Applicant means any person that completes an application with the Tribe for

a gaming license.

(c) Assessable gross revenues means the annual total amount of money wagered

and admission fees, less any amounts paid out as prizes or paid for prizes

awarded, and less an allowance for amortization of capital expenditures for

structures.

(d) Bingo means that game of chance (whether or not electronic, computer, or

other technologic aids are used in connection therewith):

(1) which is played for prizes, including monetaxy prizes, with cards

bearing numbers or other designations;

(ii) in which the holder of the cards cover such numbers or designations

when objects, similarly numbered or designated, are drawn or

electronically determined; and

(lu) in which the game is won by the first person covering a previously

designated arrangement of numbers or designations on such cards.

3
(e) Chairman means Chairman of the National Indian Gaming Commission or his

or her designee.

(f) Cheating means operating or playing in a game in a manner in violation of the

written or commonly understood rules of the game, with the intent to create

for himselfTherself or someone in privity with him/her an advantage over and

above the chance of the game.

(g) Class H gaming means that gaming defined in 25 C.F.R. ) 502.3.

(h) Class ifi gaming means that gaming defined in 25 C.F.R ) 502.4.

(i) Collateral agreement means any contract, whether or not in writing, that is

related, either directly or indirectly, to a management contract, or to any rights,

duties, or obligations created between the Tribe (or any of its members,

entities, or organizations) and a management contractor or subcontractor (or

any person or entity related to a management contractor or subcontractor).

(j) ~rN1GC~~ means the National Indian Gaming Commission.

(k) Commission means the Tribal Gaming Commission as described in the

Constitution of the Mldd]etown Rancheria.

(I) Employee manager is a manager other than a management contractor

employed by the Tribe to manage a tribal gaming establishment.

(m) Gaming means risking any money or other thing ofvalue for gain,

contingent, wholly or partially, upon lot, chance, the operation of gaming

apparatus, or the happening or outcome of an event over which the person

taking the risk has no control.

(n) Gaming establishment means any location or structure, wherein gaming is

licensed, promoted, performed, conducted, or operated.

(o) Gaming License means the permit granted by the Tribe to an applicant for

employment with a gaming operation.

(p) Gaming operation means each economic entity that is licensed by the Tribe,

operates the games, receives the revenues, issues the prizes, and pays the

expenses. A gaming operation may be operated by the Tribe directly or by a

management contractor.

(q) Gross gaming revenues means the annual total amount of money wagered

and admission fees.

4
(ii) Total gaming-related operating expenses, excluding management fees.

(x) Operating expenses means total gaming-related expenses excluding

management fees.

(y) Person means any individual, firm, partnership, corporation, company, or

association.

(z) Person having a direct or indirect financial interest in a management contract

means:

(I) When a person who is a party to a management contract, any person

having a direct financial interest in such management contract,

(ii) When a trust is a party to a management contract, any beneficiaiy or

trustee;

(iii) When a partnership is a party to a management contract, any partner;

(iv) When a corporation is a party to a management contract, any person

who is a director or who holds at least ten percent (lO%) ofthe issued

and outstanding stock alone or in combination with another

stockholder who is a spouse, parent, child or sibling; or

(v) When an entity other than a natural person has an interest in a trust,

partnership, or corporation that has an interest in a management

contract, all parties of that entity are deemed to be persons having a

direct financial interest in a management contract.

(aa) Person having management responsibility for a management

contract means the person designated in the management

contract as having engagement responsibility for the gaining

operation, or a portion thereof

(ab) Player means a person participating in a game with the hope

ofwinning money or other benefit, but does not include a

licensee, any assistant of a licensee, or their immediate family.

(ac) Primary management official means:

(I) The person having management responsibility for a

management contract;

(ii) Any person who has authority;

6
(I) To hire and fire employees; or

(2) To set up working policy for the gaming

operation; or

(iii) The chief financial officer or other person who has

financial management responsibility.

(ad) Secretary means the Secretary of the Interior.

(ae) Tnbal lands means all lands which are held in trust by the

United States of America for the Tribe and all lands owned by

the Tribe which are subject to restriction against alienation

imposed by the United States.

(af) Tribe means the Lake Miwok Indian Nation ofthe

Middletown Rancheria.

(ag) Tribal-State compact means an agreement between the Tribe

and the State of California about class HI gaming under 25

U.S.C. } 2710(d).

