§ 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 Council shall forward a

copy of the person's completed application for a gaming license to

the Commission.
SECTION 9 - QUALIFICATIONS FOR GAMING LICENSES
§ 9-1. The Council 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 Council
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

- 19 -


SECTION 22 - SERVICE
§ 22-1. The Council shall designate by written notification to
the Commission an agent for service of any official determination,
order, or notice of violation.
§ 22-2. A management contractor or a Tribal operator shall
designate by written notification to the Commission an agent for
service of any official determination, order, or notice of
violation.
SECTION 23 - RESOLUTION OF DISPUTES BETWEEN MANAGEMENT CONTRACTOR
OR AND CUSTOMERS
§ 23-1. 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.
§ 23-2. 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 willful, or wanton
disregard for the rights of others; and
(£) any other act which is disruptive to the gaming

operation.

- 36 -


with the Council, 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 identify which employees are or will be 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 of the 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

- 13 -


(c)

(d)

(e)

(£)

(g)

sixty (60) days of the approval of this Ordinance by the

Commission.

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.

The Council shall submit to the Commission, along with

the investigative report, a summary of the Council's

qualification determination made under Section 9 above.

If a gaming license is not issued to an applicant, the

Council:

(i) shall notify the Commission; and

(ii) may forward copies of its qualification
determination and investigative report (if any) to
the Commission for inclusion in the Indian Gaming
Individuals Records System.

With respect to key employees and primary management

officials, the Council 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.

A gaming operation shall not employ as a key employee or

primary management official a person who does not have a

- 23 -


{e)

(£)

(g)

(h)

(i)

(3)

(k)

(1

)

"Chairman" means Chairman of the National Indian Gaming
Commission or his or her designee.

"Cheating" means operating or playing in a game ina
manner in violation of the written or commonly
understood rules of the game, with the intent to create
for himself/herself or someone in privity with him/her
an advantage over and above the chance of the game.
"Class II gaming" means that gaming defined in 25 C.F.R.
§ 502.3.

"Class III gaming" means that gaming defined in 25 C.F.R.
§ 502.4.

“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).

"Commission" means the National Indian Gaming
Commission.

"Council" means the Business Council as described in the
Constitution of the Coast Indian Community of the
Resighini Rancheria.

"Employee manager" is a manager other than a "management
contractor" employed by the Tribe to manage a tribal

gaming establishment.


as it deems appropriate. Said notice of the allegéd violation
shall be served at least three (3) business days prior to the
hearing. ;
§ 20-4. Every person who applies for a gaming license and accepts
such license thereby acknowledges the civil enforcement
jurisdiction and authority of the Council under this Ordinance to
order an execution on his/her nonexempt property, the suspension
or termination of his/her further conduct of gaming activities and
the seizure of his/her gaming equipment or proceeds or other
property, upon a proper finding of the Council or the court that
the person has violated a provision of this Ordinance, despite
lack of actual notice, provided that the Council has used its best
efforts to notify the person, in person or by letter delivered to
his/her last known address.
SECTION 21 - HEARINGS AND APPEALS
§ 21-1. This Section provides procedures for appeals to the
Council regarding:

(a) a violation alleged in a notice of violation; and

(b) civil fines assessed by the Council in this Ordinance.
§ 21-2 The Council shall hola a hearing on the proposed
revocation of a gaming license held by a primary management.
official or key employee after it has suspended such license
pursuant to 25 C.F.R. § 558.5. The licensee shall be notified by
the Council of the time and place for hearing. After the hearing,
the Council shall decide to revoke or reinstate the gaming

license. The Tribe shall notify the Commission of its decision.

- 34 -


(d)

(e)

(£)

(g)

(h)

§ 9-2.

public interest or the interest of the 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 on of the business and financial
arrangements incidental to the conduct of gaming;

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 III;

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 of the Act;

has complied with this Ordinance or any resolution
adopted by the Council;

does not occupy a competing position in the employ of
another Tribe within a five hundred (500) mile radius of
any Tribal gaming operation; and

does not violate any of the requirements set forth in

25 U.S.C. § 2711(a) and (e).

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 Council, a gaming license

may be granted for a term to run concurrently with the term 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

- 20 -


SECTION 14 - RECORDS AND REPORTS
§ 14-1. A gaming operation shall keep permanent books of account
or records, including inventory records of gaming supplies,
sufficient to establish the amount of gross 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 Council, a statement of gross revenues, assessable gross
revenue and net revenues received or collected at each gaming
establishment during the immediate preceding month.
§ 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 Council and the Commission's 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 Council 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 of the financial

- 26 -


Council, 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 Council by consecutively numbered checks
duly signed by a specified officer or officers of the 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.

