JUL S

PASKENTA BAND OF NOMLAKI INDIANS

P.O. BOX 398 -

ORLAND, CA 95963

PHONE: (530) 865-2010 OR (530) 865-3119

FAX: (530) 865-1870 OR (530) 865-2345

GAMING ORDINANCE NO. 2000-419A

ARTICLE I: PURPOSE

The Paskenta Band ofNomlaki Indians, acting through its Tribal Council, pursuant to the Bands

inherent authority and Article

VI, Section 1(d) of the Bands Constitution, hereby enacts this Ordinance in order to set the

terms for class H and class Ill gaming operations on the Paskenta Reservation.

ARTICLE H: DEFINITIONS

Section 1. General

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

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

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

Section 2. Special Terms

In this Ordinance:

(a) BAND: Band means the Paskenta Band ofNomlaki Indians.

(b) BAND MEMBER: Band member means any individual who is duly enrolled in

the Band in accordance with the Bands Constitution ratified on April 18, 1998

and any enrollment ordinance that may be enacted by the Band, as amended from

time to time.

(c) COMMISSION: Commission means the Paskenta Gaming Commission

established pursuant to Ordinance No. 1999-Id duly adopted by the General

Council.
(d) COMPACT: Compact means the Tribal-State Compact between the Band and

the State of California authorizing class ifi gaming activities, as required by

IGRA, 25 U.S.C. § 2701(dXl)(C) and amended from time to time.

(e) GENERAL COUNCIL: General Council consists of all Band members who are

eighteen (18) years of age or older.

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

seq. and its regulations, 25 C.F.R. § 500 el seq.

(g) KEY EMPLOYEE: key employee means

(a) A person who performs one or more of the following functions: bingo

caller; counting room supervisor; chief of security; custodian of gaming

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

credit; or custodian of gambling devices including persons with access to

cash and accounting records within such devices;

(b) if not otherwise included, any other person whose total cash compensation

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

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

the gaming operation.

(h) NTGC: NIOC means the National Indian Gaming Commission established

pursuant to 25 U.S.C. § 2704.

(i) PRIMARY MANAGEMENT OFFICIAL: Primary Management Official

means

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

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

working policy for the gaming operation; or

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

responsibility.

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

in Subsection 2.18 of the Compact; and

(k) TRIBAL COUNCIL: Tribal Council means the five-member governing body of

the Band, existing and functioning pursuant to the Bands Constitution ratified on

April 18, 1998.
ARTICLE III: GAMING AUTHORIZED

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

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

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

authorized under the Compact.

ARTICLE IV: WNERSI-IP OF GAMING

The Band shall have the sole propriety interest in and responsibility for the conduct of

any gaming operation authorized by this Ordinance.

ARTICLE V: USE OF GAMING REVENUES

Section 1. Use of Net Revenues

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

purposes:

(a) to fund tribal government operations and programs;

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

(c) to promote tribal economic development;

(d) to donate to charitable organizations

(e) to help fund operations of local government agencies; or

(f) to make contributions, as required by the Compact, to any revenue-sharing funds

established for the benefit of the State or non-gaming Tribes.

Section 2. Per Capita Payments

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

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

§~ 2710(b)(3).

ARTICLE VI: AUDIT

Sectioni. Annual Audit

The Commission shall cause to be conducted annually an independent audit of gaming

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

conducted by an independent certified public accountant, in accordance3 with the auditing and
accounting standards for audits of casinos of the American Institute of Certified Public

Accountants.

Section 2. Gaming Contracts

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

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

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

audit that is described in Section 1 of this Article.

ARTICLE VII: PROTECTION OF THE ENVIRONMENT,

PUBLIC HEALTH AND SAFETY

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

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

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

are consistent with its obligations under the Compact.

ARTICLE VIII: MINIMUM AGE REQUIREMENTS

If the Band permits the consumption of alcoholic beverages in a gaming facility, no person under

the age of twenty-one (21) years shall be permitted to be present in any area in which class II or

class ifi gaming activities are being conducted and in which alcoholic beverages may be

consumed, to the extent required by the state Department of Alcoholic Beverage Control. No

person under the age of eighteen (18) years shall be permitted to be present in any room in which

class H or class ifi gaming activities are being conducted unless the person is en-route to a nongaming area of the gaming facility.