SECTION 5- AUTHORITY OF TRIBAL GAMING COMMISSION

5-1 The Gaming Commission shall have the power and responsibility to;

(a) enforce and administer the provisions ofthis Ordinance;

(b) issue and renew gaming licenses as provided in this Ordinance and in any

regulation which may be promulgated by the Gaming Commission;

(c) revoke, suspend, or condition a gaming license or deny an application for a

license for violation of applicable law or Ordinance regulating gaming, or

conviction of any offense involving a gaming related crime or moral turpitude;

(d) collect fees and interest as provided for in this Ordinance;

(e) assess and collect penalties provided for in this Ordinance;

7
(f) adjust the respective amounts of the annual license fees, provided that such fees

shall not be increased retroactively;

(g) audit or cause to be audited expenditures, receipts, and reports of a licensee

responsible for managing a Tribal gaming enterprise;

(h) review, on demand, such books and records and inspect the premises and

operations of licensees as it deems necessary for the enforcement of this

Ordinance;

(i) supervise, operate and maintain gaming surveillance systems in coordination

~th Tribal PolicelCasino Secunty Department;

(j) draw up such forms as it deems necessary;

(k) institute such legal proceedings in the name of the Tribe in a court of

competent jurisdiction as it deems necessary for the enforcement of this

Ordinance;

(1) conduct hearings provided for in this Ordinance;

(m) deposit all fees, penalties, and interest collected under authority of this

Ordinance into an account to the credit of the Tribe;

(n) maintain a correct and full accounting of all fees, penalties, and interest

received under authority of this Ordinance, and provide a monthly record of

that accounting; and

(o) take such other actions and issue such orders and promulgate such regulations

as the Gaming Commission may deem necessary to properly and fully perform

its duties and responsibilities under this Ordinance.

5-2. The Tribal Council may appoint not more than three (3) Tribal members to the

Gaming Commission to exercise any or all of the powers and responsibilities set out in

)5-1 of this Ordinance, alxve.

SECTION 6- GAMES AUTHORIZED

6-1. The Tribe shall have the sole proprietary interest in and responsibility for the conduct of

any gaming operation.

8
6-2. If the Tribe elects to allow individually owned gaming operations it shall authorize such

operations in accordance with the requirements set forth in 25 C.F.R ) } 522.10 and

522.11.

6-3. Class II games as follows may be licensed for conduct on Tribal lands:

(a) bingo, pull-tabs, lotto, punch boards, tip jars, instant bingo, and other games

similar to bingo as defined under 25 C.F.R. } 502.3(c).

(b) non-banking card games defined as class LI gaming under 25 C.F.R. ) 502.3(c).

(c) any game determined to be a class I game by Congressional amendment of the

Act, by regulation, or by decision ofthe NIGC or the federal courts.

6-4. Class ifi games as follows may be licensed for conduct on Tribal lands:

(a) such class ifi games as may be authorized by a Tribal-State compact, and

(b) such class II games authorized under procedures specified in 25 U.S.C. )

27 10(d) (7) (B).

SECTION 7-1 A separate gaming license is required for:

(a) (i) each person having a management contract;

(ii) each primary management official and each key employee whether

employed by the management contractor or directly by the Tribe; and

(iii) all other employees

(b) each place, thcility, or location on Tribal lands at which class H or class ifi

gaming is conducted.

SECTION 8- APPLICATION FOR GAMING LICENSES

8-1. Each person having a management contract, each primary management official and

each key employee whether employed by the management contractor or directly by the

Tribe, and all other employees shall complete an application for an initial gaming

license or renewal of an existing gaming license for each gaming establishment on an

application form prescribed by the Gaming Commission. The application shall set forth:

9
(a) the name under which the applicant transacts or intends to transact business on

Tribal lands; and

(b) the location of the gaming establishment for which the gaming license is

sought; and

(c) the application shall be signed by the applicant if a natural person, or, in the

case of an association or partnership, by a member or partner thereof, or, in the

case of a corporation, by an executive officer thereof, or by some other person

specifically authorized by the corporation to sign the application, in which case

written evidence of the signators authority shall be attached. The applicant

shall provide evidence ofauthority of the signator or any other representative

to act for and bind the applicant. If any change is made in that authority, the

Gaming Commission shall by immediately informed in writing and, until that

information is filed with the Gaming Commission, any action of the

representative shall be presumed to be that of the applicant.

8-2. Each application shall be accompanied by payment of the appropriate annual license

fee, and an appropriate fee to cover the cost of the background investigation conducted

pursuant to Section 11 below.

8-3. The management contractor shall file along with the application an organizational chart

of its management organization and job descriptions of the employees of the gaming

operation. The chart shall identif~, which employees are or will by the primary

management officials and the key employees of the gaming operation.

8-4. An application for a gaming license shall include:

(a) a description of the place, facility, or location on Tribal lands where the

applicant will operate a gaming operation or where the applicant will be

employed.

(b) the following privacy notice prescribed by 25 C.F.R. ) 556.2:

In compliance with the Privacy Act of 1974, the following information is

provided: Solicitation ofthe information on this form is authorized by 25

U.S.C. } 2701, et seq. The purpose of the requested information is to

determine the eligibility of individuals to be employed in a gaming operation.