SECTION 11 - BACKGROUND INVESTIGATIONS

§ 11-1. The Council 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 conducting the investigation, the Council shall keep
confidential the identity of each person interviewed in the course
of the investigation.

§ 11-2. Investigative Reports.

(a) The Council shall prepare and forward to the Commission
an investigative report summarizing each background
investigation of a key employee or primary management
official that the Council intends to employ.

(b) The Council shall forward an investigative report to the
Commission within sixty (60) days after a key employee

or primary management official begins work or within

- 22 -


§ 21-3. Any licensee paying a civil fine or penalty for any
violation enumerated in this Ordinance because of excusable
neglect may petition the Council for a partial or full waiver of
suit, fine, or penalty. The petition shall be filed within thirty
(30) business days after the Payment was made.

§ 21-4. Any person aggrieved by a decision made or action taken
by the Council without notice and opportunity for hearing to the
aggrieved person, may petition the Council 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 Council shall grant a prompt hearing
upon receiving such a petition, and shall reconsider its decision
or action, affirm, modify, reverse and/or vacate the Council's
order in light of what is presented at a hearing.

§ 21-5. Any person aggrieved by a decision made or action taken
by the Council after notice and opportunity for hearing may
petition the Council for review. Such petition shall specifically
set forth the reasons for aggrievement and be filed with the
Council no later than thirty (30) business days after the
Council's decision or action. The Council shall set the matter
for hearing no later than thirty (30) business days and no sooner
than three (3) business days after receipt of the petition, and
may, upon establishing that it has jurisdiction, affirm, modify,

reverse and/or vacate the Council's order.

- 35 -


(xi)

(xii)

(xiii)

(xiv)

(xvi)

(xvii)

the name and address of any licensing or
regulatory agency with which the applicant
has filed an application for an
occupational license or permit, whether or
not such license or permit was granted;

a current photograph;

a complete history of the applicant's
educational background, including the names
of any colleges, universities, trade or
vocational schools, and high schools
attended;

a description of the applicant's family
including an explanation of the
relationships described (e.g., parents,
guardians, etc.);

any financial statement from the
applicant's 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;

copies of the applicant's tax returns for

the prior three (3) years;

-17 -


(af)

(ag)

"Tribe" means the Coast Indian Community of the
Resighini Rancheria.

"Tribal-State compact" means an agreement between the
Tribe and the State of California about class III gaming

under 25 U.S.C. § 2710(d).

SECTION 5 - AUTHORITY OF BUSINESS COUNCIL

§ 5-1.
(a)
(b)

(c)

(d)

(e)

(£)

(g)

The Council shall have the power and responsibility to:
enforce and administer the provisions of this Ordinance;
issue and renew gaming licenses as provided in this
Ordinance and in any regulation which may be promulgated
by the Council;
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;
collect fees and interest as provided for in this
Ordinance;
assess and collect penalties provided for in this
Ordinance;
adjust the respective amounts of the annual license
fees, provided that such fees shall not be increased
retroactively;
audit or cause to be audited expenditures, receipts, and
reports of a licenseé responsible for managing a Tribal

gaming enterprise;


§ 19-3.

(a)

(b)

(c)

§ 19-4.

(a)

(b)

(c)

Procedures for assessment of a civil fine:
within five (5) calendar days after service of a notice
of violation, the alleged violator shall submit written
information about the violation and any corrective
measures undertaken to Council. The Council shall
consider any information so submitted in determining the
facts surrounding the violation and the amount of the
civil fine;
the Council shall serve a copy of the proposed
assessment on the alleged violator within ten (10)
calendar days after the notice of violation was issued,
when practicable; and
the Council may review and reassess any civil fine if
necessary to consider facts that were not reasonably
available on the date of issuance of the proposed
assessment.

