MAY 1 2 2005 

Merlene Sanchez 

Chairperson 

Guidiville Indian Rancheria 

P.O. Box 339 

Talrnage, CA 9548 1 

RE: Amended Gaming Ordinance and Gaming Agency Ordinance 

Dear Ms. Sanchez: 

This letter is in response to your request for the National Indian Gaming Commission (NIGC) 

to review and approve amendments to the Guidiville Indian Rancheria Gaming Ordinance and 

Gaming Agency Ordinance (Gaming Ordinances), Resolution No. 04-5-4, approved by the 

Tribal Council on February 10, 2005. This letter constitutes such approval under the Indian 

Gaming Regulatory Act (IGRA). It is important to note that the Gaming Ordinances are 

approved for gaming only on Indian lands, as defined in the IGRA, over which the Tribe has 

ing Ordinances for review and approval. The NIGC staff 

ng with you and the Guidiville Indian Rancheria on future gaming 

Chairman 

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington. DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 www.NlGc.Gov 

REGIONAL OFFICES Portland. OR; Sacramento, CA; Phoenix. AZ; St. Paul, MN;Tulsa. OK 

4 
GUIDIVILLE RANCHERIA 

GAMING ORDINANCE 

Adopted 6/22/54 By Resolution 04-05 

Amended 02107105 By Resolution 05-01 

i 

Adopted 6122104 - Amended 02/09/05 
TABLE OF CONTENTS 

ARTICLE I: GENERAL PROVISIONS 

3 1. Purpose 

152. Findings and Declarations 

53. Definitions 

54. Jurisdiction 

ARTICLE It: GAMING 

51. Gaming Authorized 

32. Ownership of Gaming 

§3. Use of Gaming Revenues 

$4. Audit 

§5. Protection of Environment, Public Health, and Safety 

$6. Minimum Age Requirements 

§7. Firearms Control 

$8. Resolution of Patron Disputes 

§9. Indian Preference in Contracts 

ARTICLE 111: LICENSES 

$1. Purpose of Article 

§2. License Required 

33. Gaming Facility 

§4. Gaming Resource Supplier 

$5. Financial Sources 

$6. Powers and Duties of Gaming Agency 

57. Background Investigations 

158. Eligibility Determinations 

39. Required Information General sf 0. Required Information - Business Entities 

51 1. Privacy Notice 

31 2. Notice Regarding False Statements 

sf 3. Fingerprinting 

314. Confidentiality 

§ T 5. Reporting to N lGC 

§16. Reporting to State Gaming Agency 

g17. Granting a Gaming License 

318. Duration and Renewal of License 

519. Fees 

$20. Limitation 

s21. Identification Cards 

§22. Denial, Revocation and Suspension of License 

523. Standards of Conduct 

s24. Emergency Action 

525. Due Process 

526. Additional Requirements 

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II 

Ado~ted 6/22/04 - Amended 02109105 
ARTICLE 1V: ENFORCEMENT. 

$1. Prohibited Activities 

52. Enforcement Actions 

$3. Enforcement Process 

54. Civil Penalties 

ARTICLE V: MISCELLANEOUS PROV1510NS 

§ 1. Service of Process 

52. Notice 

$3. Delegation of Authority to Conduct Gaming to Tribal Entity 

§4. Sovereign Immunity 

55. Repeal 

$6. Severability 

57. Amendment of Ordinance 

58. Effective Date 

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iii 

Adopted 6/22/04 - Amended 02iD9105 
GUlDlVlLLE BAND OF POMO INDIANS 

GAMING ORDINANCE 

Adopted 6122104 By Resolution 04-05 

Amended 02/07/05 By Resolution 05-Of 

ARTICLE I: GENERAL PROVISIONS 

6 1. Purpose. 

The Guidiviile Band of Porno Indians, acting through its Tribal Council. pursuant to the Tribe's 

inherent authority and the Tribe's Constitution to enact ordinances, hereby enacts this 

Ordinance in order to set the terms for class II and class Ill gaming operations on the Guidiville 

Rancheria. 

5 2. Findings and Declarations. 

The Guidiville Band of Porno Indians finds and declares that - 

{a) Gaming on the Rancheria provides economic development opportunities and a 

source of revenue for the Guidiville Band of Porno Indians and its members that are 

needed to promote economic self-sufficiency, employment, job training, a strong tribal 

government and to fund and ensure essential social programs and services; and 

(b) It is in the interests of the Tribe and its members to regulate and control gaming 

in a manner that will protect the environment, the Guidiville Band of Porno Indians, the 

health, security and general welfare of the Tribe, the players and the community. 

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

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

persons living on or passing through the Guidiville Rancheria. 

5 3. Definitions. 

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. 5 2707 ef 

seq.) and its regulations (25 C.F.R. 5 500 et seq.). 

For the purposes of this Ordinance, the following words shall have the following meanings: 

(a) The term "alleged violator'" means any person alleged by the Gaming Agency, 

and/or its Executive Director, to have committed a violation of this Ordinance or any 

regulation or standard adopted pursuant to this Ordinance. 

(b) The term "applicant" or "license applicant'heans an applicant for a license 

for a gaming employee, a gaming resource supplier or persons extending financing, 

directly or indirectly, to the Tribe's gaming facility or persons with a financial interest 

1 

Adopted 6/22/04 - Amended 02109105 
in the revenue generated from the gaming facility as a result of an investment of time 

expertise or service described as good and valuable consideration in a contract that 

relates to the gaming facility(s), in accordance with the licensing provisions of this 

Ordinance and any regulations, standards or procedures adapted pursuant to this 

Ordinance. 

(c) The term "Compact" means a Tribal-State Compact between the Tribe and the 

State of California authorizing class Ill gaming activities, as required by Indian Gaming 

Regulatory Act, 25 U.S.C. 5 277 O(d)(T)(C) and amended from time to time. 

Id) The term "Gaming Aqency" means the Guidiville Band of Pomo Indians 

Gaming Agency established pursuant to the Ordinance Establishing the Guidiville 

Band of Porno Indians Gaming Agency, duly adopted by the Tribal Council. 

(e) The term "qaminq facility" means any building in which class 11 or class 111 

gaming activities are offered by the gaming operation within the boundaries of the 

Guidiville Band of Porno Indians Rancheria 

(f) The term "IGRA" means the Indian Gaming Reguiatory Act, 25 U.S.C. 9 2701 

et seq. and its regulations, 25 C.F.R. 5 500 et seq. 

(g) The term "key empIoyeeW shall mean any person who falls within the definition 

of "key employee" in regulations promulgated by the National Indian Gaming 

Commission and codified at 25 CFR part 502.14 and shall mean any officer or any 

person who can substantially affect the course of business, make decisions, or is in 

a sensitive position in an organization that is a Class II andlor Class Ill contractor or 

applicant for a Tribal gaming license, including, but not limited to, a person who 

performs one or more of the following functions: 

(i) bingo catler; 

I (ii) counting room supervisor; 

(iii) chief of security; 

I (iv) custodian of gaming supplies or cash; 

(v) floor manager; 

(vi) pit boss; 

(vii) dealer; 

I (vjii) croupier; 

I (ix) approver of credit; or 

(x) custodian of gambling devices including persons with access to cash and 

accounting records within such devices; If not otherwise included, any other 

person whose total cash compensation is in excess of fifty-thousand dollars 

($50,000.00) per year; or 

Adopted 6/22/04 - Amended 02/09105 I 
If not otherwise included, the four (4) most highly compensated persons in the 

gaming operation. 

(h) The term "Municipal Services Aqteement" means an agreement between the 

Tribe and a city or county local municipality for services includ~ng but not limited to, 

fire, police, water, wastewater, traffic control etc. 

(i) The term "NIGCt' means the National Indian Gaming Commission established 

pursuant to 25 U.S.C. €j 2704. 

(j) The term "patrontt means an individual who uses the services of the Tribe's 

gaming operation. 

(k) The term "person" means any individual, corporation, firm, partnership, joint 

venture, association, social club, estate, trust, the United States, Tribe, Stale, County, 

City, district or other political subdivision of any state, or any other group or 

combination acting as a unit. 

(I) The term "primary management official" shall mean any person who has 

administrative or high-level management responsibility for part or all of the Class II 

andlor Class Ill gaming operation, whether as an employee or under a management 

contract, including, but not limited to, any person who has the authority to hire or fire 

employees, establish working policies for the gaming operation, or the chief financial 

officer or other person who has financial management responsibilities for Gaming 

Enterprise, and shall mean any person who falls within the definition of "primary 

management official" in regulations promulgated by the National Indian Gaming 

Commission and codified at 25 CFR part 502.1 9. 

(m) The term "Rancheria" means aft land water and resources which are held in 

trust or restricted status within the former boundaries of the Guidiville Rancheria, 

consistent with the terms of the decision in Scotts Valley Band of Pomo Indians of the 

Suqar Bowl Rancheria st a!, v. U.S.A., Civil No. C-86-3660-VRW (N.D. Cal. 1991), 

and to other such lands, water and resources as have been or may hereafter be 

acquired by the Tribe. 

(n) The term "State Gaminq Aqency"means the State of California Gambling 

control commission 

(o) The term "Tribal Council" means the Tribal Council of the Guidiville Band of 

Pomo Indians. 

(p) The term "Tribal Court" means the Guidiville Band of Porno lndians Tribal 

Court or such other judicial forum as designated by the Tribal Council. Any notices 

may be filed with the Tribal Court as designated by the Tribal Council, or, in the 

absence of such designation, with the Tribal Council at the office of the Tribal Council. 

(q) The term "Tribal Member1' means any individual who is duly enrolled in the 

Tribe in accordance with the Tribe's Constitution and any enrollment ordinance that 

may be enacted by the Tribe, as amended from time to time. 

3 

Adopted 6122104 - Amended 02109105 
(r) The term "Tribe" means the Guidiville Band of Porno Indians, a federally 

recognized Indian tribe. 

4 4. Jurisdiction. 

(a) The applicability of this Ordinance shall extend to all persons who provide 

gaming services or who engage in gaming on the Rancheria or other territory over 

which the Tribe has jurisdiction. 

(b) Any person who enters onto the Rancheria or other territory over which the 

Tribe has jurisdiction shall become subject to this Ordinance and shall be deemed to 

have consented Zo the jurisdiction of the Tribe and to be bound by the lawful 

enactments of the Tribe. 

ARTICLE II: GAMING 

7. Gaming Authorized. 

(a) Class I1 and class I I1 gaming, as defined in 25 U.S.C. 55 2703(7)(A) and 

2703(8) and by the regulations promulgated by the NlGC at 25 C. F.R. §§ 502.3 and 

502.4, is hereby authorized on the Rancheria. The class I11 gaming activities 

authorized by this Ordinance are those gaming activities authorized under the 

Compact. 