The information will be used by National Indian Gaming Commission members

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

duties. The information may be disclosed to appropriate Federal, Tribal, State,

local, or foreign law enforcement and regulatory agencies when relevant to

civil, criminal or regulatory investigations or prosecutions or when pursuant to

a requirement by a Tribe or the National Indian Gaming Commission in

10
connection with the hiring or firing of an employee, the issuance or revocation

of a gaming license, or investigations of activities while associated with a Tribe

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

notice will result in a Tribes being unable to hire you in a primary management

official or key employee position.

The disclosure of your Social Security Number (SSN) is voluntary. However,

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

(c) the following notice regarding false statements is prescribed by 25 C.F.R )

556.3:

A false statement on any part of your application may be grounds for not hiring

you, or for firing you after you begin work Also, you may be punished by fine

or imprisonment (U.S.Code, Title 18, Section 1001).

(d) the following background investigation information from each primary

management official and each key employee:

(i) full name, other names used (oral or written), social security number(s),

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

written);

(ii) currently and for the previous ten (10) years: business and employment

positions held, ownership interests in those businesses, business and

residence addresses, and drivers license numbers;

(iii) the names and current addresses of at least five (5) personal references,

including one personal reference who was acquainted with the

applicant during each period of residence listed under paragraph (d) (ii)

of this Section;

(iv) current business and residence telephone numbers;

(v) a description of any existing and previous business relationships with

Indian tribes, including ownership interests in those businesses;

(vi) a description of any existing and previous business relationships with

the gaming industry generally, including ownership interests in those

businesses;

(vii) the name and address of any licensing or regulatory agency with which

the person has filed an application for a license or permit related to

gaming, whether or not such license or permit was granted;

11
(viii) for each felony for which there is an ongoing prosecution or a

conviction, the charge the name arid address of the court involved, and

the date and disposition if any;

(ix) 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 ofthe court

involved and the date and disposition;

(x) for each criminal charge (excluding minor traffic charges) whether or

not there is a conviction, if such criminal charge is with in ten (10)

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

to paragraph (d) (viii) or (d) ç~) of this Section, the criminal charge,

the name and address of the court involved, and the date and

disposition,

(xi) the name and address of any licensing or regulatozy agency with which

the applicant has filed an application for an occupational license or

permit, whether or not such license or permit was granted;

(xii) a current photograph;

(xiii) a complete history of the applicants educational background, including

the names of any colleges, universities, trade or vocational schools, and

high schools attended;

(xiv) a description of the applicants family including an explanation of the

relationships described (e.g., parents, guardians, etc.);

(xvi) any financial statement from the applicants accountant or other

financial information specifically requested on the application form, for

example, income sources, assets owned, insurance policies, mortgages,

and other information relating to the filing of bankruptcy or other

obligations;

(xvii) copies of the applicants tax returns for the prior three (3) years;

(xviii) a description of the applicants spousal status including, if applicable,

the existence of any previous marriages;

12
(xix) fingerprints of the applicant to be taken by the Lake County Sheriffs

Department of Law Enforcement for a criminal history check. A

criminal history check will include a check of criminal history records

information maintained by the Federal Bureau of Investigation;

(xx) a statement authorizing law enforcement agencies and prior employers

to release information and respond to questions relating to the

applicants records, habits, reputation, and associations;

(xxi) all applicants are required to submit to a drug screening test and, if

employed, random screening tests thereafter, and

(xxii) any other information the Gaming Commission deems relevant.

8-5. Each applicant for a gaming license who has or will have a contract with the Tribe to

manage a Tribal gaming operation shall state whether or not helshe already has a

management contract to operate any Indian gaming operation and, if so, a description

of the location of each such operation.

8-6. A management contractors application shall include information required by 25 U.S.C.

) 2711 and 25 C.F.R. } 537.1.

8-7. Existing key employees and primary management officials shall be notified in writing

that they shall either:

(a) complete a new application form that contains the Privacy Act notice described

in Section 8-4(b) above; or

(b) sign a statement that contains the Privacy Act notice described in Section 8-

4(b) above and consent to the routine uses described in that notice.

8-8. Existing key employees and primary management officials shall be notified in writing

that they shall either:

(a) complete a new application form that contains the notice regarding false

statements described in Section 8-4(c) above; or

(b) sign a statement that contains the notice regarding false statements described in

Section 8-4(c) above.

8-9. When a key employee or a primary management official begins work at a gaming

operation the Gaming Commission shall forward a copy of the persons completed

application for a gaming license to the NIGC.

13
SECfION 9- OUALWICATIONS FOR GAMTh4G LICENSES

9-I. The Gaming Commission may issue or renew a gaming license to an applicant who

submits a proper and completed application and pays the appropriate annual license

fee, provided that the Gaming Commission determines that the applicant:

(a) is not a minor;

(b) is a person of good character, honesty, and integrity

(c) has no prior activities, criminal record, reputation, habits, and associations

which pose a threat to the public interest or the interest ofthe Tribe 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 or

gaming or the carrying in if the business and financial arrangements incidental

to the conduct of gaming;

(d) has not supplied false and/or misleading information or who has not omitted

material information required under this Ordinance, the Act, and 25 C.F.R

Chapter 111;

(e) has not had, or is not in privity with anyone who has had, a gaming license

revoked for cause in any jurisdiction since the effective date ofthe Act;

(f) has complied with this Ordinance or any resolution adopted by the Gaming

Commission,

(g) does not occupy a competing position in the employ of ailother Tribe within a

five hundred (500) mile radius of any Tribal gaming operation; and

(Ii) does not violate any of the requirements set forth in 25 U.S.C. } 2711(a) and

(e).