Final assessment:
if the alleged violator vails to request a hearing as
provided in § 21 of this Ordinance, the proposed civil
fine assessment shall become a final order of the
Council;
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
the Council shall transfer civil fines paid under this
Ordinance to the Secretary-Treasurer of the Tribe for

deposit into the Tribal Treasury.

-~ 32 -


§ 17-4. 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.

§ 17-5. 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.

§ 17-6. No person, other than an officer of the Tribal Gaming
Security Force, the Del Norte County Sheriff's Office or the BIA
police may enter or remain ina gaming establishment licensed
under this Ordinance while in the possession of a firearm or other
weapon.

§ 17-7. 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.

§ 17-8. The management contractor is responsible for ensuring
that all primary management officials and key employees assisting
in the operation of any gaming activity on the management
contractor's behalf comply with this Ordinance. A violation by
any such officials or employees, unless otherwise provided in an
approved management contract, shall be deemed a violation by the
management contractor and shall subject the contractor to civil
enforcement action. It shall not be a defense that the management
contractor was unaware of the violation.

§ 17-9. No person, whether playing in or conducting any gaming

activity authorized under this Ordinance, shall:

- 29 -


(t)

(u)

(v)

(w)

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gambling devices including

persons with access to cash and accounting
records within such devices;

(ii) If not otherwise included, any other person whose
total cash compensation is in excess of Fifty
Thousand $50,000 Dollars per year; or

(iii) If not otherwise included, the four most highly
compensated persons in the gaming operation.

“Management contract" means any contract, subcontract,

or collateral agreement between the Tribe and a

contractor or between a contractor and a subcontractor

if such contract or agreement provides for the
management of all or part of a gaming operation.

“Management contractor" means the person or entity

holding a contract entered into pursuant to 25 U.S.c.

§ 2710(d) (9) or § 2711.

"Minor" mans a person less than eighteen (18) years of

age.

"Net revenues" means gross gaming revenues of a Tribal

gaming operation less -

(i) Amounts paid out as, or paid for, prizes; and


(m)

n)

(o)

(p)

(qa)

(xr)

(s)

"Gaming" means risking any money or other thing of value
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.
"Gaming establishment" means any location or structure,
wherein gaming is licensed, promoted, performed,
conducted, or operated.
“Gaming License" means the permit granted by the Tribe
to an applicant for employment with a gaming operation.
"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.
"Gross gaming revenues" means the annual total amount of
money wagered and admission fees.
“In privity with" means one who acts jointly with
another or as an accessory before the fact to an act
committed by the other or as a co-conspirator with the
other.
"Key employee" means:
(i) A person who performs one or more of the following

functions:

(1) Bingo caller;

(2) Counting room supervisor;

(3) Chief of security;


(xviii) a description of the applicant's spousal
status including, if applicable, the
existence of any previous marriages;

(xix) fingerprints of the applicant to be taken
by designated police officers 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 applicant's 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 Council 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 he/she already has a management contract to
operate any Indian or non-Indian gaming operation and, if so, a
description of the location of each such operation.

§ 8-6. A management contractor's application shall include

information required by 25 U.S.C. § 2711 and 25 C.F.R. § 537.1.

- 18 -


(aa)

(ac)

(ad)

(ae)

direct financial interest in a management
contract.
"Person having management responsibility for a
management contract" means the person designated in the
management contract as having engagement responsibility
for the gaming operation, or a portion thereof.
“Player" means a person participating in a game with the
hope of winning money or other benefit, but does not
include a licensee, any assistant of a licensee, or
their immediate family.
“Primary management official" means:
(i) The person having management responsibility
for a management contract;
(ii) Any person who has authority;
(1) 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.
“Secretary" means the Secretary of the Interior.
“Tribal 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.


§ 11-3.

(a)

(b)

(c)

gaming license ninety (90) days after a license

application has been submitted.

Granting a Gaming License.

If, within a thirty (30) day period after the Commission
received an investigative report, the Commission
notifies the Council 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 Council may issue a license to
such applicant.

The Council 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.
If, within the thirty (30) day period described in
Subsection (a) above, the Commission provides the
Council with a statement itemizing objections to the
issuance of a gaming license to a key employee or to a
primary management official application, the Council
shall reconsider the application, taking into account
the objections itemized by the Commission. The Council
shall make the final decision whether to issue a gaming

license to such applicant.