ARTICLE LX: FIREARMS CONTROL

Possession of firearms shall be prohibited at all times in class II and class ifi gaming facilities

operated under this Ordinance, except for possession of flreanns by state, local, or tribal security

or law enforcement personnel authorized by federal, state, or tribal law to possess firearms at the

facilities.

ARTICLE X: LICENSES

Section 1. License Requirements

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

A. All employees, including key employees and primary management officials,

employed at any class II or class H gaming enterprise operated under this

Ordinance;
B. Gaming resource suppliers required to be licensed under Subsection 6.4.5 of the

Compact;

C. Persons extending financing, directly or indirectly, to the Bands gaming facility

or gaming operations; and

D. Each place, facility, or location where class H or class ifi gaming is conducted

under this Ordinance.

Section 2. Background Investigations

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

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

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

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

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

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

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

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

Section 3. Eligibility Determination

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

reputation, habits and associations to make a finding concerning an applicants eligibility for a

license. A license may not be issued unless the Commission is satisfied the applicant is a person

of good character, honesty and integrity. The Commission shall not license a person if the

Commission determines that the licensing of the person: poses a threat to the public interest or to

the effective regulation of gaming; creates or enhances dangers of unsuitable, unfair, or illegal

practices and methods and activities in the conduct ofgaming or the cariy8ing on of business and

financial arrangements incidental thereto; or will undermine public trust that tribal gaming is free

from criminal and dishonest elements and would be conducted honestly.

Section 4. Periodic Review

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

every two (2) years after issuance.

Section 5. Reporting

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

application s, background investigation reports and related information to the NIGC and the State

Gaming Agency and notify the NEGC and the State Gaming Agency of its decisions to deny,

issue, suspend, or revoke~ licenses.
Section 6. Additional Requirements

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

such additional licensing and background investigation requirements and procedures as it deems

appropriate, provided that such additional requirements are at least as stringent as those

contained in IGRA (i.e., 25 U.S.C. § 2710(b)(2)(F) and 25 C.F.R. Parts 556 and 558) and the

Compact.

ARTICLE XI: ENFORCEMENT

The Tribal Council shall promulgate regulations authorizing the Commission or other agent of

the Band to investigate rep9orted violations of this Ordinance, other tribal gaming ordinances or

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

jurisdiction against persons who interfere with the Bands obligations under this Ordinance,

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

ARTICLE XII: RESOLUTION OF PATRON DISPUTES

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

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

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

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

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

the petitioner

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

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

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

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

ARTICLE XIII: SERVICE OF PROCESS

The Band designates the Bands Chairperson as its agent for service of any official

determination, order, or notice of violation.

ARTICLE X1V: REPEAL

To the extent that they are inconsistent with this Ordinance, all prior gaming ordinances

are hereby repealed.

AR1ICLE XV: SEVERABILITY

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

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

provisions shall continue in full force and effect.
ARTICLE XVI: AMENDMENT OF ORDINANCE

This Ordinance may be amended or repealed by unanimous vote of the Tribal Council.

ARTICLE XVII: EFFECTIVE DATE

This Ordinance shall become effective immediately upon its approval by the Chairman of

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

or she fails to approve or disapprove this Ordinance within those ninety (90) days.

CERTIFICATION

We, the undersigned officers of the Paskenta Band of Nomlaki Indians, do hereby certify that the

foregoing Ordinance was reviewed and adopted by the Tribal Council at a duly called meeting

on 4-19-00, by a vote of 5 in favor, 0 opposed and 0 abstaining.