(b) The Tribe reta~ns exclusive jurisdiction over Class I gaming on the Rancheria. 

The Gaming Agency may prohibit and prevent any conduct, which is claimed to be 

Class 1 gaming if the Gaming Agency finds that such conduct is not in accordance with 

tribal customs or practices or violates IGRA or any other law. 

2 Ownership of Gaming. 

(a) The Tribe shall have the sole propriety interest in and responsibility for the 

conduct of any gaming operation authorized by this Ordinance. 

(b) Nothing in this Ordinance shall prevent the Tribe from entering into contracts 

for the operation and management of gaming operations and facilities on the 

Rancheria pursuant to IGRA and its implementing regulations or as otherwise 

permitted by law. 

3. Use of Gaminq Revenues. 

(a) Net revenues from class I/ and class Ill gaming shall be used only for the 

following purposes: 

(1) To fund tribal government operations and programs; 

(2) To provide for the genera! welfare of the Tribe and its members; 

(3) To promote tribal economic development; 

4 

Adopted 6/22/04 -Amended 02109105 
(4) To donate to charitable organizations; 

(5) To help fund operations of local government agencies; andlor 

(b} If the Tribe e!ects to make per capita payments to tribal members, it shall 

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

the Interior under 25 U.S.C. §§ 2710(b)(3). 

4. Audit. 

(a) The Gaming Agency shall cause to be conducted annually an external 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 

accordance with the auditing and accounting standards for audits of casinos of the 

American Institute of Certified Public Accountants. 

(b) 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 Sub-section (a), above. 

3 5. Protection of Environment, Public Health, and Safety. 

(a) Class Il and class 111 gaming facilities shall be constructed, maintained and 

operated in a manner that adequately protects the environment and the public health 

and safety. 

(b) The Tribal Council shall adopt standards for protecting the environment and the 

public health and safety that are consistent with Triba! law, federal law, Municipal 

Services Agreements and with its obligations under the Compact. 

3 6. Minimum Aqe Requirements. 

(a) If the Tribe 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 Ill 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 and the Tribal Liquor Control Ordinance. 

(b) No person under the age of eighteen (1 8) years shall be permitted to be 

present in any room in which class II or class Ill gaming activities are being conducted 

unless the person is en-route to a non-gaming area of the gaming facility. 

7 Firearms Control. 

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

operated under this Ordinance, as well as any hotels, restaurants and bars operated in 

connection with the gaming facilities, except for possession of firearms by state, local, or tribal 

security or law enforcement personnel authorized by federal, state or tribal law to possess 

firearms at the facilities. 

5 

Adopted 6122104 - Amended 02109105 
5 8. Resolution of Patron Disputes. 

(a) With respect to Class II and Class Ill gaming, the management of the tribal 

gaming operat~ons shall attempt to resolve on an informal basis any customer 

complaints relating to payment of prizes or services up to and including One Hundred 

($100.00) dollars. With respect to all disputes related to payment of prizes or services 

in excess of $100.00, the management of the gaming facility shall file a dispute form 

with the Tribal Gaming Agency. Hearings on such will be heard before the Agency, 

and both sides may present their case to the Agency. The Tribal Gaming Agency will 

resolve the d~spute, and its decision shall be final. 

5 9. Indian Preference in Contracts. 

Any management and investment gaming contracts development contracts or other 

gaming contracts for the construction and operation of any gaming facilities or activities 

must make provision for the preferential hiring of qualified Tribal Members and their 

spouses followed by a preference for qualified Native American Indian people and their 

spouses from the Rancheria and surrounding areas. 

ARTICLE Ill: LICENSES 

5 2. Purpose of Article. 

This Article describes the procedures to be followed by the Guidiville Band of Porno Pndians 

Gaming Agency when conducting background investigations and issuing licenses in 

connection with any class I1 or class Ill gaming facilities operated on the Guidiville Indian 

Rancheria pursuant to this Ordinance. 

5 2. License Required. 

(a) The following persons and entities are required to be licensed by the Gaming 

Agency, and, as a basis for issuing a license, the Gaming Agency must conduct or 

cause to be conducted a background investigation, in accordance with the 

requirements of this Article, of those persons listed in Sub-sections {I) - (6), below: 

(1) All employees, including key employees and primary management officials, 

employed at any class II or class !I1 gaming enterprise operated under this 

Ordinance; 

{i) Bingo Caller; 

(ii) Counting room supervisor; 

(iii) Chief of Security; 

(iv) Custodian of gaming supplies or cash; 

(v) Floor manager; 

(vi) Pit boss; 

6 

Adopted 6122104 - Amended 02/09/05 
(vii) Dealer; 

(viii) Croupier; 

(ix) Approver of credit; or 

(ix) Custodian of gambling devices, including persons with access to cash 

and accounting records within such devices; 

(xi) If not otherwise included above, any other person whose total cash 

compensation is in excess of $50,000.00 per year; or 

(xii) If not otherwise included above, the four most highly compensated 

persons in the gaming operation. 

Primary Management Official is any person who: 

(xiii) Has management responsibility for a management contract; 

(xiv) Has authority to hire and fire employees or to set up working policy for 

the gaming operation; or 

(xv) Has financial management responsibility; for example, the chief financial 

officer. 

(2) Gaming resource suppliers and vendors are required to be licensed pursuant to 

Section 5(a) 3(b) of this ordinance. 

(3) Management and employees of any hotels, restaurants and bars operated in 

connection with the gaming facility and who have access to restricted areas of the 

gaming facility. 

(4) Persons extending financing, directly or indirectly, to the Tribe's gaming facility 

or gaming operations, persons having a financial interest in the revenue generated 

from the gaming facility as a result of having provided financing, sewices or earned 

equity in the revenue generated from the gaming faci!ity, except that any agency of 

a Tribal, federal, state, or local government, or any investor who, alone or in 

conjunction with others, holds less than ten (10) percent of any outstanding 

indebtedness evidenced by bonds issued by the Tribe are excluded from the 

licensing requirements of this Article; and 

(5) If not atherwise included in this Ordinance, any other person or business entitiy 

described or required to be licensed pursuant to the terms of the Compact. 

(6) Each place, facility, or location where class It or class Ill gaming is conducted 

under this Ordinance. 

(b) Applicants for a license must submit a license application to the Gaming 

Agency on a form developed or provided by the Gaming Agency and in conformance 

with the application requirements set out in this Ordinance. 

7 

Adopted 612304 - Amended 02109105 
(a ) The Gaming Agency shall issue a separate license to each facility where class 

El or class Ill gaming is conducted under this Ordinance. The license shall be posted in 

a conspicuous and public place in the gaming facility at at1 times. 

(b) The Gaming Agency shall determine and, if appropriate, certify that each 

gaming facility, or the modification or expansion of a gaming facility, meets the Tribe's 

building and safety code and the Americans with Disabilities Act, 42 U.S.C. 9 121 01 et 

seq, based an inspection by qualified building and safety experts. 

(1) The Gaming Agency shall give reasonable notice of each inspection to the 

Tribal Chairperson. Within ten (10) days after completion of the inspectjon report, 

the reports shall be forwarded to the Tribal Chairperson, the Tribe's Building 

Department, and The Tribe's Public Safety Department. 

(c) The Tribe is responsible for ensuring that any gaming facility condition noted in 

an inspection that does not meet the standards set out in Sub-section (b), above, is 

corrected. 

4. Garninq Resource Supplier. 

{a) Any gaming resource supplier who, directly or indirectly, provides, has 

provided, or 1s deemed likely to provide at least twenty-five thousand dollars 

($25,000.00) in gaming resources in any 12-month period, or who has received at 

least twenty-five thousand dollars ($25,000.00) in any consecutive 12-month period 

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

Gaming Agency prior to the sale, lease, or distribution, or further sale, lease, or 

distribution, of any such garnlng resources to or in connection with the Tribe's gaming 

facilities. 

(b) The Tribe 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 suitabil~ty has been 

denied or has expired without renewal. Any agreement between the Tribe and a 

gaming resource supplier shall be deemed to include a provision for its termination 

without further liability on the part of the Tribe, except for the bona fide repayment of all 

outstanding sums (exclusive of interest) owed as of, or payment for services or 

materials received up to, the date of termination, upon revocation or nen-renewal of 

the supplier's license by the Gaming Agency based on a determination of unsuitability 

by the States Gaming Agency. 

5. Financial Sources. 

(a} Any person extending financing, directly er indirectly, to the Tribe's gaming 

facilities or gaming operations shall be licensed by the Gaming Agency 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 Gaming Agency within 

ninety (90) days of such execution. Any agency of a Tribal, federal, state, or local 

government, or any investor who, alone or in conjunction with others, holds less than 

8 

Adopted 6/22/04 - Amended 02/09/05 
ten (10) percent of any outstanding indebtedness evidenced by bonds issued by the 

Tribe are executed from this licensing requirement. 

(b} Any agreement between the Tribe and a financial source shall be deemed to 

include a provision for its termination without further liability on the part of the Tribe, 

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

as of the date of termination, upon revocation or non-renewai of the financial source's 

license by the Gaming Agency based on a determination of unsuitability by the State 

Gaming Agency or upon the denial, revocation or non-renewal of a license by the 

Gaming Agency under the terms of this Ordinance. 

(c) The Tribe 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. 

(d) A gaming resource supplier who provides financing exclusively in connection 

with the sale or lease of gaming resources obtained from that supplier may be licensed 

solely in accordance with licensing procedures applicable, if at all, to gaming resource 

suppliers. 

(e) Any person or entity who has a financial interest in the revenue generated by 

the gaming facility exceeding $100,000 resulting from the investment of funds, the 

provision of services or through equity earned in a business transaction relating to the 

gaming facility. 

(f) The Gaming Agency may, at its discretion, exclude from the l~censing 

requirements of this section, financing provided by a federally regulated or stateregulated bank, savings and loan, or other federally- or state-regulated lending 

institution; or any agency of a Tribal, federal, state, or local government; or any bond 

investor who, alone or in conjunction with others, holds less than 10% of any 

outstanding indebtedness evidenced by bonds issued by the Tribe. 

5 6. Powers and Duties of Gaming Aqency. 