- 24 -


NATIONAL
INDIAN
GAMING
COMMISSION

a
mA
oD
nm
6
ica)

Don McCovey, President

Coast Indian Community of the Resighini Rancheria
Post Office Box 529

Klamath, California 95548

Dear President McCovey:

This letter responds to your request to review and approve
tribal gaming ordinance Number 93-01 adopted by the Coast Indian
Community of the Resighini Rancheria (the Tribe) on November 10,
1993. 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 Coast Indian
Community of the Resighini Rancheria for review and approval.
The NIGC staff and I look forward to working with you and the
Tribe in implementing the IGRA.

1850 M STREET. NW_SUNTE 250 __ WASHINGTON. DC 20036 TEL 202-632 7001__ FAX 202-632-7066 _



§ 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. § 502.9.

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

(c) any game determined to be a class II game by
Congressional amendment of the Act, by regulation, or by
decision of the Commission or the federal courts.

§ 6-4, Class III games as follows may be licensed for conduct
on Tribal lands:

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

(b) such class III games authorized under procedures
specified in 25 U.S.c. § 2710 (da) (7) (B).

SECTION 7 - GAMING LICENSES REQUIRED
§ 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;

(iii) all other employees; and

- 11 -


(h) xeview, 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) draw up such forms as it deems necessary;

(j) 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;

(k) conduct hearings provided for in this Ordinance;

(1) deposit all fees, penalties, and interest collected
under authority of this Ordinance into an account to the
credit of the Tribe;

(m) 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

(n) take such other actions and issue such orders and
promulgate such regulations as the Council may deem
necessary to properly and fully perform its duties and
responsibilities under this Ordinance.

§ 5-2. The Council may appoint a committee of not more than
three (3) Tribal members to exercise any or all of the powers and
responsibilities set out in § 5-1 of this Ordinance, above.
SECTION 6 - GAMES AUTHORIZED

§ 6-1. The Tribe shall have the sole proprietary interest in and

responsibility for the conduct of any gaming operation.

- 10 -


(a)

(e)

(f)

a statement that the violation must be corrected within
five (5) calendar days from the date the notice was
issued;

a statement of the alleged violator's rights of appeal;
and

the amount of civil fines that the alleged violator must

pay pursuant to Section 19, below.

SECTION 19 - CIVIL FINES

§ 19-1.

In issuing a notice of violation under Section 18 of this

Ordinance, the Council may:

(a)

(b)

§ 19-2.

impose a civil fine not to exceed. Five Hundred ($500)
Dollars for each violation and, if such violation isa
continuing one, for each day, that the violation occurs;
and/or

impose a penalty of One Hundred ($100) Dollars per day
for failure to submit to the Council 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.

How assessments are made.

The Council 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 violation,

whether such daily violation will be deemed a separate

violation for purposes of the total civil fine assessed.

- 31 -


(a) use bogus or counterfeit cards, or substitute or use any
game cards that have been tampered with;
(b) employ or have on one's person any cheating device to
facilitate cheating in any gaming activity; or
(ec) 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.
17-10. A gaming operation's facility shall be constructed,
maintained, and operated in a manner that does not threaten the
environment or the public health and safety.
§17-11. Alcohol, which is not for sale by the licensee to
customers, and/or controlled substances are not to be brought into
the gaming establishment.
§ 17-12. I£ the management contractor 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 contractor.
SECTION 18 - NOTICE OF VIOLATION
§ 18-1. The Council may issue a notice of violation to any person
for violation of any provision of this Ordinance.
§ 18-2. A notice of violation 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;

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(x)

(y)

(z)

(ii) Total gaming-related operating expenses, excluding

Management fees.

"Operating expenses" means total gaming-related expenses

excluding management fees.

“Person" means any individual, firm, partnership,

corporation, company, or association.

"Person having a direct or indirect financial interest

in a management contract" means:

(i)

(iii)

(iv)

(v)

When a person who is a party toa management
contract, any person having a direct
financial interest in such management
contract;

When a trust is a party to a management
contract, any beneficiary or trustee;

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

When a corporation is a party to a management
contract, any person who is a director or

who holds at least ten percent (10%) of the
issued and outstanding stock alone or in
combination with another stockholder who is a
spouse, parent, child or sibling; or

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


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.

§ 9-4. The Council 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 Council for class III gaming.
SECTION 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 primary 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 Council may waive the annual fee on a case-by-case
basis.