__________________

7ed

Everett Freeman, Chairperson lTYate

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Since 1994
Issued Apr11 19, 2000

PASKENTA BAND OF NOMLAKI INDIANS OF CALIFORNIA

GAMING REGULATION 00419B

Ucensing and Background Investigation Procedures

~wpose

This Regulation describes the procedures to be followed by the Paskenta Gaming Commission

(the Commission) when conducting background investigations and issuing licenses in connection with

any class II or class m gaming facilities operated on the Paskenta Reservation pursuant to the Bands

Gaming Ordinance.

11. Incorporation by Reference

This Regulation supplements the provisions of the Bands Gaming Ordinance, the Indian Gaming

Regulatory Act (25U.S.C. § 2701 et seq.) and its regulations (25 C.F.R. § 500 et seq.) (IGRA), and the

gaming compact between the Band and the State of California (the Compact), whidi are incorporated

herein. In the event of a conflict or inconsistency between this Regulation and the provisions of the

Gaming Ordinance, IGRA or the Compact, the provisions of the Gaming Ordinance or the Compact prevail to the extent of the conflict or inconsistency. Unless specified otherwise, terms used herein stall have the

same meaning as in the Gaming Ordinance or the Compact.

Ill. Scope

The following persons and entities are required to be licensed by the Commission, and as a baias

for issuing a license the Commission must conduct or cause to be conducted a background investigation of

those persons listed in subparagrapbs A - C below

A. All employees, including key employees and primary management officials, employed at

any class II cc class III gaming enterprise opemted under this Ordinance;

B. Gaming resource suppliers required to be licensed under Subsection 6.4.5 of the

Compac~

C. Persons extending finandng~ directly or indirectly, to the Bands gaming facility cc

gaming operations; and

D. Eadi place, facility, or location where class II or class ifi gaming is conducted wider this

Ordinance.

IV. Powers and Responsibilities

The Commission has the following powers and responsibilities:

A. To conduct or cause to be conducted background investigations;
/.,..

Issued April 19, 2000

B. To receive, directly or through its agents~ state summary criminal history information, as

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

license applicanVs name by the California Department ofJustice, and to take such

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

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

information;

C. To prepare or cause to be prepared an investigative report in compliance with the Gaining

Ordinance;

D. To review and approve the investigative work done;

E. To obtain and process flngvq~uits, directly or through its agents;

F. To forward license applications and the results of the backgromid investigations to the

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

extent required by IGRA and the CompacL

G. To make eligibility detenninalious in accordance with Seotion DC of this Regulation;

FL To issue, deny, suspend, revoke and renew licenses in accordance with the provisions of

this Regulation; and

I. To maintain rec~ds on persons who have been issued or denied a license, as well as

persons otherwise prdiibited from engaging in gaming adivities within the Bands

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

was revoked or danie~i

V. Scone of Investigations

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

reasonably required to determine that an applicant is eligible for a license in accordance with the standard

set forth hi Section DC of this Regulation. The minimum procedures for conducting background

investigations on applicants for licenses are as follows:

A. Criminal history check, including a check of records maintained by the Federal Bureau of

Investigations and the California Department of Justice;

B. Civil history check;

C. Financial and credit check;

D. Reference chock;

E. Previous business and employment check;

F. Relative check;

0. Business and personal associates check;

H. Fingerprint check; and

1. Educational verification.

2
Issued April 19, 2000

The above information subtnitted by the applicant may be verified by wTittal or oral

communication. The disposition of all potential probLem areas noted and disquali1~ying information

obtained shall be documented by the Commission.

VI. Cooperation

The Commission shalt cooperate with the State Gaming Agency hi sharing as mudi background

information as possible, in order to maximize investigative efficiency and thoroughness and to minimize

investigative costs.

VII. Fingerprintin2

The Commission shall be deemed to be the Bands law enforcement agency for the purpose of

taking fingerprints and conducting eriminal history diecis under this Regulation. The Commission may

elect to process fingerprint cards directly on behalfofthe Band or to process fingerprint cards through the

State Gaming Agency or the N!GC and may execute such documents as may be necessary to enter into

such an arrangement. Fingerprint cards shall be submitted to the Federal Bureau of Investigations and the

California Department of Justice in order to obtain erhninal history record information.