(a) The Gaming Agency has the following powers and responsibilities: 

(1) To conduct or cause to be conducted background investigations; 

(2) To receive, directly or through its agents, state summary criminal history 

information, as defined in Sub-section 11 105(a) of the California penal Code, as 

maintained under a license applicant's name by the California Department of 

Justice, and to take such measures 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; 

(3) To prepare or cause to be prepared an investigative report in compliance with 

this Ordinance; 

(4) To review and approve the investigative work done; 

- - - - 

9 

Adopted 6/22/04 - Amended 02/09/05 
(5) To obtain and process fingerprints, directly or through its agents; 

(6) To feward license applications and the results of the background investigations 

to the NIGC and the State Gaming Agency, to the extent required by IGRA and the 

Compact; 

(7) To make eligibility determinations in accordance with Section 9 of this Article; 

(8) To issue, deny, suspend, revoke and renew licenses in accordance with the 

provisions of this Ordinance; 

(9) To maintain records on persons who have been issued or denied a license, as 

well as persons otherwise prohibited from engaging in gaming activities within the 

Tribe's jurisdiction, for a period of three (3) years from the date en which the license 

expired or was revoked or denied; and 

(10) To carry out such other duties and powers as described in this Ordinance. 

5 7. Background Investiqations. 

(a) The Gaming Agency shall conduct or cause to be conducted all necessary 

background investigatrons reasonably required by the Gaming Agency, the Compact 

or IGRA ta determine whether an applicant is el~gible far a license in accordance with 

the standard set forth in Section 9 of this Article. The minimum procedures for 

conducting background investigations on applicants for licenses a re as follows: 

(2) Civil history check; 

(3) Financial and credit check; 

(4) Reference check; 

(5) Previous business and employment check; 

(6) Relative check; 

(7) Business and personal associates check; 

(8) Fingerprint check; 

(9) Educational verification; and 

(1 0) Criminal history check. 

(b) The information submitted pursuant to Sub-section {a), above, by the applicant 

may be verified by written or oral communication. The disposition of afl potential 

problem areas noted and disqualifying information obtained shall be docurnen ted by 

the Gaming Agency. 

10 

Adopted W22104 - Amended 02109105 
(c) En conducting a background investigation, the Gaming Agency or its agent shall 

keep confidential the identity of each person interviewed in the course of the 

investigation. 

Id) At the sole discretion of the Gaming Agency, in lieu of completing its own 

background investigation, and to the extent that doing so does not conflict with or 

violate IGRA, the Gaming Agency may contract with the State Gaming Agency or a 

private investigation firm for the performance of background investigations, may rely on 

a state certification of non-objection previously issued under a gaming compact 

involving another tribe, or may rely on a California State gaming license previously 

issued to the applicant to fulfil! some or all of the Gaming Agency's background 

investigation duties. 

(e) If the National Indian Gaming Commission has received an investigative report 

concerning an individual who another Tribe wishes to employ as a Key Employee or 

Primary Management Official or person having a financial interest in the revenue 

generated by the gaming facility, and if the Gaming Commission has access to the 

investigative materials held by the first Tribe, the Gaming Agency may update the 

investigation and update the investigative report with the information from another 

Trf be. 

tj 8. Eliqibility Determinations. 

(a) The Gaming Agency shall review a license applicant's prior activities, 

criminal record, if any, a n d reputation, habits and associations to make a finding 

concerning an applicant's eligibility for a license. A license may not be issued unless 

the Gaming Agency is satisfied that the applicant is a person of good character, 

honesty and integrity. 

(b) The Gaming Agency shall not license a person if the Gaming Agency 

determines that the licensing of the person: 

(1) poses a threat to the public interest or to the effective regulation of gaming; 

(2) creates or enhances dangers of unsuitable, unfair, or illegal practices and 

methods and activities in the conduct of gaming or the carrying on of business and 

financial arrangements incidental thereto; or 

(3) will undermine public perception and trust that tribal gaming is free from criminal 

activities and\or dishonest 

(c) In making findings concerning the eligibility of license applicants, the Gaming 

Agency shall take into consideration any of the following circumstances: 

(I j Whether the applicant knowingly and intentionally provided false statements or 

information or omitted relevant information on the application or otherwise 

misrepresented or failed to disclose a material fact to the Gaming Agency; 

(2) Whether the prior activities, criminal record, reputation, habits, and association 

indicate that the person may be a threat to the public interest or to the effective 

regulation and control of gaming; 

I? 

Adopted 6122104 - Amended 02/09/05 
(3) Whether association with or employment of this applicant creates 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; 

(4) Whether the applicant has violated, failed, or refused to comply with the 

provisions, requirements, conditions, limitations, or duties imposed by any provision 

of the Compact, this Ordinance, or other Tribal gaming facilities. 

(5) Whether the applicant know~ngly caused, aided, abetted, or conspired with 

another ta cause any person or entity to violate any of the laws of any Tribal 

Federal, State or local laws, the provisions of the Compact or this Ordinance; 

(6) Whether the applicant has ever obtained a license by fraud, misrepresentation, 

concealment, or through inadvertence or mistake; 

(7) Whether the applicant has ever been convicted of, or forfeited bond upon a 

charge of, or plead guilty te 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 similar 

offense(s), or of bribing or othewise 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 

turpitude; 

(8) Whether the applicant is subject to current prosecution or pending charges, or a 

conviction under appeal far any of the offenses listed above; upon request of the 

applicant, the Gaming Agency may defer decision on the application pending the 

results of such prosecut~on or appeal; 

(9) Whether the applicant has demonstrated a willful disregard for compliance with 

a gaming regulatory authority or bad faith business dealings in any jurisdiction or 

has ever had a gaming license issued by any State, Tribe or foreign gaming 

regulatory agency suspended, revoked or denied; andlor 

(10) Whether the applicant has failed to provide any infarmation requested by the 

Gaming Agency within fourteen (14) working days of the request for the 

information; 

(1 1) Whether the association of the applicant with the gaming facility as an 

employee, a key management person, a vendor, a finance provider, or an individual 

or entity creates a public perception that the gaming facility is associated with 

criminal activity is otherwise unfair or dishonest. 

3 9. Required Information - General. 

(a) The Gaming Agency shall request from each license applicant all of the 

following information: 

- 

12 

Adopted 6R2/04 - Amended 02109105 
(1) Full name, other names used (oral or written), social security number(s), birth 

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

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

positions held, ownership interests in those businesses, business and residence 

addresses, and drivers license numbers. 

(3) The names and current addresses of at least three (3) personal references, 

excluding relatives, including one (1) personal reference who was acquainted with 

the applicant during each period of residence listed under Sub-section, (a@) 

(4) Current business and residence telephone numbers; 

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

tribes, including ownership interests in those businesses; 

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

gaming industry generally, including ownership interests in those businesses; 

(7) 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; 

(8) For all crimes (excluding minor traffic charges) for which there is an ongoing 

prosecution or a conviction, the charge, the name and address of the court 

~nvolved, and the date and disposition if any; 

(9) For each misdemeanor conviction or ongoing misdemeanor prosecution 

(excluding minor traffic violations), the name and address of the court involved and 

the date and disposition; 

(1 0) For each criminal charge (excluding minor traffic charges), whether or not 

there is a conviction, the criminal charge, the name and address of the court 

involved and the date and disposition; 

(I 1 } The name and address of any licensing or regulatory agency with which the 

person has filed an application for an occupational license or permit, whether or not 

such license or permit was granted; 

(7 2) A current photograph; 

(1 3) Any other information the Gaming Agency deems relevant; and 

(I 4) Fingerprints consistent with procedures adopted by the Gaming Agency 

according to 25 C.F.R. 3 522.2(h$. 

1 Required Information - Business Entities. 

(a) In addition to the information required under Section 70 of this Asticle, the 

Gaming Agency shall request from an applicant that Is a business entity all of the 

following information, if two (2) or more business entities having a commonality of the 

13 

Adopted 6/22/04 - Amended 02!09/05 
characteristics identified in the following sub-sections 1-5, inclusive, the entity may be 

deemed to be a single business entity: 

(I) Each of its officers and directors; 

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

officer, chief financial officer, chief operating officer, and general manager; 

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

(43 Each of its shareholders who awns more than ten percent (70%) of the shares 

of the corporation, if a corporation; and 

(5) Any person or entity who has a financial interest in the revenue generated by 

the gaming facility exceeding $1 00,000 resulting from the investment of funds, the 

provision of services or through equity earned in a business transaction. Each 

person or entity (other than a financial institution that the Gaming Agency has 

determined does not require a license under the Compact or this Ordinance) that, 

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

in connection with any gaming authorized under the Compact, shal! be licensed f 

that person or entity provided more than ten percent (1 0%) of: 

(i) The start-up capital; 

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

(iii) A combination thereof. 

1. 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, shall be placed on the license application form 

before that form is filled out by an applicant: 

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. 5 2701 et seq. The purpose of the requested jnformafiion is to 

determine the e figibjlity of individuals to be employed in or do business 

with a gaming operation. The information will be used by the Guidiville 

Band of Parno Indians Agency, the State Gaming Agency, and fhe 

National Indian Gaming Commission members and staff who have need 

for the jnformation in the pexformance of their official duties. The 

i~formation may be disclosed to appropriate Federal, Tribal, State, local, 

or foreign Faw enforcement and regulatory agencies when relevant to 

civil, criminal or regulatory investigations or prosecutions or when 

pursuant to a requirement by a tribe, the State Gaming Agency, or the 

National Indian Gaming Commission in connection with the hiring or f 

ring of an employee, the issuance or revocation of a gaming license, or 

14 

Adopted 6122104 - Amended 02109105 
jnvestigafions of activities while associated with a fribe or a gaming 

operation. Failure to consent to the djsclos~lres indicated in this notice 

will result in a tribe's being unable to hire you or do business with you. 

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

However, failure fo supply a SSN may result in errors in processing your 

applica fion. 

(b) Unless they have been previously so notified, existing licensees shall be 

notified in writing that they shall either: 

(I} Complete a new application form that contains a Privacy Act notice; or 

(2) Sign a statement that contains the Privacy Act notice and consent to the routine 

uses described in that notice. 

5 72. Notice Reqasdinq 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 

of California pursuant to the Compact, shall be placed on the license application form 

before that form is filled out by an applicant: 

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

denial or re vocation of a license. In the case of license applications for 

employees, a false statement on any paxf of your application may be 

grounds for not hiring you or for firing you after work begins. Also, 

you may be punished by fine or imprisonment. (U.S. Code, title 78, 

section 7007.) 

(b) Unless they have been previously so notified, the Gaming Agency 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. 

13. Finqerprintinq. 

The Gaming Agency shall be deemed to be the Tribe's law enforcement agency for the 

purpose of taking fingerprints and conducting criminal history checks under this Article. The 

Gaming Agency may elect to process fingerprint cards directly on behalf of the Tribe or ta 

process fingerprint cards through the State Gaming Agency or the NlGC 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 criminal history record information. 

