TC2022-5 Amended and Restated Paskenta Gaming Ordinance PAGE 1

RESOLUTION OF THE TRIBAL COUNCIL

OF THE 

PASKENTA BAND OF NOMLAKI INDIANS

RESOLUTION #: TC2022-5

DATE APPROVED: February 17, 2022

SUBJECT: Amended and Restated Paskenta Gaming Ordinance

WHEREAS, the Paskenta Band of Nomlaki Indians (“Band”) adopted its Tribal Constitution 

and Bylaws (“Tribal Constitution”) on April 18, 1998 and the Secretary of the Interior or 

authorized delegate approved said Constitution and Bylaws on May 15, 1998;

WHEREAS, Article III, Section 1 of the Tribal Constitution provides that the governing body 

of the Band is the Tribal Council;

WHEREAS, Article VI, Section 1(b) of the Tribal Constitution provides that the Tribal 

Council is authorized to promote the health, education and general welfare of the Tribal 

Members and to administer charity and such other services as may contribute to the social and 

economic advancement of the Tribe and its Members;

WHEREAS, Article VI, Section 1(d) of the Tribal Constitution provides that the Tribal 

Council is authorized to promulgate and enforce resolutions and ordinances on such subjects as 

the activity of the Band may require that are not inconsistent with the Tribal Constitution;

WHEREAS, the Tribal Council has enacted the Paskenta Gaming Ordinance, as amended 

(“Gaming Ordinance”), and the Paskenta Gaming Commission Ordinance (“Gaming

Commission Ordinance”) to regulate the conduct of gaming within the Paskenta Band of 

Nomlaki Indians Reservation and to establish the Paskenta Gaming Commission to assist in 

such regulatory activities, respectively;

WHEREAS, the Tribal Council wishes to amend and restate the Gaming Ordinance to 

include relevant provisions of the Gaming Commission Ordinance, to ensure consistency 

with current federal law, and to ensure consistent with the Tribal-State Gaming Compact 

Between the State of California and the Band, which took effect on December 11, 2020; 

and

WHEREAS, the Tribal Council wishes to rescind the Paskenta Gaming Commission 

Ordinance, No. 120-00.

NOW, THEREFORE, the Tribal Council has passed the following resolutions:

DocuSign Envelope ID: 81F5562A-9DCC-4ECE-AB14-8CF31B508EA0
TC2022-5 Amended and Restated Paskenta Gaming Ordinance PAGE 2

RESOLVED, that the Tribal Council approves and authorizes the Amended and Restated 

Paskenta Gaming Ordinance attached to these minutes.

RESOLVED, that the Tribal Council rescinds the Gaming Commission Ordinance. 

RESOLVED, that the Tribal Council authorizes the Chairman to submit the Amended and 

Restated Paskenta Gaming Ordinance to the National Indian Gaming Commission for federal 

approval and to otherwise take such actions as are necessary to fulfill the purpose and intent of 

these resolutions.

[The remainder of this page is intentionally left blank]

DocuSign Envelope ID: 81F5562A-9DCC-4ECE-AB14-8CF31B508EA0
TC2022-5 Amended and Restated Paskenta Gaming Ordinance PAGE 3

CERTIFICATION

THE PASKENTA BAND OF NOMLAKI INDIANS TRIBAL COUNCIL CERTIFIES THAT 

THESE RESOLUTIONS WERE ADOPTED ON February 17, 2022, WHERE A QUORUM 

WAS PRESENT, AND THESE RESOLUTIONS WERE ADOPTED BY A VOTE OF ____ 

FOR, ____ AGAINST, ____ ABSTAINING AND ____ NOT PRESENT, AND THAT SAID 

RESOLUTIONS HAVE NOT BEEN RESCINDED OR AMENDED IN ANY WAY SINCE 

THEIR ADOPTION

__________________________________________ February 17, 2022

ANDREW ALEJANDRE, TRIBAL CHAIRMAN DATE

__________________________________________ February 17, 2022

LATISHA MILLER, VICE CHAIRPERSON DATE

__________________________________________ February 17, 2022

AMBROSIA RICO, TREASURER DATE

__________________________________________ February 17, 2022

KEITH RAY, SECRETARY DATE

__________________________________________ February 17, 2022

NATASHA MAGANA, COUNCIL MEMBER-AT-LARGE DATE

DocuSign Envelope ID: 81F5562A-9DCC-4ECE-AB14-8CF31B508EA0

0

3

2

ABSENT

0

ABSENT
February 17, 2022 – Amended 1 

ORDINANCE NO. TC2022-5 

PASKENTA BAND OF NOMLAKI INDIANS 

AMENDED AND RESTATED PASKENTA GAMING ORDINANCE 

AND 

LICENSING AND BACKGROUND INVESTIGATION PROCEDURES 

TABLE OF CONTENTS 

 Page 

Statement of Source Authority 1 

Statement of Purpose 1 

Short Title 1 

ARTICLE I: DEFINITIONS ....................................................................................................... 4