VIII. Confidentiality

The identity of third parties interview during the c~se of badcground investigations shall be kept

confidential.

IX. Eligibility Determinations

The Commission shall review an applicants prior activities, aiminal record, ifany, and reputation

habits and associations to make a finding concerning an applicants eligibility for a licàise~:A license may

not be issued unless the Commission is satisfied the applicant is a person ofgood cbaractor, honesty and

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

the person: poses a threat to the public interest or to the eft~ctive regulation of gaming; ere tes or enhances

dangers of unsuitable~ unfair, or illegal practices and methods and activities in the conduct ófgaming or the

carrying on of business and financial ariangunecits incidental thereto; or will undermine public trust that

tribal gaming is free from aiminal and dishonest elements and would be conducted honestly.

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

consideration any of the following circumstances:

A. If the applicant knowingly and intentionally provided false statements or information or

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

disclose a material fact to the Commission;

B. If the prior activities, eriminal record, reputation, habits, and association indicate that the

person may be a threat to the public interest or to the effective regulation and cootrol of

gaming;

C. If association with or employment ofthis applicant ereates or enhances the dangers of

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

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

D. If the applicants has violated, failed, or refused to comply with the provisions,

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

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

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

substantial control;

3
Issued April 19, 2000

E. If the applicant knowingly caused, aided, abotted, or conspired with another to cause any

person or entity to violate any of the laws of any state, the provisions of the Compact or

the Gaming Ordinance;

F. If the applicant has ever obtained a license by fraud, misrepresentation, con urnit~ or

through inadvertence or mistake;

G. If the applicant has ever been convicted of; or forfeited bond upon a charge of; or plead

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

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

or filed false reports therewith, or of any simll& offense(s), or ofbribing or otherwise

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

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

harm to individuals or moral twpitude;

It If the applicant is subject to current prosecution or pending charges, or a conviction under

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

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

prosecution or appeal;

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

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

State, Tribe or foreign gaming regulatxy agency suspended, revoked or denied, or

If the applicant has failed to provide any infbrmation requested by the Commission

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

X. Privacy Notice

A. The following notice, or substantially similar wording contained in such standardized

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

pursuant to the compact, thall be placed on the license application form before that form

is filled out by an applicant

In compliance with the PriwryAct of1974, thefoilowing b!fonnation Lsprovide4

Solicitation ofthe Iilformazion on thisform is authorized by 25 U.S C. § 2701 et seq. The

pwpose ofthe requested iiformation is to determine the eligibility ofindividuaLc to be

employed hi or do business with a gaming operation. The b!formatlon will be used by the

Paskenta Gaming Cornmission the State Gaming Agency, and the NationoJ Indian

Gaming Commission members and staffwho have needfor the liformatlon In the

performance oftheir official duties. The uformation may be disclosed to appropriate

Federai~ Thiba1~ State; local, orforeign law eiforcernent and regulatory agencies when

relevant to civil, criminal or regulatory uwestigatlons orprosecwions or s*enpwwuant

to a requirement by a tribe; the State Gaming Agency, or the National Indian Gaming

Commission in connection with the hiring orfiring ofan employee; the issuance or

revocation ofa gaming license; or investigations ofactivities while associated with a

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

will result in a tribes being unable to hire you or do business with you. 77~ disclosure

ofyour Social Security Nwnber (3~9 is voiwittisy. Ho~ver, failure to supply a 55W

may result in envrs in processing your application.

B. Existing licensees shall be notified in ~iting that they shall either:

4
Issued April 19, 2000

I. Complete a new application form that contains a notice regarding false

statements, or

2. Sign a statement that contains the Privacy Act notice; or routine uses described

hi that notice.

Xl. Notice Regarding False Statements

A. The following notice, or such substantially similar wording contained in standardized

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

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

out by an applicant.

AfaLre statement on airy part ofyour application may be growidsfor denial or

revocation ofa lice7ise4 ALso, you may bepwvshedbyflne or imprisonment.

(U.S. Code, title 18, section 1001.)