9-2. Subject to the requirement of payment of annual license fees, each gaming license shall

be valid for the three (3) fiscal years commencing July 1 and ending June 30 of a

respective year, provided that, in the discretion of the Gaming Commission, a gaming

license may be granted for a term to run concurrently with the tenn of a management

contract.

9-3. A gaming license may not be assigned or transferred and is valid only for use by the

person in whose name it is issued and at the gaming establishment for which it is issued.

A gaming license shall be conspicuously displayed at all times at the gaming

establishment for which issued.

14
9-4. The Gaming Commission shall make the final decision as to whether a gaming license

shall be issued, suspended, or revoked.

9-5. Until authorized by a Tribal-State compact, no gaming license shall be issued by the

Gaming Commission for class Ill gaming.

SEC11ON 10- GAMING LICENSE FEES

10-1. The annual fee for each gaming license issued pursuant to this Ordinance to the holder

of a valid management contract shall be Ten Thousand ($10,000) Dollars; and for each

primaxy management official and key employee it shall be One Hundred ($100) Dollars.

The annual fee for all other employees shall be Fifty ($50) Dollars. The Gaming

Commission may waive the annual fee on a case-by-case basis.

10-2. The Gaming Commission may annually adjust, not exceeding ten percent (10%), the

amount ofthe annual fee, provided that any increase shall take effect only on the

ensuing July 1.

10-3. The initial annual license fee shall be paid with the submission of the applicants

completed application.

10-4. The annual license fee shall be prorated in the case of each initially issued gaming

license. Licenses issued after December 31 each year shall be one half(112) the annual

fee.

10-5. All moneys collected or received at a gaming establishment, except any individual

winnings or prizes of Ten Thousand ($10,000) Dollars or less paid in cash immediately,

shall be deposited by the licensee in bank accounts approved by the Gaming

Commission, which accounts shall contain only such moneys. Other cash prizes, the

purchase prices of non-cash prizes, and all expenses for such gaming activities shall be

withdrawn from such accounts approved by the Gaming Commission by consecutively

numbered checks duly signed by a specified officer or officers ofthe licensee and

payable to a specific person or organization. There shall also be documentation for

each check designating the nature of the expense or prize for which the check is drawn.

No check shall be drawn to cash or a fictitious payee. Wire transfers shall be allowed

with proper supporting documentation.

15
SECTION 11- BACKGROUND INVESTIGATIONS

I I-I. The Gaming Commission shall conduct, or cause to be conducted, a background

investigation of each applicant for a position which is designated as a key employee or

primary management official sufficient to make a qualification determination under

Section 9 above. In conduction the investigation, the Gaming Commission shall keep

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

11-2. Investigative Reports.

(a) The Gaming Commission shall prepare and forward to the NIGC an

investigative report summarizing each background investigation ofa key

employee or primary management official that the Gaming Commission intends

to employ.

(b) The Gaming Commission shall forward an investigative report to the NIGC

within sixty (60) days after a key employee or primary management official

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

NIGC.

(c) Each investigative report shall include the following:

(I) the steps taken in conducting the background investigation,

(ii) the results obtained;

(iii) the conclusions reached; and

(iv) the basis for those conclusions.

(d) The Gaming Commission shall submit to the NIGC, along with the

investigative report, a summary of the Gaming Commissions qualification

determination made under Section 9 above.

(e) If a gaming license is not issued to an applicant, the Gaming Commission:

(I) shall notiFy the NIGC; and

(ii) may forward copies of its qualification determination and investigative

report (if any) to the NIGC for inclusion in the Indian Gaming

Individuals Records System.

16
(f) With respect to key employees and primary management officials, the Gaming

Commission shall retain applications for gaming licenses and reports (if any) of

background investigations for inspection by the Chairman or his or her

designee for no less than three (3) years from the date of termination of

employment.

(g) A gaining operation shall not employ as a key employee or primary

management official a person who does not have a gaming license ninety (90)

days after a license application has been submitted.

11-3. Granting a Gaming License.

(a) If, within a thirty (30) day period after the NIGC received an investigative

report, the NIGC notifies the Gaming Commission that it has no objection to

the issuance of a gaming license pursuant to a license application filed by a key

employee or a primary management official, the Gaming Commission may

issue a license to such applicant.