5 I Confidentiality. 

The identity of third parties interviewed during the course of background investigations shall 

be kept confidential. 

15 

Adopted 6/22/04 - Amended 02109105 
5 15. Reportinq to NIGC. 

(a) When a key employee or primary management official begins work at a gaming 

operation authorized by this Ordinance, the Gaming Agency shall forward to the NIGC 

a completed application for employment and conduct the background investigation and 

make the determination referred to in Section 9 of this Article. Within sixty (60) days 

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

days of the a p p rova I of this Ordinance by the Chairman of the NIGC, the Gaming 

Agency shall prepare and forward to the NIGC an investigative report on each 

background investigation and a copy of the eligibility determination made under 

Section 9 of this Article. The background investigation report shall include all of the 

following: 

(j} Steps taken in conducting a background investigation; 

(2) Results obtained; 

(3) Conclusions reached; 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 Gaming Agency shall notify the NIGC and may forward 

copies of its eligibility determination and investigative report (if any) to the NIGC for 

inclusion in the Indian Gaming Individuals Records System. 

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

Agency shall retain applications for employment and reports (if any) of background 

investigations for inspection by the Chairman of the NTGC or his or her designee for no 

less than three (3) years from the date of termination of employment. 

5 16. Reportinq tc State Gaming Aqency. 

(a) Except for an appiicant for licensing as a non-key gaming employee, as defined 

by agreement between the Gaming Agency and the State Gaming Agency, the 

Gaming Agency 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 under the California Gambling Control Act. 

(b) Upon receipt of a completed license appiication and a determination by the 

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

the State Gaming Agency a notice af intent to license the applicant, together with all of 

the following: 

(1) A copy of the license application materials and information received by the 

Gaming Agency from the applicant; 

(2) An original set of fingerprint cards; 

(3) A current photograph; and 

16 

AdoDted 6122104 - Amended 02109105 
(4) Except to the extent waived by the State Gaming Agency, such releases of 

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

obtained by the Gaming Agency. 

(c) Upon receiving notice of the State Gaming Agency's denial of an application for 

a determination of suitability, the Tribal Gaming Ag e nc y shall have the sole and final 

discretion to issue the license. 

(d) Nothing in this Ordinance shall prevent the Gaming Agency from issuing a 

temporary license under this Ordinance prior to the State Gaming Agency completing 

a suitability determination for a given applicant under the terms of the Compact. 

17. Gsantinq a Gaminq License. 

(a} For ail key employees and primary management officials, the Gaming Agency shall 

carry out the following procedures in granting a gaming license: 

(1 If, within a 30-day period after the NIGC receives a report, the NIGC notifies the 

Gaming Agency that it has no objection to the-issuance- of-a license-pursuant to 

a license application filed by a key employee or a primary management official for 

whom the Gaming Agency has provided an application and investigative report to 

the NIGC, the Gaming Agency may issue a license to such applicant. 

(2) The Gaming Agency shall respond to a request for additional information from 

the Chairperson of the NIGC concerning a key employee or a primary management 

official who is the subject of a report. Such a request shall suspend the 30-day 

period until fhe Chairperson of the NlGC receives the additional information. 

(3) If, within the 30-day period described above, the NIGC provides the Gaming 

Agency with a statement itemizing objections to the issuance of a license to a key 

employee or to a primary management official for whom the Gaming Agency has 

provided an application and investigative report to the NIGC, the Gaming Agency 

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

NIGC. The Gaming Agency shall make the final decision whether to issue a license 

to such applicant. 

(b) For all license applicants except applicants for a gaming facility, the Gaming 

Agency shall carry out the following procedures in granting a gaming license: 

(1) Pending completion of an investigation for a ficense, the Gaming Agency may 

issue a preliminary license of no more than ninety (90) days duration if, in its sole 

discretion, the Gaming Agency deems it appropriate to do so, provided that the 

Gaming Agency 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. 

(i) Such licenses shall perrnlt the licensee to engage in such activities and 

pursuant to such terms and conditions as may be specified by the Gaming 

Agency. 

17 

Ado~ted 6122104 - Amended 02/09/05 
(iij Such preliminary licenses shall expire ninety (90) days from the date 

of issuance, upon the Issuance of a temporary or regular license, upon a final 

determination on the application, or at an earlier specified expiration date, 

whichever occurs first. 

(2) If an applicant has completed a license application to the satisfaction of the 

Gaming Agency, and the Gaming Agency has conducted a preliminary 

background investigation, the Gaming Agency may issue a temporary license and 

impose such conditions thereon as it deems appropriate pending completion of 

the licensing process, including a determination of suitability by the State Gaming 

Agency, provided that the Gaming Agency 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. 

(3) The Gaming Agency may issue a regular license to a person who meets the 

eligibility standards set out in Section 9 of this Article after receiving a determination 

of the applicant's suitability from 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 Gaming Agency shall revoke any 

temporary license issued to the applicant and deny the applicant a license, except 

that the Gaming Agency shall have discretion to renew a license if the person is an 

enrolled member of the Tribe or has been continuously employed by the Tribe far at 

least three (3) years prior to the effective date of the Compact and also meets the 

following criteria: 

(i) The person holds a valid and current license issued by the Gaming 

Agency; 

(ii) The person is not an employee or agent of any other gaming operation; 

and 

(iii) The State Gaming Agency's denial of the person's application for a 

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

that antedate the filing of the person's initial application to the State Gaming 

Agency for a determination of suitability. 

18. Duration and Renewal of License. 

(a) All regular licenses issued under this Article shall be effective for two (2) years 

from the date of issue. 

(b) f emporary licenses shall expire upon issuance of a regular license, upon a 

final determination on the license application, or at an earlier specified expiration date, 

whichever occurs first, but in no case shall a temporary license be valid for more than 

two (23 years. 

(6) Renewal applications must be received by the Gaming Agency at least thirty 

(30) days prior to the expiration of the I~cense. 

2 8 

Adopted 6R2104 - Amended 02/09/05 
(1) Applicants for renewal shall provide updated material as requested by the 

Gaming Agency. Additional background investigations may be performed at the 

discretion of the Gaming Agency. Updated criminal history checks are required. 

(2) Upon receiving a renewal appl~catron, the Gaming Agency shall inform the 

applicant of his or her obIigation to apply to the State Gaming Agency for renewal 

of his or her determination of suitabjlity. 

(3) Any licensee applying for renewal may continue to be employed or engaged 

under the expired license until the Gaming Agency takes action on the renewal 

application. 

(4) Prior to renewing a license, the Gaming Agency shall forward to the State 

Gaming Agency copies of the renewal application and related documents. 

(5) With respect to gaming facilities, the Gaming Agency shall provide verification to 

the State Gaming Agency that it has reviewed and, if appropriate, renewed a 

gaming facility's license. 

9 Fees. 

(a) All applicants for a license under this Article shall be required to pay all 

applicable licensing fees and costs when due in accordance with a fee schedule for 

licenses established by the Gaming Agency. Such fees shall be submitted to the 

Gaming Agency and made payable to the Tribe, to be used for discretionary Gaming 

Agency purposes. 

(b) Application fees shall be nonrefundable, regardless of whether or not a license 

is issued. 

5 20. Limitation. 

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

have a regular license or a temporary license after ninety (90) days. 

5 21. Identification Cards. 

All persons who are required to be l~censed pursuant to the Gaming Ordinance shall wear, in 

plain view at all times while in a gaming facility licensed by the Gaming Agency, identification 

badges issued by the Gaming Agency. The identification badges must display the person's 

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

f3 22. Denial, Revocation and Suspension of License. 

(a) A license may be suspended, revoked or denied upon the occurrence of any of 

the following: 

(1) Notification by the NIGC, or by any other reliable source, that the licensee is not 

eligible for a license under Section 9 of this Article; 

19 

Adopted 6/22/04 - Amended 02t09105 
(2) 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; 

(3) The Gaming Agency has probable cause to believe that the licensee has, by act 

or omission, violated provisions of the Compact, this Ordinance, the Tribe's Gaming 

Regulations, any garning license, or any other Federal, State or Tribal laws or 

regulation 

(4) The Gaming Agency has reason to believe that the continued licensing of a 

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

(5) The Gaming Agency has reason to believe that the licensee is involved in any 

theft, misappropriation, misuse or abuse of Tribal assets; 

(6) The licensee engages in any conduct that brings discredit or embarrassment to 

the Tribe's gaming operations or the Tribe, or interferes with the normal operation 

of the Tribe's gaming facilities or the Tribal government or is known to have 

committed other acts of interference with other tribal gaming facilities or tribal 

governments; 

(7) The licensee fails to disclose any required information on any State or Tribal 

gaming license application; 

(8) The licensee fails to respond to a request from She Gaming Agency within 

fourteen (14) days of the date of the initial request; or 

(9) The licensee's employment or business or contractual relationship with the 

Tribe's gaming operations is terminated, voluntarily or involuntarily. 

(b) The Gaming Agency shall notify the NlGC in writing of any final decision to 

suspend or revoke a license. 

3 23. Standards of Conduct. 

(a) All persons engaged by or associated with any gaming facility or operation on 

the Rancheria shall conduct themselves with honesty, integrity, and with such decorum 

and manners as may be necessary to reflect positively on the Tribe, its members and 

the gaming facility and gaming operation involved. 

(b) Any failure to abide by such standards of conduct, or any violation of any 

ordinance or rule, custom or tradition of the Tribe, is grounds for immediate suspension 

or revocation of any license issued under this Ordinance. 

5 24. Emergency Action. 

The Executive Director or any Commissioner of the Gaming Agency may suspend a 

gaming license at any time they deem appropriate to protect the public safety, the welfare of 

the Tribe, or integrity of the Tribe or gaming facility. Such a suspension will result in the 

immediate removal from and a bar from entry in the gaming facility of the license holder and 

any of the license holder" agents. 

20 

Adopted 6122104 - Amended 02/09/05 
5 25. Due Process. 

The following procedures shall apply to the denial, suspension or revocation of a license 

pursuant to this Article: 

(a) All decisions of the Gaming Agency to deny, suspend or revoke a license 

shall be effective when issued. 

(b) Upon taking such action, the Gaming Agency shall issue a notice of the denial 

suspension or revocation of a license to the applicant or licensee by U.S. mail, return 

receipt requested, or personal delivery. 

(1) Such notice shall include a warning that if the applicant or licensee does not 

respond within seven (7) business days, the denial, suspension or revocation of a 

license shall become final and the person will forfeit any further right to appeal. 