B. The Commission shall notify in writing existing licensees that they shall either:

I. Complete a new application form that contains a notice regarding false

statements or

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

XII. Required Information - General

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

A. Full name, other names used (oral cc written), social security number(s), birth date, place

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

B. Currently and for the previous five (5) ~ars: business and anplo~nent positions held,

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

licaise numbers;

C. The names and current addresses ofat least three (3) personal references, including one

(1) personal reference who was acquainted with the applicant during each penod of

residence listed under paragraph (1) (b) ofthis Section;

D. Current business and residence telephone numbers;

E. A desaiption of any existing and previous business relationships with indian tribes,

including ownership interests in those businesses;

F. A descziption of any existing and previous business relationships with the gaming

industry generally, including ownership interests in those business;

G. The name and address of any licensing or regulatory agency with which the person has

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

or permit was granted;

1-I. For each folony 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,

5
Issued April 19, 2000

I. For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding minor

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

address of the court involved and the date and disposition;

3. 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 application and

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

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

K. The name and address of any licensing or regulatory agency with which the person has

filed an application for any occupational license or permit, whdher or not such license or

was grante~

L. A current photograph

M~ Any other information the Commission deems relevant; and

N. Fingerprints consistent with procedures adopted by the Commission according to 25

C.F.R.. §~ 522.2(h).

XIII. Required Information -

Business Entities

In addition to the information required wider Section XII ofthis Regulation, the Commission shall

request from an applicant that is a business entity all of the following information, provided that two (2) or

more business entities having a commonality ofthe characteristics identified in the following

subp&ahsA-D,inclusivemaybddeemedtobeasinglesbusinessentity

A. Each of its officers and directors;

B. Each of its principal management emph~yees, including any thief executive officer, chief

financial officer, thief operating officer, and general manager

C. Each of its owners or partners, if an unincorporated business;

D. Each of its sharcholders who owns more than ten percent (10%) of the shares ofthe

corporation, if a corporation;

E. Each person or entity (other than a financial institution that the Commission has

determined does not require a lionise wider Subsection 6.4.6 of the Compact) that, alone

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

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

than ten percent(I0%)of~

I. the start-up capital;

2. the operating capital over a 12-month period or

3. a combination thereof.

6
Issued April 19, 2000

XIV. Report to the NIGC

A. When a key employee or primary management official begins w~k at a gaming

operation authcrized by this Ordinance, the Commission shall forward to the NIGC a

completed application for employment and conduct the background investigation and

make the determination referred to in Section IX of this Regulation. The commission

shall prepare and forward to the NIGC, within sixty (60) days after akey employee or

primary management official begins work or within sixty (60) days ofthe approval of this

Ordinance by the Qmirman ofthe NIGC, an investigative rq~ on cash background

investigation and a copy of the eligibility determination made under Section DC of this

Regulation. The background investigation report shall include all of the following:

1. Steps taken in conducting a background investigation;

2. Results obtained;

3. Conclusions reathed and

4. The basis for those conclusions.

B. With respect to key employees and primary management officials, if a license is not

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

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

the Indian Gaming Individuals Records Systems.

C. With respect of key employees and primary management officials, the Commission shall

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

inspection by the (Iminnan of the N1CIC or his or her designee for no less than three (3)

years from the date of termination of employment.

XV. Reporting to State Gaming Agency

A. Except fbe an applicant for licensing as a non-key gaming employee, as defined by

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

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

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

Gambling Control Act

B. Upon receipt of a completed license application and a determination, by the Commission

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

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

1. A copy of the license application materials and hilixination received by the

Commission from the applicant;

2. An original set of flngu~p~ zut cards;

3. A current photograph; and

4. Except to the extent waived by the State Gaming Agency, sudi releases of

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

obtained by the Commission.

C. Upon receiving notice of the State Gaming Agencys denial of an application for a

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

7
Issued April 19, 2000

and, if the Cocninission objects to the denial, request an opportunity for the Band to be

heard and diligently exercise its right to a hearing.