(b) The Gaming Commission shall respond to a request for additional information

from the Chairman concerning a key employee or a primary management

official who is the subject of an investigative report. Such a request shall

suspend the thirty (30) day period under Subsection (a) above until the

Chairman receives the additional information.

(c) If, within the thirty (30) day period described in Subsection (a) above, the

NIGC provides the Gaming Commission with a statement itemizing

objections to the issuance of a gaming license to a key employee or to a

primary management official application, the Gaming Commission shall

reconsider the application, taking into account the objections itemized by the

NIOC. The Gaming Commission shall make the final decision whether to issue

a gaming license to such applicant.

11-4. Gaming License Suspension.

If, after the issuance of a gaming license, the Gaming Commission receives from the

NIGC reliable information indicating that a key employee or a primary management

official is not eligible for employment under Section 9 of this Ordinance, the Gaming

Commission shall suspend such license and shall notif~j in writing the management of

the gaming enterprise and the licensee of the suspension and the proposed revocation.

17
SECFION 12- MAINTENANCE OF GAMING FACILITY

12-1. The Gaming Commission shall establish standards and procedures for inspection and

enforcement by which a gaming facility licensed under this Ordinance shall be

maintained in a manner which adequately protects the environment and the public

health and safety.

SECfION 13- USE OF N~ET REVENUES

13-1. Net revenues from gaming permitted under this Ordinance shall only be expended for

one or more of the following purposes:

(a) to fund Tribal government operations or programs;

(b) to provide for the welf~re ofthe Tribe and its members;

(c) to promote Tribal economic development;

(d) to donate to charitable organizations; or

(e) to support operations of local governmental agencies.

1 3-2~ if the Commission elects to make per capita payments to tribal members, it shall

authorize such payments only upon approval of a plan submitted to the Secretazy

pursuant to 25 U.S.C. ) 2710(b) (3).

SECTION 14- RECORDS AND REPORTS

14-1. A gaming operation shall keep permanent books of account or records, including

inventory records ofgaming supplies, sufficient to establish the amount ofgross and

net income, deductions and expenses, receipts and disbursements, and other

information required in any financial statement, report, or other accounting prepared

pursuant to the Act or Chapter III in Title 25 C.F.R

14-2. No later than the fifteenth (15th) day of each month, each gaming operator shall

provide, in a report form prescribed by the Gaming Commission, a statement of gross

revenues, assessable gross revenue and net revenues received or collected at each

gaming establishment during the immediate preceding month.

18
14-3. All papers, books, and records including computer records of the gaming operation

relating to licensed gaming activities shall be subject to inspection, examination,

photocopying, and auditing by the Gaming Commission and the NIGCs authorized

representatives at any time during reasonable hours. All such papers, books, and

records shall be retained not less than six (6) years.

SECTION 15- ANNUAL AUDIT

15-1. (a) The Gaming Commission shall cause to be conducted, at least annually, an

independent audit of the books and records of each gaming operation.

(b) Audit Standards. The Tribe shall engage an independent certified public

accountant, licensed in California to provide an annual audit ofthe financial

statements of each gaming operation on Tribal lands. Such financial statements

shall be prepared in accordance with generally accepted accounting principles

and the audit(s) shall be conducted in accordance with generally accepted

auditing standards. Audit(s) of the gaming operation required under this

Section may be conducted in conjunction with any other independent audit of

the Tribe, provided that the requirements of Chapter III in Title 25 C.F.R. are

met.

(c) Copies of Audit Reports. The Tribe shall submit to the NTGC a copy of

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

annual audit within one hundred twenty (120) days after the end of each fiscal

year of the gaming operation(s) resulting from the audit(s) conducted pursuant

to Subsection (a) above.

(d) Relationship of Audited Financial Statements to Fee Assessment Reports. The

Tribe shall reconcile its quarterly fee assessment reports, submitted under 25

C.F.R. Part 514, with its audited financial statements and make available such

reconciliation upon request by the NIGCs authorized representative.

15-2. All gaming rdated contracts that result in purchases of supplies, services, or

concessions for more than Twenty Five Thousand ($25,000) Dollars in any year

(except contracts for professional legal or accounting services) shall be specifically

included within the scope of the audit conducted pursuant to this Section.

19
a

SECJTION 16- GAMING SURVEILLANCE SYSTEMS

16-1. The Gaming Commission in coordination and cooperation with the Tribal

PolicelCasino Security Department shall install, operate and maintain adequate

surveillance systems to assure the security of the gaming operations.

16-2. The Gaming Commission shall provide an adequate staff of investigators to maintain

24-hour surveillance in coordination with the Tribal PolicelCasino Security

Department.

16-3. Commission Investigators will meet NIGC security clearances and will be required to

have completed adequate investigative training commensurate with their

responsibilities.

16-4. Commission Investigators are employed by and directly supervised by the Tribal

Gaming Commssion, but will work cooperatively with Tribal Police/Casino Security

Department.