(c) Within seven (7) business days of receipt of the notice of the denial, 

suspension or revocation of a license, the applicant or licensee may file a written 

petition with the Gaming Agency requesting a hearing to reconsider the decision to 

deny, suspend or revoke a license. 

(d) If a hearing is requested, the Gaming Agency must hold a hearing within fifteen 

(1 5) days of receiving the request. 

(e) The Gaming Agency shall make a ruling within fifteen (15) days of the hearing, 

and the licensee shall be notified in writing of the ruling within three (3) working days of 

the ruling. 

(I) Such notice shall include a statement that the licensee or applicant may file a 

petition with the Gaming Agency for a rehearing within fifteen (15) days of the 

written notice. 

(f) Within fifteen (15) days of receipt of the written notice of the Gaming Agency's 

ruling, the licensee or applicant may file a written petition with the Gaming Agency for 

a rehearing on the Ga mi ng Agency"~ ruling. Any such petition for rehearing must 

include additional information not previously considered by or made available to the 

Gaming Agency to justify the need for a rehearing and provide the reasons for 

changing the Gaming Agency's ruling. 

(g) If the licensee or applicant files a petition for a rehearing within fifteen (1 5) 

days of receipt, the Gaming Agency shall review any additional information submitted 

by the licensee or applicant with the petition, issue a decision within fifteen (15) days 

of receiving the petition, and notify the licensee in writing of its decision. 

(h) The decisions of the Gaming Agency are final and no further rights of appeal 

are permitted. 

2 1 

Adopted 6122104 - Amended 02109105 
5 2 6. Additional Requirements. 

(a) The Tribal Council may adopt, and the Gaming Agency 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. 

(b) The Gaming Agency is authorized to adopt and implement such additional 

licensing regulations and procedures it deems appsopriate to carry out its duties and 

functions under this Ordinance. 

ARTlCLE IV: ENFORCEMENT 

(a) No person shall violate any provision of this Ordinance, any condition of a 

gaming license issued under this Ordinance, or any rule or regulation adopted 

pursuant to this Ordinance. 

(b) No person shall be employed by or conduct business with a gaming facility 

unless properly licensed under this Ordinance. 

(c) No person shall knowingly make false statements during a background 

investigation or other investigation or inquiry by the Gaming Agency, or aide, abet 

or conspire with a person to evade the provisions of this Ordinance. 

(d) No person shall use fraud or misrepresentation in making an application 

for, or for renewal of, a gaming license. 

(e) No person shall violate any provision of any other tribal gaming ordinance 

or regulations, IGRA or the Compact. 

3 2. Enforcement Actions. 

(a) If the Executive Director determines that a violation of this Ordinance has 

occurred, the Executive Director may take any one of the following actions which 

helshe deems most appropriate considering the gravity of the offense, the economic 

benefit of noncompliance, and the circumstances of the person committing the 

violation: 

(1) Contact the alleged violator about possible violations of this Ordinance ar 

practices which may result in violations of this Ordinance to assist the alleged 

violator in adhering to the requirements of this Ordinance; 

(2) Issue a warning of violation, in the form of a letter from the Executive Director to 

the alleged violator, containing an explanation of the basis for the warning, 

measures required to correct the violation, and an explanation of the steps the 

22 

Adopted 6/22/04 - Amended 02109105 
Executive Director may take if the alleged violator does not take posjtive corrective 

action; 

(3j Following the procedures set out in Section 3, below, issue an order to the 

alleged violator to cease and desist from further commission of such violation; 

(4) Following the procedures set out in Section 3, below, assess a civil fine or 

penalty as described in Section 4, against the alleged viofator; 

(5) Following the procedures set out in Section 3, below, seize the gaming 

machines or other gaming equipment that are in violation of this Ordinance andlor 

the proceeds from the gaming machines that are in violation of this Ordinance; 

(6) Following the procedures set out in Section 3, below, order a temporary closure 

of the gaming facility, or the affected portion(s) thereof, where the violation has 

occurred or is occurring; 

(73 Following the procedures set out in Section 3, below, order the gaming facility to 

halt any payments to or cease continued relations with any person where such 

payment or continued relationship is in violation of this Ordinance; andior 

(8) Following the procedures set out in Section 3, below, impose other appropriate 

and reasonable sanctions within the Gaming Agency's jurisdiction. 

(b) The operator of the gaming facility shall close the operation, or the affected 

portions thereof, upon serviceof an order of temporary closure pursuant to this 

section, unless the order provides othenvise. 

(c) The operator of the gaming facility shall halt any payments to or cease 

continued relations with any person upon service of an order to halt payments 

pursuant to this section, unless the order provides otherwise. 

5 3. Enforcement Process. 

(a) The following procedures shall govern enforcement actions taken pursuant to 

Section 2(a) (33 - (9) of this Article, above: 

(1) The Executive Director shall issue a notice af violation, describing the violation 

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

charged with the violation. 

(i) The notice of violation shall be served by personal delivery or U.S. 

mail, return receipt requested. Notice shall be considered received on the 

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

mail. 

(ii) The notice shall include a warning that if the person does not 

respond within seven business (7) days, the assessed civil penalty or other 

enforcement action wili become permanent, and the person will lose all 

rights to appeal. 

23 

Adopted 6/22/04 - Amended 02/09/05 
(2)Within seven (7) days of receipt of the notice of violation, the person who is 

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

Gaming Agency on the proposed enforcement action described in the notice of 

violation. The hearing will be held before the Gaming Agency according to the 

requirements of this ordinance, and the Gaming Agency's rules and regulations. 

(i) If a hearing is requested, the Gaming Agency must hold a hearing 

within thirty (30) days of receiving the request. If the person requesting the 

hearing makes a showing, supported by a declaration or other written 

documentation that the proposed enforcement action will result in great 

financial loss or harm to person or property before the Gaming Agency is 

required to hold a hearing, the Gaming Agency may hold a hearing immediately 

or may delay or reverse any enforcement action until the Gaming Agency holds 

the requested hearing. 

(ii) If the alleged violator does not request a hearing within seven (7) days 

of receipt of the notice of violation, the assessed civil penalty or other 

enforcement action wiiT become permanent, and the person shall lose all rights 

to appeal. 

(3) At any hearing before the Gaming Agency, the alleged violator must come 

forward with evidence, including declarations, written documents, and statements 

by witnesses, indicating that the person is not guilty of the violation as described in 

the notice of violation. 

(4) Within fifteen (1 5) days of the hearing, the Gaming Agency shall issue a 

decision on whether to affirm or retract the proposed penalty or other enforcement 

action described in the notice of violation, based on the evidence submitted by the 

alleged violator at the hearing. 

(i) The Gaming Agency shalt serve a notice of the decision on the 

violator. The notice of decision shall be served by personal delivery or U.S. 

mail, return receipt requested. Notice shall be considered received on the 

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

mail. 

(5) The decision of the Gaming Agency pursuant to any hearing on a proposed 

penalty or other enforcement action may be appealed to the Tribal Court upon 

written request submitted to the Tribal Court within seven (7) days of the receipt of 

the notice of decision after the initial hearing. The request for a hearing before the 

Tribal Court must state the grounds for overturning the Gaming Agency's decision. 

(i) The Tribal Court shall hold a hearing within thirty (30) days, upon a 

finding that the violator has stated seasonable grounds for overturning the 

Gaming Agency's decision. 

(ii) The violator and the Gaming Agency shall have the opportunity to 

present oral arguments at the hearing. 

24 

Adopted 6122104 - Amended 02/09/05 
(iii) The written record from the hearing before the Gaming Agency, 

together with all papers and requests filed in the proceeding before the Tribal 

Court, shall constitute the exclusive record for decision on appeal. 

(iv) The Tribal Court shall set aside the Gaming Agency's decision only 

upon a finding that the Gaming Agency's decision was arbrtrary, capricious, 

an abuse of discretion, or othenvise not in accordance with the Taw. 

(v) Wjthin sixty (60) days of the hearing, the Tribal Court shall issue a 

decision on the appeal. 

(vi) The Tribal Court shall serve a notice of the decision on the violator. 

The notice of decision shall be served by personal delivery or US, mail, 

return receipt requested. 

(vii) Decisions of the Tribal Court are final. 

(b) The Gaming Agency andlor the Tribal Court, or a representative authorized by 

either body, may institute proceedings in any judicial forum of competent jurisdiction te 

enforce a penalty issued by the Gaming Agency andlor upheld by the Tribal Court on 

appeal. 

3 4. Civil Penalties. 

{a) Any person engaging in a prohibited activity under this Ordinance is subject to 

a civil fine in an amount not to exceed twenty-five thousand dollars ($25,000.00) for 

each day in which the violation occurs, to be assessed by the Gaming Agency. In 

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

under this Ordinance is subject to a civil penalty of probation or suspension, 

revocation, non-renewal, or denial of a license, to be assessed by the Gaming Agency. 

(b) In determining the type and amount of the penalty and/or fine, the Gaming 

Agency shait consider the appropriateness of such fine andlor penalty in light of the 

gravity of the economic benefit of noncompliance, the seriousness of the violation, the 

respondent's history of violations, the degree of fault of the respondent in causing or 

failing to correct the violation, and the degree of the respondent's good faith in 

attempting to achieve rapid compliance after issuance of any warning of violation. 

ARTICLE V: MISCELLANEOUS PROVISIONS 

. Sewice of Process. 

The Tribe designates the Tribe's Chairperson as its agent for service of any official 

determ~nation, order, or notice of violation. 

5 2. Notice. 

(a) Unless otherwise specifically provided for in this Ordinance, written notice shall 

be served by U.S. mail, return receipt requested, or personal delivery. 

25 

Adopted 6/22/04 - Amended 02159105 
(b) Notice shall be considered received on the date of personal delivery or three 

(3) days after the notice is mailed by U.S. mail. 

3. Deleqation of Authority to Conduct Gamins to Tribal Entity. 

Nothing in this Ordinance shall prevent the Tribal Council from delegating the authority 

to conduct gaming to one or more tribal commissions or corporations, so long as any 

such tribal commissions or corporations to which such authority is delegated meet all 

criteria and requirements established under this Ordinance. 

REMAINDER OF PAGE INTENTIONALLY LEFT BLANK 

26 

Adopted 6/22/04 - Amended 02109105 
4 Sovereiqn Immunity. 

The sovereign immunity of the Tribe is in no manner waived by this Ordinance or by any 

action by the Tribal Council or staff of the Tribe acting pursuant to this Ordinance. 

5 5. Repeal. 

This Ordinance supercedes any conflicting or contrary superceding ordinances passed 

by the Tribe. 