D. With respect to non-key gaming employees, as defined by agreement between the

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

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

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

XVI. Granting a Gaming License

A. Key Employees and Primary Management Officials. 1f within a 30-day period after the

N1GC receives a report, the NIGC notifies the Commission that it has no objection to the

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

primary mfinagunent official for whom the commission has provided an application and

investigative report to the NIGC, the Cnmmiscion any issue a license to such applicant.

The Commission shall respond to a request for additional information from the Q~ahman

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

ofa report. Such a request shall suspend the 30-day period until the Cbairman of the

NIGC receives the additional information. lf~ within the 30-day period described above~

the NIGC provides the Commission with a statement itemizing objections to the issuance

ofa license to a key employee or to a primary management offidal for whom the

Commission has provided an application and investigative rep~t to the NIGC, the

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

by N1GC. The Commission shall make the final decision whether to issue a license to

such applicant.

B. All Employees. Including Primary Managanait Officials. If an applicant has completed

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

conducted a preliminary background investigation, the Commission may issue a

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

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

suggesting the applicant would either be automatically disqualified from obtaining a

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

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

eligibility standards set out hi Section 1X of this Regulation after receiving a

determination of the applicants suitability form the State Gaming Agency. In the event

the State Gaming Agency denies an applicant a determination of suitability or refuses to

renew a determination of suitability, the Commission shall revoke any temporary license

issued to the applicant and deny the applicant a license, except that the Commission shall

have discretion to renew a license if the person is an enrolled member ofthe Band or has

been continuously employed by the Band for at least three (3) years prior to the effective

date of the Compact and also meets the following criteria:

1. The person holds a valid and mirrait license issued by the Commission;

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

3. The State Gaming Agencys denial of the persons application for a

determination of suitability is based solely on activities,, conduct or associations

that antedate the filing of the persons initial application to the State Gaming

Agency for a determination of suitability.

8
Issued April 19, 2000

XVII. Limitation

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

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

XVIII. Identification Cards

All persons who are required to be Licensed pursuant to the Gaining Ordinance shall be required to

wear, in plain view at all times while in a gaming facility licensed by the Commission, identification

badges issued by the Commission. The identification badges must display the persons photograph,

identification number, name and expiration date of his or her license.

XIX. Gamir~g Facility

A. The Commission shall issue a separate license to each facility where class II or class Ill

gaming is conducted wider this Ordinance~ The license shall be posted in a conspicuous

and public place in thegaming facilityat all times.

B. The Commission shall determine and, if appropriate, certify that eadi gaming facility, or

the modification or expansion ofa gam~mg facility, meets the Bands building and safety

code and the Americans with Disabilities Act, 42 U.S.C. § 12101 etseq. Based an

inspection by qualified building and safety experts.

C. The Commission shall give reasonable notice of each inspection to the States designated

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

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

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

Bands (bairperson.

D. The Band is responsible for ensuring that any gaming facility condition noted in an

inspection that does not meet the standards set out hi paragraph B of this Section is

E. If the States designated agent or agents object to a ~tiflcation by the Bands building

and safety code experts that a gRnling facility meets the standards set out hi paragraph B

ofthis Section, the Band shall make good faith efforts to address the States concerns, but

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

the dispute resolution provisions of Section 9 of the Compact.

XX. Gaming Resource Suppliers

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

likely to provide t least t~nty-five thousand dollars ($25,000.00) in gaming resources I any 12-month

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

period with the 24-month period immediately preceding application, shall be licensed by the commission

prior to the sale, lease, or distribution, or further sale, lease, or distribution, of any such gaming resources to

or in connection with the Bands gaming facilitie& The Band shall not enter into, or continue to make

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

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

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

deemed to include a provision for its termination without further liability on the part of the Band, except for

a bonn fide repayment of all outstanding sin~ns (exc1usi~ of interest) owed as of or payment for services or

materials received up to, the date of termination, upon revocation or non-renewal of the suppliers license

by the Commission based on a determination of unsuitability by the State Gaming Agency.