SECTION 17- GROSS GAMING REVENUES

17-1. The gross gaming revenues derived from gaming operations are Tribal finds and may

be expended by a licensee whose authority is either delegated or provided for by the

Tribal Council through an employee Manager or in an approved management contract.

SECTION 18- VIOLATIONS

18-1. No person shall operate or conduct any gaming activity in a gaming operation within

the exterior boundaries of Tribal lands without a gaming license issued by the Gaming

Commission as required by this Ordinance.

18-2. No person shall knowingly submit false or misleading information to the NIGC

or the Tribe in response to any provision of the Act, Chapter ifi in Title 25 C.F.R, or a

Tribal Ordinance or resolution that the Chairman has approved under parts 522 or 523

in Title 25 C.F.R

18-3 (a) No management contractor shall fail to account fully for all moneys received or

collected in connection with gaming activities or to file any report required by

the management contract.

(b) A gaming operation shall not refuse to allow an authorized representative of

the NIGC or an authorized Tribal official to enter or inspect a gaming

20
operation in violation of25 C.F.R. ) 571.5 or } 571.6, or of a Tribal Ordinance

or resolution approved by the Chairman under parts 522 in Title 25 C.F.R.

18-4. No person under the age of eighteen (18) years shall be employed by a gaming

operation or shall otherwise be permitted to participate in any gaming activities.

18-5. No person shall engage in cheating (as that term is defined in ) 4-1(f) of this

Ordinance) in any gaming activity or engage in any fraudulent conduct affecting either

the Tribe or a customer of a gaming operation.

18-6. No person, other than an officer or the Lake County Sheriffs Department ofLaw

Enforcement or the Tribal Police Department, may enter or remain in a gaming

establishment licensed under this Ordinance while in the possession of a firearm or

other weapon.

18-7. Any person who is in privity with a person who violates this Ordinance shall be deemed

to be in violation of this Ordinance to the same extent as the violator, and shall be

treated accordingly.

18-8. No person, whether playing in or conducting any gaming activity authorized under this

Ordinance, shall:

(a) use bogus or counterfeit cards, or substitute or use any game cards that have

been tampered with;

(b) employ or have on ones person any cheating device to facilitate cheating in any

gaming activity; or

(c) knowingly cause, aid, abet, or conspire with another person or cause any

person to violate any provision of this Ordinance or any rule adopted under this

Ordinance.

18-9. A gaming operations facility shall be constmcted, maintained, and operated in a

manner that does not threaten the environment or the public health and safety.

18-10. Alcohol, which is not for sale by the licensee to customers, and/or controlled

substances are not to be brought into the gaming establishment.

18-1 1. If management fails to correct violations within the time permitted in a

notice of violation issued by the Chairman or within fIfteen (15) calendar days after the

Tribe provides notice of a violation, such failure shall be deemed a further violation by

the management.

21
S

SECFION 19- NOTICE OF VIOLATION

19-1. The Gaming Commission may issue a notice ofviolation to any person for violation of

any provision of this Ordinance.

19-2. A notice ofviolation shall contain:

(a) a citation to the Ordinance provision that has been or is being violated;

(b) a description of the circumstances surrounding the violation, set forth in

common and concise language; (c) measures required to correct the violation;

(d) a statement that the violation must be corrected ~vithin five (5) calendar days

from the date the notice was issued;

(e) a statement of the alleged violators rights of appeal; and

(1) the amount of civil fines that the alleged violator must pay pursuant to Section

19, below.

SECTION 20- CIVIL FINES

20-1. In issuing a notice ofviolation under Section 18 of this Ordinance, the Gaming

Commission may:

(a) impose a civil fine not to exceed Five Hundred ($500) Dollars for each

violation and, if such violation is a continuing one, for each day, that the

violation occurs; and/or

(b) impose a penalty of One Hundred ($100) Dollars per day for thilure to submit

to the Gaming Commission any report required under this Ordinance when it is

due, and One Thousand ($1,000) Dollars per day for failure to file any such

report after three-day notice and demand.

20-2. How assessments are made.

The Gaming Commission shall review each notice of violation to determine whether a

civil fine will be assessed, the amount of the fine, and, in the case of a continuing

22
violation, whether such daily violation will be deemed a separate violation for purposes

of the total civil fine assessed.

(a) within five (5) calendar days after service of a notice ofviolation, the alleged

violator shall submit written information about the violation and any corrective

measures undertaken to the Gaming Commission. The Gaming Commission

shall consider any information so submitted in determining the facts

surrounding the violation and the amount of the civil fine;

(b) the Gaming Commission shall serve a copy of the proposed assessment on the

alleged violator within ten (10) calendar days after the notice ofviolation was

issued, when practicable; and

(c) the Gaming Commission may review and reassess any civil fine if necessary to

consider thcts that were not reasonably available on the date of issuance of the

proposed assessment.