If any provision of this Ordinance ot the application thereof to any person or circumstance is 

held 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. 

5 7. Amendment of Ordinance. 

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

8. Effective Date. 

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

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

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

CERTIFICATION 

As the Chairperson of the Tribal Council for the Guidivilie Band of Porno Indians, I hereby 

certify that the Tribal Council amended this Ordinance at a duly called meeting at which a 

quorum was present by a vote of 2 for, wjth 0 against, with 0 abstaining, on this 9 day of 

February, 2005 

4 Date February 9, 2005 

~&lene ~anchez dhairierd6n 

ATTEST: 

Date February 9. 2005 

g$onzaikz, Secretary 

27 

Adopted 6/22/04 - Amended 02109105 
GUIDIV'FLCE BAND OF POMO INDIANS 

ORDINANCE ESTABLISHING THE 

GUIDIVILLE BAND OF POMO INDIANS 

GAMING AGENCY 

Adopted 06122104 By Resolution 04-06 

Amended 02/07/05 By Resolution 05-02 

I 

Adopted 6122104 - Amended 0210912005 
TABLE OF CONTENTS 

ARTICLE I: GENERAL PROVlSlONS 

$1- Purpose $2. Findings And Declarations 

§3. Definitions 

ARTICLE II: GAMING AGENCY 

1 Establishment 

52. Powers and Duties of the Gaming Agency 

53. Budget 

54. Appointment of Commissioners 

s5. Qualifications of Commissioners 

56. Term of Office 

$7. Resignation, Termination for Cause, Disqualifications 

58. Vacancies 

$9. Compensation 

1 Protections Against Conflicts of Interest 

$11. Reporls 

12 Confidentiality 

1 Public tnformation 

ARTICLE 111: MEETjNGS OF f HE GAMING AGENCY 

$1. Rules and Regulations 

$2- Place 

$3. Regular Meetings 

$4. Special Meetings 

$5. Quorum and Voting 

36. Mode of Meeting 

$7. Notice of Meetings 

ARTICLE IV: OFFICERS 

$1- Appointment and Term 

52. Duties of Officers 

$3. President 

54. Vice-President 

55. Secretary 

56. Treasurer 

$7. Vacancies 

ARTICLE V EXECWIVE PlRECTOR 

1. Powers and Duties 

52. Description of Position 

53. Qualifications 

9. Compensation 

95. Protections Against Conflicts of Interest 

56. Reports 

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Adopted 6l22104 - Amended 0~0912005 
ARTICLE VIt: REVIEW 

1. Applicability of this Article 

§2. Executive Director's Decisions 

53. Gaming Agency" Decisions 

$4. Tribal Court Decisions 

ARTICLE VIII: MISCELLANEOUS PROVlSlONS 

$7. Indemnification 

92. Sovereign Immunity 

53. Repeal 

§4. Severability 

S5. Amendment of Ordinance 

56. Effective Date 

Page 13 

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iii 

Adopted 6i22l04 - Amended 02109f2005 
GUlDlVlCLE BAND OF POMO INDIANS 

ORDINANCE ESTABLISHING THE GUIDIVILLE BAND OF POMO 

INDIAN'S GAMING AGENCY 

ARTICLE 1: GENERAL PROVlSlONS 

Adopted 06122104 Bv Resolution 04-06 

Amended 02/07/05 By Resolution 05-02 

Purpose 

The Guidiville Band of Pomo Indians, acting through its Tribal Council, pursuant to the 

Tribe's inherent authority and the Tribe's Constitution, hereby enacts this Ordinance in 

order to establish the Guidiville Band of Porno Indians Gaming Agency as a non-political 

and independent unit of tribal government charged with the regulation of class II and 

dass PI1 gaming operations on the Guidiville Rancheria. 

% Findinqs and Declarations 

The Glridiville Band of Poma Indians finds and declares that - 

(a) Gaming provides economic development opportunities and a source of revenue 

for the Gujdiville Band of Pomo Indians and its members. 

(b) The regulation of gaming is in the best interest of the Guidiville Band of Pomo 

Indians and its members. 

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

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

persons living on, or passing through, the GuidiviIle Rancheria. 

a Definitions 

(a) Unless a different meaning is dearly 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. 52701 et seg.) and its regulations (25 C. F.R. $500 et seq.). 

(b) For the purposes of this Ordinance, the foltowing words shall have the following 

meanings: 

1 The term "Commissioner" means a duly appointed member of the 

Guidivitte Band of Pomo Indians Gaming Agency. 

(2) The term "Com~act" means the Tribal-State Compact between the Tribe 

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

Indian Gaming Regulatory Act, 25 U.S.C. $2701 (d)(l)(C) and amended from time 

to time. 

(3) The term "Executive Director" means the individual described in Article V 

of this Ordinance. 

Adopted 6122104 - Amended 0210912005 
(4) The term "Gaminu Asencv" means the GuidiviHe Band of Pome Indians 

Gaming Agency established pursuant to this Ordinance. 

(53 The term "qamina facilitv" means any building in which class II or class 1II 

gaming activities are offered by the gaming operation within the boundaries of 

the Guidiville Band of Porno Indians or where any Class I1 or Class 111 gaming 

devices are kept. 

(6) The term "IGW means the lndian Gaming Regulatory Act, 25 U.S.C. 

92707 et seq. and its regulations, 25 C.F.R. 5500 et seq. 

(7) The term 'immediate family" means, spouse. 

(8) The term 'NIGC" means the National lndian Gaming Commission 

established pursuant to 25 U.S.C. $2704. 

(9) The term "person" means any individual. corporation, firm, partnership, 

joint venture, association, social dub, estate, trust, the United States, Tribe, 

State, County, City, district or other political subdivision of any state, or any other 

group or combination acting as a unit. 

(lo) The term "Rancheria" means all land water and resources which are 

held in ttust or restricted status within the former boundaries of the Guidiville 

Rancheria, consistent with the terms of the decision in Scorts Valley Band of 

Porno Indians of the Suqar Bowl Rancheria et al, v. U.S.A., Civil No. C-86- 

3660-VRW (N.D. Cat. 79911, and to other such lands, water and resources as 

have been or may hereafter be acquired by the Tribe. 

(1 1) The term "Tribal Council" means the Tribal Council of the Guidiville Band 

of Porno Indians. 

(1 2) The term "Tribat Court" means the Guidiville Band of Porno Indians tribal 

Court or such other judicial forum as designated by the f ribal Council. Any 

notices may be filed with the Tribal Court as designated by the Tribal Council, or, 

in the absence of such designation, with the Tribal Council at the office of the 

Tribal Council. 

(1 3) The term 'Tribal Member means any individual who is duly enralled in 

the Tribe in accordance with the Tribe" Constitution and any enrollment 

ordinanm that may be enacted by the Tribe, as amended from time to time, 

(14) The term "Triben means the Guidiville Band of Porn Indians, a fedetally 

recognized Indian tribe. 

Adopted 6122104 - Amended 0210912005 
ARTlCLE II: GAMING AGENCY 

Establishment 

(a) There is hereby established a Gaming Agency, acting under the authority of the 

Tribal Council, to be known as the Guidiville Band of Porno Indians Gaming Agency. 

(b) The Gaming Agency shall be composed of five (5) members, if quafified, and 

appointed by the Tribal Council, as further provided herein. 

42. Powers and Duties of the Garnlnq Aqeney 

(a> The Gaming Agency shall exercise its regulatory powers in accordance with the 

IGRA and implementing regulations, the Compact and the Tribe's own gaming laws and 

regulations. 

(b) Without limiting the generality of section (a), above, the Gaming Agency is 

authorized to: 

(1) Conduct background investigations of all applicants for a license under 

the Tribe" Gaming Ordinance; 

(2) Issue, limit, condition, mad@, restrict, suspend, revoke, terminate, renew 

and deny gaming licenses upon completion of background investigations and 

review of eligibility in accordance with the Tribe's Gaming Ordinance and any 

other applicable law; 

(3) Foward completed applications and investigative reports on each 

background investigation far primary management officials and key employees to 

the NIGC prior to issuing a license and notify the NIGC if, after conducting a 

background investigation on a prjrnary management official or a key employee, 

the Gaming Agency does not license the individual; 

(4) Maintain records on licensees and on persons denied licenses, as well as 

persans othenvise prohibited from engaging in gaming activities within the Tribe's 

jurjsdiction, provided that applimtions and background investigation reports shall 

be maintained for at least three (3) years from termination of employment; 

(5) Issue licenses to each place, facility or location on the Rancheria where 

the Tribe authorizes gaming, including individually owned gaming; 

(6) Ensure that gaming facilities are constructed, maintained and operated in 

a manner that adequately protects the environment and the public health and 

safety; 

(7) Obtain annual independent outside audits and submit these audits to the 

NIGC; 

(8) Ensure that net revenues from any gaming activities are used for the 

purpose set forth in the Tribe's Gaming Ordinance; 

3 

Adapted 6/22/04 - Amended 02109F2005 
(9) Promulgate and administer tribal gaming regulations, standards and 

procedures including but not limited to regulations addressing the following: 

(A) Criteria and procedures for licensing: 

(i) all employees of the gaming operation; 

(ii) each place, facility or location on the Rancheria where the 

Tribe authorizes gaming, including individually owned gaming; 

(iii) persons and entities who do business with the gaming 

operation, induding manufacturers and suppliers of machines, 

equipment and supplies; 

(iv) persons who supply financing to and participate in revenue 

sharing from the gaming operation; 

(B) Minimum internal control standards or procedures for the gaming 

operation, including standards or procedures for the gaming operation, 

including standards or procedures relating to: 

(i) the operation's credit pdicles and procedures for acquiring 

supplies and equipment; 

(ii) surveillance; 

(iii) games and gaming machines; 

(iv) mge and credit; 

(v) internal audit; 

(vi) electronic data processing; 

(vii) complimentary services or items; 

(1 0) Promulgate rules, regulations, specifications, standards or procedures 

governing the following: 

(A) Ensuring the physical safety of gaming operation patrons and 

employees and any other person while in the gaming facility; 

(B) The physical safeguarding of assets transported to, within, and 

from the gaming facility; 

(C) The prevention of illegal activity from occurring within the gaming 

facility or with regard to the gaming operation; 

Adopted 6/22/04 - Amended 0210912005 
(D) The recording of occurrences within the gaming facility that 

deviate from normal operating policies and procedures in accordance with 

the Compact; 

(€1 Employee procedures designed to permit detection of any 

irregularities, theft, cheating, fraud, or the like, consistent with industry 

practice; 

(F) Customer conduct for patron exclusions; 