Section 1. General ....................................................................................................................... 4 

Section 2. Special Terms............................................................................................................. 4 

ARTICLE II: GAMING AUTHORIZED .................................................................................. 7

ARTICLE III: OWNERSHIP OF GAMING............................................................................. 8

ARTICLE IV: USE OF GAMING REVENUES ....................................................................... 8

Section 1. Use of Net Revenues ............................................................................................. 8 

Section 2. Per Capita Payments.............................................................................................. 8 

ARTICLE V: GAMING COMMISSION ................................................................................... 9

Section 1. Commission Established ............................................................................................ 9 
February 17, 2022 – Amended 2 

Section 2. Commissioners ........................................................................................................... 9 

Section 3. Commission Powers................................................................................................. 11 

Section 4. Executive Director ................................................................................................... 14 

Section 5. Budget ...................................................................................................................... 15 

Section 6. Notice ....................................................................................................................... 15 

Section 7. Confidentiality ......................................................................................................... 15 

Section 8. Conduct of Commission Meetings........................................................................... 15 

ARTICLE VI: AUDIT ................................................................................................................ 16

Section l. Annual Audit............................................................................................................ 16 

Section 2. Gaming Contracts .................................................................................................... 16 

ARTICLE VII: FACILITY LICENSES ................................................................................... 16

ARTICLE VIII: PROTECTION OF THE ENVIRONMENT ............................................... 17

Section 1. Environment, Public Health and Safety .................................................................. 17 

ARTICLE IX: SPECIFIC AGE REQUIREMENTS FOR CLASS II AND CLASS III 

GAMING ..................................................................................................................................... 17

ARTICLE X: FIREARMS CONTROL ................................................................................... 17

ARTICLE XI: LICENSES ......................................................................................................... 17

Section 1. License Requirements .............................................................................................. 17 

Section 2. Employee License Tiers ........................................................................................... 18 

Section 3. Background Investigations...................................................................................... 18 

Section 4. Eligibility Determination ........................................................................................ 19 

Section 5. Periodic Review ...................................................................................................... 19 

Section 6. Reporting................................................................................................................. 19 

Section 7. Records Retention .................................................................................................... 19 

Section 8. Additional Requirements ........................................................................................ 20 

ARTICLE XII: MINIMUM CONTROL STANDARDS ........................................................ 20

Section 1. Applicable Standards ............................................................................................... 20 

Section 2. Annual CPA Testing of Compliance ....................................................................... 20 

Section 3. Compliance .............................................................................................................. 20 

Section 4. Enforcement ............................................................................................................. 21 

ARTICLE XIII: RESOLUTION OF PATRON GAMING DISPUTES ............................... 21

ARTICLE XIV: SERVICE OF PROCESS .............................................................................. 21

ARTICLE XV: COMPLIANCE WITH FEDERAL LAW .................................................... 21

ARTICLE XVI: REPEAL ......................................................................................................... 21

ARTICLE XVII: SEVERABILITY .......................................................................................... 21
February 17, 2022 – Amended 3 

ARTICLE XVIII: AMENDMENT OF ORDINANCE ........................................................... 21

ARTICLE XIX: MISCELLANEOUS ...................................................................................... 22

Section 1. Amendments ............................................................................................................ 22 

Section 2. Savings Clause ......................................................................................................... 22 

ARTICLE XX: LICENSING AND BACKGROUP INVESTIGATION PROCEDURES .. 22

Section 1. Purpose ..................................................................................................................... 22 

Section 2. Incorporation by Reference ...................................................................................... 22 

Section 3. Scope ........................................................................................................................ 22 

Section 4. Scope of Investigations ............................................................................................ 23 

Section 5. Cooperation .............................................................................................................. 25 

Section 6. Fingerprinting .......................................................................................................... 25 

Section 7. Confidentiality ......................................................................................................... 25 

Section 8. Eligibility Determinations ........................................................................................ 25 

Section 9. Privacy Notice .......................................................................................................... 26 

Section 10. Notice Regarding False Statements ....................................................................... 27 

Section 11. Required Information – General ............................................................................ 27 

Section 12. Required Information – Business Entities ............................................................. 29 

Section 13. Investigative Reports ............................................................................................. 30 

Section 14. Report to the NIGC ................................................................................................ 30 

Section 15. Reporting to State Gaming Agency ....................................................................... 31 

Section 16. Granting a Gaming License ................................................................................... 32 