9
Issued April 19, 2000

XXI. Financial Sources

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

operations shall be licensed by the Commission prior to extending that financing, provided that any person

who is extending financing at the time of the execution of the Compact shall be licensed by the Commission

within ninety (90) days of such execution. Any agreement between the Band and a financial source shall

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

for the bona fide repayment of all outstanding sums (exclusive of interest) owed as of the date of

termination, upon revocation or non-renewal of the financial sources license by the Commission based on

a determination of unsuitability by the State Gaming Agency. The Band shall not enter into, or continue to

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

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

expired without renewal. A gaming resource supplier who provides financing exclusively in connection

with the sale or lease of gaining resources obtained from that supplier may be licensed solely in accordance

with licensing procedures applicable, if at all, to gaming resource suppliers. The Commission may, at its

discretion, exclude from the licensing requirements of this section, financing provided by a federally

regulated or state-regulated bank, savings and loan, or other federally- or state-regulated lending institution;

or any agency of the federal, state, or local government, or any investor who, alone or in conjunction with

others, holds less than 10% of any outstanding indebtedness evidenced by bonds issued by the Band.

XXII. Denial. Revocation and Susnension of License

A license shall be suspended, revoked or denied upon the occurrence of any of the following:

A. Notification by the NIGC, or by any other reliable source, that the licensee is not eligible

for a license under Section IX of this Regulation;

B. Notification by the State Gaming Agency that it intends to deny an application for a

determination of suitability or a renewal of determination of suitability;

C. The Commission has probable cause to believe that the licensee has, by act or omission,

violated provisions of the Compact~ the Gaming Ordinance, the Bands Gaming

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

or Tnbal laws or regulations;

D. The Commission has reason to believe that the continued licensing of a person

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

B. The Commission has reason to believe that the licensee is involved in any theft,

misappropriation, misuse or abuse of Tribal assets;

F. The licensee engages in any conduct that brings discredit or embarrassment to the Bands

gaming operations or the Band, or interferes with the normal operation of the Bands

gaming facilities;

0. The licensee fails to disclose any required information on any State or Tribal gaming

license application;

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

of the date of the initial request; or

I. The licensees employment with the Bands gaming operations is terminated, voluntarily

or involuntarily.

10
Issued April 19, 2000

XXIII. Due Process

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

require:

A. Written, certified, return receipt requested or personally hand-delivered notification of the

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

advance of the proposed action;

B. Such written notification shall include information concerning the licensees right to a

hearing, shall specif~,i the date~ time and place for the hearing, and shall also advise the

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

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

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

rightto flleapetitionwiththcCommission forarthearingwithin flfteen(lS)daysofthe

receipt of the written notification;

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

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

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

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

E. Notwithstanding subparagraph A above, the Commission may suspend or revoke a

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

licensing of the person:

1. falsified a li~ise application;

2. poses an immediate threat to the integrity of the Bands gaming operations;

3. poses a threat to public health or safety; or

4. may violate the Commissions licensing or other standards.

XXIV. Duration and Renewal

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

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

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

obligation to apply to the State Gaming Agency for renewal of his or her determination of suitability. Any

licensee applying for renewal may continue to beeniployed or engaged under the expired License until the

Commission takes a~ion on the renewal application. Applicants for renewal shall provide updated material

as requested by the commission but shall not be required to resubmit information already available to the

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

Updated criminal history checks are required.

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

the renewal application and related document With respect to gaming facilities, the Commission shall

provide verification to the State Gaming Agency that it has reviewed and, if appropriate, renewed a gaming

facilitys license.

ii
Issued April 19, 2000

XXV. Fees

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

nonrefundable, regardless of wheth~ cc not a license is issued. Such fees shall be made pa~ble to the

Paskuita Band of Nomlaki Indians of California.

CERTIFICATION

We do ha~eby calify that this Regulation was reviewed and adopted ~t a duly noticed Tribal

Council meeting held on April 19, 2000, by a vote of ~ in &vor, 0 opposed and____

abstaining, and that said Regulation has not been amended or rescinded hi any way.

Tribal (Thairpccson

4 -)~-Q~ Date

q-7g -/2 C)

Date