(G) Maintenance of a closed-circuit television surveillance system 

consistent with industry standards for gaming facilities of the type and 

scale operated by the Tribe in accordance with the Compact; 

(H) Ensuring that management of the gaming facility maintains the 

cashier's cage and vault in accordance with industry standards for such 

facilities; 

(I) Ensuring that management of the gaming facility maintains the 

minimum staff and supervisory requirements for each gaming activity ta 

be conducted; 

{J) Technical standards and specifimtions for the operation of gaming 

devices and other games to be conducted by the Tribe, which technical 

specifications shall be no less stringent than those approved by a 

recognized gaming testing laboratory in the gaming industry; 

(1 1) Maintain a list of persons barred from he gaming facility who, because of 

their past behavior, criminal history, or association with persons or organization, 

pose a threat to the integrity of the gaming activities of the Tribe or to the integrity 

of regulated gaming within the State of California; 

(1 2) Detain persons who may be involved in illegat acts within a gaming facility 

or regarding a gaming operation for the purpose of notifying appropriate law 

enforcement authorities; 

(13) In compliance with the Compact and other provisions thereof, establish 

rules of various games and standards for gaming machines and inspect and test 

games, tables, garning machines, cards, chips, tokens and other gaming 

equipment for compliance with these rules and standards; 

(1 4) Resolve patron disputes; 

(1 5) Perfem audits of business transactions to ensure compliance with 

regulations andlor policy; 

(1 6) Monitor gaming activities to ensure compliance with IGM and 

implementing regulations, the Compact and the Tribe's laws and regulations; 

(1 7) Interact with other regulatov and law enforcement agencies regarding the 

regulation of gaming; 

Adopted 6/22/04 - Amended 02l0912005 
(1 8) Conduct investigations of possible violations of this Ordinance, the Tribe's 

Gaming Ordinance and other tribal laws and regulations and take appropriate 

enforcement action, including but not limited to the following actions: 

(A) Impose civil penalties not to exceed twenty-five thousand doltars 

($25,000.00) per each separate count or violation, where each day of 

violation shall constitute a separate count or violation; 

(B) Inspect and examine al I premises wherein gaming is conducted or 

gambling devices are used, manufactured, sold, distributed or stored; 

(C) Inspect all equipment and supplies in, upon or about a gaming 

operation, or inspect any equipment or supplies, wherever located, which 

may be, or have been, used in the gaming operation; 

(D) Summarily seize and remove from a gaming operation (or 

wherever located) and impound such equipment or supplies for the 

purposes of examination, inspection, evidence or forfeiture; 

(€1 Demand immediate access to, and inspect, examine and audit all 

papers, books, and records of applicants and licensees, and require 

verification of income and all other matters affecting the enforcement of 

this Ordinance; 

(F) Seize and impound any patron's winnings which the Gaming 

Agency has reason to believe may have been won or obtained in violation 

of this Ordinance pending a civil forfeiture hearing on such seizure; 

(G) Conduct hearings on possible violations of the Tribe's laws, 

regulations, policies, standards or customs and tradition and take such 

testimony and receive such evidence as the Gaming Agency deems 

relevant; 

[H) Issue subpoenas and compel the attendance of witnesses for 

hearings af any place within the Rancheria, to administer oaths and 

require testimony under oath; 

(1 9) Provide independent information to the f ribai Council on the status of the 

Tribe's gaming operations; 

(20) Take testimony and conduct hearings on regulatory matters, including 

matters related to the revocation of employee licenses; 

(21) Retain a paid staff, legal counsel and other consultants in accordance 

with any personnel ordinance, policies or procedures adopted by the Tribe, to be 

paid out of the Gaming Agency's annual budget; 

(22) Establish such policies, procedures, rules and regulations as are needed 

to wry out the purposes of this Ordinance, the Tribe's Gaming Ordinance, and 

any other ordinances passed by the Tribe; and 

6 

Adopted 6l22104 - Amended 0210912005 
(23) Delegate the above-mentioned powers to the Executive Director. 

§& Budget 

(a) At least ninety (90) days prior to the end of the each fiscat year, the Gaming 

Agency shall prepare a budget for the next year's operation and shall submit the budget 

to the Tribal Council. 

(1 $ In preparing the annual budget, all actual and anticipated surplus funds of 

the Gaming Agency shall be taken into account. 

(b) The Tribal Council shall adopt, amend or replace the annual budget and, based 

thereon, shall authorize the transfer of the annual capital the Gaming Agency may need 

for operation and program purposes. 

(c) Expenditures by the Gaming Agency shall be in accordance with the approved 

annual budget, except that the Gaming Agency may deviate from the terms of the 

adopted budget by a margin of not more than ten percent (1 0%) during the budget year 

without further approval of the Tribal Council, 

Appointment of Commissioners 

The Gvidiville Tribal Council shall serve as the Commissioners until the first occurrence 

of either; a gaming facility has maintained operation for 90 days; or until the Tribal 

Council determines it is practical and necessary to appoint new gaming commissioners; 

Commissioners. Al t Gaming Agency Commissioners shall be appointed by the Jri bal 

Council. 

85. Qualifications of CommissFoners 

(a) To serve as a Commissioner, an individual must be at least twenty-five (25) 

years of age, be a U.S. citizen or resident alien, and have experience in one or more of 

the following fields: accounting, law, gaming operations; gaming management, gaming 

regulation, law enforcement or public administration. 

(b) Commissioners must pass a background investigation to be conducted by the 

Gaming Agency. 

(c) No spouses or domestic partners of the Tribal Council and no employee of any 

gaming operation may serve concurrently as a Commissioner. 

(e) Any person who has been convicted of, or is currently being prosecuted for, a 

felony or a crime of moral turpitude, including, but not limited to, fraud, theft, and 

embezzlement, is not eligible to senre as a Commissioner. 

& Term of Office 

(a) Commissioners shall serve for a term of four (4) years, with no limitation as to the 

number of terms served. 

Adopted 6122104 - Amended 0210912005 
(b) Amendments to the Gaming Ordinance shall not affect the terns of 

Commissioners already sewing on the Gaming Agency. 

Resiqnation, Termination for Cause, Disqualification 

(a) Commissioners shall serve until the appointment of their successors, or until 

resignation, termination for muse, disqualification or death. 

(b) Any Commissioner may resign from office at any time. Resignations shall be 

made in writing delivered to the Tribal Council. 

(c) Termination for cause shalt be ordered only by two-thirds (213) majority vote of 

the Tribal Council after a duly noticed hearing at which the Commissioner facing 

termination shall have the right to hear and present evidence concerning hislher 

termination. 

(A} Termination for cause shall include neglect of duty, misconduct, 

malfeasance, any cause that would disqualify a Commissioner from serving on 

the Gaming Agency, or any material omission or fake statement in applying for 

appointment to the Gaming Agency. 

§& Vacancies 

If any vacancy is created on the Gaming Agency by virtue of resignation, deatb or 

removal of a Commissioner, the Tribal Council shall appoint a replacement for the 

remainder of the current term. The appointment shall be made within thirty (30) days of 

the vacancy's occurrence. 

§& Compensation 

(a) Commissioners shall be paid a stipend at a rate to be established by the Gaming 

Agency's annual budget, which must be approved by the Tribal Council in accordance 

with this Ordinance. 

(b) Commissioners shall be reimbursed for necessary out-of-pocket expenses 

incurred in cawing out the duties and responsibilities of their position. Receipts or 

appropriate documentation shall be submitted for all expenses to be reimbursed. 

(c) In no event shall compensation be based on a percentage of net profits from the 

Tribe's gaming operations. 

Protections Aqainst Conflicts of Interest 

(a) Commissioners and their immediate family members may not engage in any 

gaming activity at the Tribe's gaming operations. 

(b) If a Commissioner or a member of the Commissioner's immediate family has an 

existing or potential financial interest in any matter over which the Gaming Agency 

exercises decision-making authority, that Commissioner shall make full disclosure of that 

interest to the Gaming Agency and shall abstain from voting, or being present during any 

8 

Adopied 6/22/04 - Amended 02f0912005 
vote, on the matter. For the punposes of this Ordinance. the receipt of a per-capita 

distribution of gaming operation profits as paid to all eligible Tribal Members shall not 

constitute a financial interest in the gaming operation. 

(c) No Commissioner shall use or divulge any confidential information obtained while 

~rrying out the duties and responsibilities of their position for the purpose of benefiting 

themselves or their immediate family, either directly or indirectly. 

(d) No Commissioner or member of a Commissionerk immediate family may receive 

personal compensation, reimbursement or payment of any kind from any person doing 

or wishing to do business with the Tribe relating to gaming nor with any person wishing 

to obtain an unfair advantage in any authorized wager on gaming. Any property 

received in violation of this provision, including cash payments, shall be immediately 

forfeited to the Tribe and the offending persons shall be prosecuted to the fullest extent 

possible. The Gaming Agency shall cooperate to the fullest extent possible with any 

federal or State law enforcement agency to pursue prosecution under applicable 

Federal or State law. 

Reports 

(a) The Gaming Agency shall make at least one report a month to the Tribal Council 

which shall include a summaw of the Gaming Agency's activities, including all licensing 

and enforcement actions, for the preceding month. 

(b) On or before Aptil 30 of each year, the Gaming Agency shall provide to the Tribal 

Council an annual report summarizing the Gaming Agency" activities during the prior 

twelve month period ending on December 31, and accounting for all receipts and 

disbursements. Such annual report shall include an audited statement of accounting. 

Confidentiality 

(a) Each Commissioner, the Executive Director and any staff employed by the 

Gaming Agency shall be required to sign a confidentiality agreement and will be 

responsible for ensuring the strictest standards of mnfidentiality with respect to all 

information concerning the gaming operation or the Gaming Agency's business. 

{b) All information provided to or obtained by the Gaming Agency, the Executive 

Director or any staff employed by the Gaming Agency in performance of their duties 

shall be kept confidential and shall not be disclosed to any person or organization 

without the written consent of the Tribal Council. 

(c) The Gaming Agency, the Executive Director and any staff employed by the 

Gaming Agency may refuse to reveal in any court proceeding, the identity of any 

informant andlor the information obtained from the informant. 

gf Public Information 

(a) Public information, including identifiable public records, maintained by the 

Gaming Agenq shall be available to any tribal official or during normal business hours 

maintained by the Gaming Agency upon reasonable notice and request. 

Adopted 6122104 - Amended 0210912005 
(b) In futfilling requests for public information made by a tribal official or, the Gaming 

Agency shall not disclose confidential records or confidential information, except as 

required to perform mandated legal duties or comply with applicable legal requirements. 