20-3. Final assessment:

(a) if the alleged violator fails to request a hearing as provided in) 21 of this

Ordinance, the proposed civil fine assessment shall become a final order of the

Gaming Commission;

(b) civil fines assessed under this Section shall be paid by the person assessed and

shall not be treated as an operating expense of the gaming operation; and

(c) the Gaming Commission shall transfer civil fines paid under this Ordinance to

the Treasurer of the Tribe for deposit into the Tribal Treasuiy.

SECHON 21- ENFORCEMENT

2 1-1. The Gaming Commission shall take any one or a combination of the following actions

with respect to any person who violates any provision of this Ordinance:

(a) suspend or revoke any gaming license issued by Gaming Commission; or

(b) bring an action in a court of competent jurisdiction for imposition of one or

more of the following sanctions;

23
(i) seizure of any gaming apparatus, proceeds, or other property of a

licensee connected with the gaming activities engaged in by the

licensee;

(ii) collection of any unpaid fees, interest, penalties, and of any civil fines

unpaid after thirty (30) calendar days; or

(iii) execution on any nonexempt property of a violator located within the

exterior boundaries of Tribal lands.

21-2. Civil actions may be brought by the Gaming Commission pur~Jant to this Ordinance in

any court of competent jurisdiction to enforce the imposition of any and all sanctions

provided for under this ordinance.

21-3. Beforetakinganyactionauthorizedin } land) 20-1 ofthisOrdinance,theGaming

Commission shall use its best efforts to notif~y the alleged violator, in person or by letter

delivered to his/her last known address, of the charges against him/her, and allow the

alleged violator an opportunity for a prompt hearing, lithe alleged violator fails to

respond, or cannot be found, the Gaming Commission may proceed with a hearing

notwithstanding, and take such action as it deems appropriate. Said notice of the

alleged violation shall be served at least three (3) business days prior to the hearing.

21 -4. Every person who applies for a gaming license and accepts such license thereby

acknowledges the civil enforcement jurisdiction and authority of the Gaming

Commission under this Ordinance to order an execution on his/her fi~rther conduct of

gaming activities and the seizure of his/her gaming equipment or proceeds or other

property, upon a proper finding of the Gaming Commission or the court that the

person has violated a provision of this Ordinance, despite lack of actual notice,

provided that the Gaming Commission has used its best efforts to notify the person, in

person or by letter delivered to his/her last known address.

SECTION 22- hEARINGS AND APPEALS

22-1. This Section provides procedures for appeals to the Gaming Commission regarding;

(a) a violation alleged in a notice ofviolation, and

(b) civil fines assessed by the Gaming Commission in this Ordinance.

22-2. The Gaming Commission shall hold a hearing on the proposed revocation of a gaming

license held by a primary management oflicial or key employee after it has suspended

such license pursuant to 25 C.F.R. } 558.5. The licensee shall be notified by the

Gaming Commission of the time and place for hearing After the hearing, the Gaming

24
Commission shall decide to revoke or reinstate the gaming license. The Gaming

Commission shall notify the N1GC of its decision.

22-3. Any licensee paying a civil fine or penalty for any violation enumerated in this

Ordinance because of excusable neglect may petition the Gaming Commission for

partial or full waiver of suit, fine, or penalty. The petition shall be filed within thirty

(30) business days after the payment was made.

22-4. Any person agrieved by a decision made or action taken by the Gaming Commission

without notice and opportunity for hearing to the agneved person, may petition the

Gaming Commission for a hearing and reconsideration. The petition shall be filed

within thirty (30) business days after the petitioner knew or should have known of the

decision or action. The Gaming Commission shall grant a prompt hearing upon

receiving such a petition, and shall reconsider its decision or action, affirm, modify,

reverse and/or vacate the Gaming Commissions order in light of what is presented at a

hearing.

22-5. Any person aggrieved by a decision made or-action taken by the Gaming Commission

after notice and opportunity for hearing may petition the Tribal Council for review.

Such petition shall specifically set forth the reasons for agrievement and be filed with

the Tribal Council no later than thirty (30) business days after the Gaining

Commissions decision or action. The Tribal Council shall set the matter for hearing no

later than thirty (30) business days and no sooner than three (3) business days after

receipt ofthe petition, and may upon establishing that it has jurisdiction, affirm, modify,

reverse and/or vacate the Gaming Commissions order.

SECTION 23- SERVICE

23-1. The Gaming Commission shall designate by written notification to the NIGC an agent

for service of any official determination, order, or notice of violation.

23-2. A management contractor or a Tribal operator shall designate by written notification to

the NIGC an agent for service of any official determination, order, or notice of

violation.

SECTION 24- RESOLUTION OF DISPUTES BETWEEN MANAGEMENT

CONTRACTOR OR TRIBE AND CUSTOMERS

25
I

24-I. Notice of warning regarding the improper conduct set out in ) 23-2 of this Ordinance

or other gaming rules established and enforced by the gaming operation shall be posted

at the entrance of each gaming establishment and/or given to the customer upon

entering the premises.