§ 10-2. The Council may annually adjust, not exceeding ten
percent (10%), the amount of the 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 applicant's 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 (1/2) 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

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(b) National Indian Gaming Commission Regulations;
(c) the laws of the Tribe; and
(a) if no Tribal laws exist, the laws of the State of
California, which are incorporated herein by
reference.
SECTION 25 ~ SAVINGS PROVISION
§ 25-1. 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 26 - EFFECTIVE DATE/REPEAL
§ 26-1. This Ordinance shall be effective immediately upon
approval by appropriate governmental authority and, once approved,

all previous gaming Ordinances shall be repealed.

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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
Commission 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 Commission's authorized representative.

§ 15-2. All gaming related 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

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SECTION 4 - DEFINITIONS

§ 4-1.

For the purpose of this Ordinance, the following

definitions shall apply:

(a)

(b)

(c)

(a)

"Act" means the Indian Gaming Regulatory Act, Public Law
100-497, 102 Stat. 2466, codified as 25 U.S.C. §§ 2701,
et seq.

"Applicant" means any person that completes an

application with the Tribe for a gaming license.

"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.

"Bingo" means that game of chance (whether or not

electronic, computer, or other technologic aids are used

in connection therewith) :

(i) which is played for prizes, including monetary
prizes, with cards bearing numbers or other
designations;

(ii) in which the holder of the cards covers such
numbers or designations when objects, similarly
numbered or designated, are drawn or
electronically determined; and

(iii) in which the game is won by the first person
covering a previously designated arrangement of

numbers or designations on such cards.


need for the information in the performance of
their official duties. The information may be
disclosed to appropriate Federal, Tribal,
State, local, or foreign law enforcement and
regulatory agencies when relevant to civil,
criminal or regulatory investigations or
prosecutions or when pursuant to a requirement
by a Tribe or the National Indian Gaming
Commission in connection with the hiring or
firing of an employee, the issuance or
revocation of a gaming license, or
investigations of activities while associated
with a Tribe or a gaming operation. Failure
to consent to the disclosures indicated in
this notice will result in a Tribe's being
unable to hire you in a 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,

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(vii)

(viii)

(ix)

(x)

industry generally, including ownership
interests in those businesses;

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;

for each felony for which there is an
ongoing prosecution or a conviction, the
charge the name and address of the court
involved, and the date and disposition if
any;

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;

for each criminal charge (excluding minor
traffic charges) whether or not there is a
conviction, if such criminal charge is
within ten (10) years of the date of the
application and is not otherwise listed
pursuant to paragraph (d) (viii) or (da) (ix)
of this Section, the criminal charge, the
name and address of the court involved, and

the date and disposition;

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(d) That the gaming activities provided for by this
Ordinance within lands of the Tribe shall be conducted
in conformance with the requirements of this Ordinance
and the Indian Gaming Regulatory Act, 102 Stat. 2467,
25 U.S.C. § 2701, et seq., as implemented by the

regulations promulgated by the National Indian Gaming

Commission.

SECTION 3 - FINDINGS
§ 3-1. The Business Council finds that -

(a) Class II 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; and

(iii) non-banking card games.

(b) Class III gaming may be conducted on Tribal lands of the
Tribe by reason of the fact that the State of California

permits a broad variety of such gaming, including, but

not limited to -

(i) lottery - including on-line computer games;
(ii) pari-mutuel wagering on horse racing;
(iii) card games, including poker, pinochle, bridge,

rummy, Canasta, hearts, dominoes, and mah jong;

(iv) casino gaming;
(v) off-track betting and/or simulcasting of horse
races.


§ 23-3. 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 the admission fee shall be
refunded.

§ 23-4. Ejection of a customer shall be accomplished by the

Tribal Gaming Security force or by the Del Norte County Sheriff's

Office, upon request of the gaming operation.

§ 23-5. (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 II games at the
establishment.

(b) If the 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 Council for resolution.
Action by the Council may be initiated by making a
written request to the Business Council of the Coast
Indian Community of the Resighini Rancheria, Klamath,
California. The decision of.the Council on any dispute
so referred to it for resolution shall be final.