ARTICLE Ill: MEETINGS OF THE GAMING AGENCY 

Rules and Requlatiens 

The Gaming Agency may adopt such rules and regulations for the conduct of their 

meetings and the management of the Gaming Agency as they may deem proper. 

§& Place 

Meetings of the Gaming Agency shall be held at the Tribe's primary meeting facility on I 

the Guidiville Indian Rancheria unless the Gaming Agency deems it appropriate to hold 

a meeting in another location. 

& Reqvlar Meetinqs 

The Gaming Agency shall establish a regular schedule of meetings, and shall hold no 

less than two (2) meetings in each thirty-day period. 

§&. Special Meetinqs 

Special meetings of the Gaming Agency may be called at the request of the Executive 

Director or by any Commissioner. 

§& Quorum and Voting 

(a) A quorum of the Gaming Agency shall consist of three (3) Commissioners if there 

are three (3) Commissioners total sewing on the Gaming Agency. If more than three (3) 

Commissioners are serving on the Gaming Commission, twu-thirds (2/3) of the 

Commissianers shall constitute a quorum. 

(b) All actions or decisions of the Gaming Commission shall be taken by majority 

vote. Every act or decision done or made by the Commissioners present at a meeting 

duly convened at which a quorum is present shall be regarded as an act of the Gaming 

Agency, subject to the provisions of this Ordinance and any applicable law. 

(c) lntheabsen~eofaquorum,nobusinessshallbeconductedotherthanforthe 

purpose of information sharing only. 

(dl The conduct of Gaming Agency business shall be governed by such rules as the 

Gaming Agency adopts. 

Adopted 6122104 - Amended 0210912005 
86. Mode of Meeting 

The Gaming Agency may conduct regular or special meetings through the use of any 

means of communication by which all Commissioners may simultaneously hear each 

other. 

§?L Notice of hdeetinqs 

(a) The schedule of regular meetings shall be sent to each Commissioner and the 

Executive Director, and no further notice of regular meetings is required to be given. 

(b)Notice of special meetings shall be given in writing to each Commissioner and the 

Executive Director at least Wenty-four (24) hours prior to the meeting. 

('I) Notices shall be given either personally, by telephone, by mail or by fax. Such 

notice shall state the place, date, and hour of the meeting and the general nature of the 

business to be transacted. 

(2) In the case of a special meeting. no other business other than that set out in the 

notice may be transacted at the meeting, unless approved by unanimous vote of the 

Commissioners. 

(3) Notice is not required when the requirement is waived by unanimous consent of 

the Commissioners. Such vote shall be recorded in the minutes of the meeting at which 

such vote was taken. 

ARTICLE IV: OFFICERS 

§.I2 Appointment and Term 

(a) At its initial meeting, the Gaming Agency shall select by majority vote from 

among its members a President, Vice-president, Secretary and Treasurer. 

(b) Officers shall serve for the duration of their term as Commissioner. 

(c) No officer shall serve in more than one office simultaneously. 

Duties of Officers 

f he duties and powers of the officers of the Gaming Agency are those specified in this 

Ordinance, and shall include any additional duties and powers as may be set by 

resolution of the Gaming Agency, provided that such duties and powers may not exceed 

the powers granted to the Gaming Agency by this Ordinance. 

&, President 

The President shall preside over meetings of the Gaming Agency. The President shall 

be the principal executive officer of the Gaming Agency. 

Adopted 6122104 - Amended 02109)2005 
Vice-President 

In the absence of the President, the Vice-President shall perform all the duties of the 

President, and when so acting shall have all the powers of, and be subject to all the 

restrictions upon, the President. The Vice-President shall have such other powers and 

perform such ether duties as may be prescribed by the President. 

&. Secretary 

The Secretary shall have the following duties: 

(a) The Secretary shall record in writing the minutes of all Gaming Agency meetings 

and all official actions taken by the Gaming Agency which shall be maintained in a book 

of minutes to be maintained at the Gaming Agency's main office. This shall include the 

time and place of meetings, whether regular or special, and if special, how authorized, 

the notice given, and the names of those present at such meetings. 

(b) The Secretary shall give, or cause to be glven, notice of all meetings of the 

Gaming Agency required by this Ordinance to be given. 

(c) The Secretary shall keep the seal, if any, of the Gaming Agency in safe custody. 

9k Treasurer 

(a) The Treasurer shall monitor the fiscal activities of the bookkeeper andlor 

accountant retained by the Gaming Agency to maintain the financial records of the 

Gaming Agency. 

a Vacancies 

A vacancy in any office due to death, resignation, removal, disqualification, or any other 

cause shall be filled by the Gaming Agency within thirty (30) days of the appointment of 

the replacement Commissioner by the Tribal Council, and the Gaming Agency may at 

such time reassign as many Commissioners as necessary to new offices. 

ARTICLE V: EXECUTIVE DIRECTOR 

Powers and Duties 

(a) The Executive Director shall be responsible for the day-today management of 

the affairs of the Gaming Agency and overseeing the establishment and operation of all 

gaming activities for compliance with all applicable Federal, State and Tribat gaming 

laws and regulations. 

(b) The Executive Director shall perform such duties as may be delegated by 

resolution of the Gaming Agency from time to time. 

Adopted 6122104 - Amended 02/09/2005 
Description of Position 

(a) f he Executive Director shall be hired by the Gaming Agency and report directly 

and only to the Gaming Agency. 

(b) The Executive Director may be terminated for cause by a two-thirds (213) majority 

vote of the Gaming Agency. 

§& Qualifications 

(a) The Executive Director must be at least twenty-five (25) years of age, a U.S. 

citizen or resident: alien, and have experience in gaming management, gaming 

regulation, law, law enforcement andlor public administration. 

(b) A detailed background investigation shal! be conducted on the Executive Director 

before his or her hiring. 

(c) Any person who has been convicted of, or is currently being prosecuted for, a 

felony or a crime of moral turpitude, including, but not limited to, fraud, theft, and 

embezzlement, is not eligible to serve as Executive Director. 

Compensation 

The Executive Director shall be compensated in accordance with the provisions of his or 

her employment contract or tribal personnel policies. Compensation shall not be based, 

in whole or in part, on the profitability of the gaming operation. Compensation shall be 

paid out of the Gaming Agency's annual budget. 

Protections AqaCnst Conflicts of Interest 

The restrictions imposed on Commissioners under Section 1 0 of Article II of this 

Ordinance shall apply equally to the Executive Director. 

§& Reports 

(a) The Executive Director shall make at least monthly reports to the Gaming 

Agency within thirty (30) days after the close of the month for which the information is 

being provided. 

(b) Said report shall, at a minimum, include a full and complete statement of auditing 

activities, expenses and all other financial transactions of the Executive Director, and 

summary of all licensing and enforcement actions. 

a AppllcabiFltV Of this Article 

(a) The provisions of this Article shall only apply in the absence of specif c provisions 

relating to review of decisions contained in this Ordinance, another tribal ordinance, a 

Gaming Agency regulation, rule, standard, specification or policy, or other trjbal taw. 

13 

Adopted 6122104 - Amended 0210912005 
(b) The Gaming Agency and the Tribal Court may adopt rules, regulations and 

procedures to implement this Article. Any such rules, regulations and procedures shatl 

be binding. 

&. Executive Director's Decisions 

(a) Any person or entity adversely affected by a decision of the Executive Director, 

including but not limited to the gaming operation or any employee thereof, may petition 

the Gaming Agency for review of such decision within fifteen (1 5) days after receiving 

notice of the decision. 

(b) Said decision shall only be reversed by a majority vote of the Gaming Agency at 

a duly held meeting at which such matter has been placed on the agenda af least seven 

(7) days prior to such meeting. 

Gaminn Aaency's Decisions 

(a) Any person or entity adversefy affected by a decision of the Gaming Agency, 

including but not limited to the gaming operation or any employee thereof, may petition 

the Tribal Court for review of such decision within fifteen (1 5) days after receiving notice 

of the decision. Such petitions are limited only to claims of violations of due process. 

(b) Said decision shall only 'be reversed by a majority vote of the Tribal' Court at a 

duly held meeting at which such matter has been placed on the agenda at teast fifteen 

(1 5) days prior to such meeting. 

Tribal Court Decisions 

The decisions of the Tribal hurt shall be fnal and binding upon the petitioner. Executive 

Director or Gaming Agency and shall not be subject to judicial review, dispute resolution 

or other legal action. 

ARTICLE VHH: MiSCELLANEOUS PROVISIONS 

The Tribal Council shall indemntfy any Commissioner or Officer or former Commissioner 

or Officer of the Gaming Agency, against expenses actually and reasonably incurred in 

connection with the defense of any action, suit or proceeding, civil or criminal, in which 

that individual is made a party by reason of being or having been such a Cammissioner 

or Officer, except in relation to matters as to which the Commissioner or Officer or 

former Commissioner or Officer of the Gaming Agency shall be adjudged in such action, 

suit or proceeding to be liable for gross negligence, fraud or willful misconduct in the 

pedormance of duty to the Gaming Agency or Tribe. 

{a) As an agency of the Tribal government, the Gaming Agency shall enjoy the full 

benefits of the Tribe's sovereign immunity, and any and all attributes of sovereignty 

enjoyed by the Tribal government. 

Adopted 6122104 - Amended 0210912005 
(b) The Gaming Agency has no authority to waive the Tribe's sovereign immunity. 

(c) The sovereign immunity of the Tribe is in no manner waived by this Ordinance or 

by any action by the Tribal Council, Gaming Agency, Commissioners, Executive Director 

or staff of the Gaming Agency acting pursuant to this Ordinance. 

This Ordinance supersedes any conflicting or contrary superseding ordinances passed 

by the Tr~be. 

Severability 

if any provision of this Ordinance or the application thereof to any person or 

circumstance Is held invalid by a court of competent jurisdiction, the invalid provision or 

provisions shall be severed and the remaining provisions shall continue in full farce and 

effect. 

85. Amendment of Ordinance 

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

§&. Effective Date 

This Ordinance shall take effect immediately upon adoption by a majority vote of the 

Tribal Council. 

CERTIFICATION 

As the Chairperson of the Tribal Council for the Guidiville Band of Porno Indians, I 

hereby certify that the Tribal Council amended this Ordinance at a duly called meeting at 

which a quorum was present by a vote of 2 for, with 0 against, with 0 abstaining, on this 

9 day of February, 2005. 

Date: February 9,2005 

k3r/?-~{/d/i J>LL~~~ Date: February 9.2005 

~hices Gonzalez. Secretary qPr 

Adopted 6122104 -Amended 0210412005