24-2. The following improper conduct shall result in ejection of a customer from any gaming

establishment:

(a) cheating;

(b) possession of weapons in the gaming establishment;

(c) possession of alcohol that has been brought by a customer into the gaming

establishment;

(d) possession of a controlled substance in the gaming establishment;

(e) disorderly conduct, including the wiliftil, or wanton disregard for the rights of

others; and

(f) any other act which is disruptive to the gaming operation.

24-3. Failure by a customer to provide proof of age when requested by gaming operation

personnel shall result in ejection of the customer from the premises but admission

fees (if any) shall be reftmnded.

24-4. Ejection of a customer shall be accomplished by the Tribal Police/Casino Security

Department in cooperation with the Lake County Sheriffs Department of Law

Enforcement if necessaxy, upon request of the gaming operation.

24-5. (a) Either the employee manager or management contractor of the gaming

operation or an alternate designated by either shall be present at all times to

resolve complaints by customers involving the operation of bingo and other

class H games at the establishment.

(b) lithe employee manager or management contractor or their alternates are

unable to resolve any dispute, as provided in (a) the matter may, upon request

of the customer, be referred to the Gaming Commission for resolution. Action

by the Gaming Commission may be initiated by making a written request to the

Legal Department of the Tribe. The decision of the Gaming Commission on

any dispute so referred to it for resolution shall be final.

26
SECTION 25- APPLICABLE LAW

25-I. All controversies involving contracts relating to gaming entered into under the

authority of the Gaming Commission on Tribal lands shall be resolved, as appropriate,

in accordance with:

(a) the Indian Gaming Regulatory Act;

(b) National Indian Gaming Commission Regulations;

(c) the laws of the Tribe; and

(d) if no Tribal laws exist, the laws of the State of California, which are

incorporated herein by reference.

25-2. To the extent that the provisions of any Tribal-State compact entered into by the

Middletown Rancheria and the State of California are inconsistent with any provisions

of this Ordinance, the provisions of the compact shall govern Class filE gaming on

Tribal lands.

SECTION 26- SAVINGS PROVISION

26-1. If any provision of this Ordinance or the application thereof to any person or

circumstance is held invalid, the invalidity shall not affect other provisions or

applications of the Ordinance which can be given effect without the invalid provisions

or application, and, to this end, the provisions of this Ordinance are severable.

SECTiON 27- EFFECTiVE DATE/REPEAL

27-1. This Ordinance shall be effective immediately upon approval by appropriate

governmental authority and, once approved, all previous gaming Ordinances shall be

repealed.

27
Resolution GC/R 94-6
Lake Miwok Indian Nation

Middletown Rancheria

Midd~etown, CA

Resolution GC/R 94-6 December 3, 1994

Whereas, it is the expressed interest and intent of the General Council of

the Middletown Rancheria to enter into gaming on the Middletown

Rancheria.

And whereas, it is in the best interest of the people of the Middletown

Rancheria to maintain direct and close observation over the operations

of gaming on the Middletown Rancheria.

And whereas, the encumberances of decision-making on a monthly basis

by the General Council renders its direct observation and influence on

gaming operations non-feasible,

Therefore, be it resolved that the General Council, by majority vote of

eligible voting members present at a duly noticed and called meeting

held this date, December 3, 1994, does empower the Tribal Council to

enter into any and all necessary agreements for the establishment of

gaming on the Middletown Rancheria and further empowers the

chairman to sign and execute any such agreements with approval of the

Tribal Council.

4 YES 0 NO 0 ABSTAIN

l~y testimony o~the Se&etary, Laura Galupe

~ and enacted by sign~~re of the Chairman, Marcel Simon
I

Resolution GC/R 94-7
Lake Miwok Indian Nation

Middletown Rancheria

Middletown, CA

Resolution GC/R 94-7 December 3, 1994

Whereas, it is required under the laws of Tribal Ordinance GC/O 94-1

regulating gaming on the Middletown Rancheria to establish a Tribal

Gaming Commission,

and whereas, The Tribal Council is empowered under the Tribal

Gaming Ordinance to appoint the three commissioners of the Tribal

Gaming Commission,

and whereas, the expedient and timely creation of a gaming complex on

the Middletown Rancheria has rendered it economically prudent to

begin operations prior to the Tribal Councils reasonable ability to

select, conduct appropriate background investigations of, and train

commissioners for, the immediate establishment of the Tribal Gaming

Commission,

be it therefore resolved, that the General Council, by majority vote of

eligible voting members present at a duly noticed and called meeting

held this date, December 3, 1994, does empower the Tribal Council to

operate as a temporary Tribal Gaming Commission until such time that

commissioners can be selected and seated. Members of the Tribal

Council are directed to use due diligence in the selection and training of

commissioners.

I YES 0 NO 0 ABSTAIN

____________

pp~~

~yJhe Secretai!y, Laura Galupe enacted ~signature of the chairman,

Marcel Simon