SECTION 24 - APPLICABLE LAW

§ 24-1. All controversies involving contracts relating to gaming

entered into under the authority of the Council on Tribal lands

shall be resolved, as appropriate, in accordance with:

(a) the Indian Gaming Regulatory Act;

-~ 37 -


§ 11-4. Gaming License Suspension.
If, after the issuance of a gaming license, the Tribe
receives from the Commission reliable information indicating
that a key employee or a primary Management official is not
eligible for employment under Section 9 of this Ordinance,
the Tribe shall suspend such license and shall notify in
writing the licensee of the suspension and the proposed
revocation.
SECTION 12 - MAINTENANCE OF GAMING FACILITY
§ 12-1. The Council 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.
SECTION 13 - USE OF NET 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 general welfare of the Tribe and its
members;
(c) to promote Tribal economic development ;
(d) to donate to charitable organizations; or
(e) to help fund operations of Tribal government .
§ 13-2. If the Council elects to make per capita payments to
tribal members, it shall authorize such payments only upon
approval of a plan submitted to the Secretary pursuant to 25

U.S.C. § 2710(b) (3).

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ORDINANCE No, _93-01

ORDINANCE
OF THE COAST INDIAN COMMUNITY OF
THE RESIGHINI RANCHERIA
FOR GAMING ON
TRIBAL LANDS

An Ordinance to regulate and
provide for the licensing of
Class II and Class III gaming
on Tribal lands of the Coast Indian
Community of the Resighini Rancheria

GENERAL PROVISIONS

SECTION 1 - SHORT TITLE
This Ordinance may be cited as the "Coast Indian
Community of the Resighini Rancheria Gaming Ordinance."
SECTION 2 - DECLARATION OF TRIBAL POLICY
§ 2-1. It is the policy of the Coast Indian
Community of the Resighini Rancheria, hereinafter referred to as
"Tribe":
(a) That the Tribe shall have the sole proprietary interest
in any gaming operation;
(b) That all gaming operations on Tribal lands shall be
conducted by the Tribe, through employees of the Tribal
Council 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


SECTION 20 - ENFORCEMENT
§ 20-1. The Council 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 Council; or
(b) bring an action in a court of competent jurisdiction for
imposition of one or more of the following sanctions:
(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.
§ 20-2. Civil actions may be brought by the Council pursuant to
this Ordinance in any court of competent jurisdiction to enforce
the imposition of any and all sanctions provided for under this
ordinance.
§ 20-3. Before taking any action authorized in § 19 and § 20-1 of
this Ordinance, the Council shall use its best efforts to notify
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. If the
alleged violator fails to respond, or cannot be found, the Council

may proceed with a hearing notwithstanding, and take such action

- 33 -


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

SECTION 16 - GROSS GAMING REVENUES

§ 16-1. The gross gaming revenues derived from gaming operations
are Tribal funds and may be expended by a licensee whose authority
is either delegated or provided for by the Council in an approved
management contract.

SECTION 17 - VIOLATIONS

§ 17-1. 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 Council as required by this

. y
Ordinance.

§ 17-2. No person shall knowingly submit false or misleading
information to the Commission or the Tribe in'response to any
provision of the Act, Chapter III 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.

§ 17-3. (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 Commission or an
authorized Tribal official to enter or inspect a gaming
operation in violation of 25 C.F.R. § 571.5 or § 571.6,

or of a Tribal Ordinance or resolution approved by the

Chairman under parts 522 or 523 in Title 25 C.F.R.

- 28 -


(b)

each place, facility, or location on Tribal lands at

which class II or class III 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 Council.

The application shall set forth:

(a)

(b)

(c)

the name under which the applicant transacts or intends
to transact business on Tribal lands; and

the location of the gaming establishment for which the
gaming license is sought; and

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 signator's authority shall be
attached. The applicant shall provide evidence of
authority of the signator or any other representative to
act for and bind the applicant. If any change is made
in that authority, the Council shall be immediately

informed in writing and, until that information is filed

- 12 -


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)

(ii)

(iii)

(iv)

(v)

(vi)

full name, other names used (oral or
written), social security number(s), birth
date, place of birth, citizenship, gender,
all languages (spoken or written) ;
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;

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 (da) (ii) of
this Section;

current business and residence telephone
numbers;

a description of any existing and previous
business relationships with Indian tribes,
including ownership interests in those
businesses;

a description of any existing and previous

business relationships with the gaming

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