Section 17. Limitation ............................................................................................................... 34 

Section 18. Identification Cards ................................................................................................ 34 

Section 19. Gaming Facility ..................................................................................................... 34 

Section 20. Gaming Resource Suppliers ................................................................................... 35 

Section 21. Financial Sources ................................................................................................... 36 

Section 22. Denial, Revocation and Suspension of License ..................................................... 38 

Section 23. Due Process ............................................................................................................ 40 

Section 24. Duration and Renewal............................................................................................ 41 

Section 25. Fees ........................................................................................................................ 41 

ARTICLE XXII: EFFECTIVE DATE OF ORDINANCE ..................................................... 41
February 17, 2022 – Amended 4 

Statement of Source of Authority 

Pursuant to authority contained in the Tribal Constitution and Bylaws (“Tribal 

Constitution”) on April 18, 1998 and the Secretary of the Interior approved said Constitution and 

Bylaws on May 15, 1998; and whereby the Tribal Council enacted the Paskenta Gaming 

Commission Ordinance which took effect on December 11, 2020 between the State of California 

and the Band; and whereby the Tribal Council resolved to authorize the Amended and Restated 

Paskenta Gaming Ordinance; this ordinance is promulgated pursuant to authority contained in 

Resolution of the Tribal Council of the Paskenta Band of Nomlaki Indians No.: TC2022-5, 

dated February 17, 2022. 

Statement of Purpose 

The Paskenta Band of Nomlaki Indians, acting through its Tribal Council, pursuant to the Band's 

inherent authority and Article VI, Section 1(d) of the Band's Constitution, hereby enacts this 

Ordinance in order to set the terms for class II and class III gaming operations on the Paskenta 

Reservation. Unless specifically indicated otherwise, all provisions of this ordinance shall apply 

to class II and class III gaming on the Band’s Indian lands. 

Short Title 

This ordinance may be cited as the "Amended and Restated Paskenta Gaming 

Ordinance." 

ARTICLE I: DEFINITIONS 

Section 1. General 

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

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

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

Section 2. Special Terms 

In this Ordinance: 

BAND: "Band" means the Paskenta Band of Nomlaki Indians. 

BAND MEMBER: "Band member" means any individual who is duly enrolled in the Band in 

accordance with the Band's Constitution ratified on April 18, 1998 and any enrollment ordinance 

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

CLASS II GAMING: “class II gaming” includes: 

1. Bingo or lotto (whether or not electronic, computer or other technologic aids are 

used) when players: 
February 17, 2022 – Amended 5 

a. Play for prizes with cards bearing numbers or other designations; 

b. Cover numbers or designations when objects, similarly numbered or 

designated, are drawn or electronically determined; and 

c. Win the game by being the first person to cover a designated pattern on 

such cards; 

2. Pull-tabs, punch boards, tip jars, instant bingo and other games similar to bingo, if 

played in the same location as bingo or lotto; and 

3. Non-banking card games that: 

a. State law explicitly authorizes, or does not explicitly prohibit, and 

are played legally anywhere in the state; and 

b. Players play in conformity with state laws and regulations concerning 

hours, periods of operation, and limitations on wagers and pot sizes. 

CLASS III GAMING: “class III gaming” means all forms of gaming that are not class I or 

class II gaming, including, but not limited to: 

1. Any house banking game, including but not limited to: 

a. Card games such as baccarat, chemin de fer, blackjack (21), and pai 

gow (if played as house-banking games); and 

b. Casino games such as roulette, craps, and keno; 

2. Any slot machines, as defined in 15 U.S.C. § 1711(a)(1), and electronic or 

electromechanical facsimiles of any game of chance; 

3. Any sports betting and pari-mutuel wagering, including but not limited to, 

wagering on horse racing, dog racing or jai alai; or 

4. Lotteries. 

COMMISSION: "Commission" means the Paskenta Gaming Commission. 

COMMISSIONER: “Commissioner” means a Tribal Gaming Commissioner. 

COMPACT: "Compact" means the Tribal-State Compact between the Band and the State of 

California authorizing class III gaming activities, as required by IGRA, 25 U.S.C. § 

2701(dX1)(C) and amended from time to time. 

EXECUTIVE DIRECTOR: "Executive Director" means the Executive Director of the 

Commission. 
February 17, 2022 – Amended 6 

FACILITY LICENSE: “Facility License” means a separate license issued by the Band to each 

place, facility or location on Indian lands where the Band elects to allow class II or III gaming. 

FINANCIAL SOURCE; “Financial Source” means any person or entity who, directly or 

indirectly, extends financing in connection with the Band’s Gaming Facility or gaming 

operation. 

GAMING ACTIVITY: “Gaming Activity” or “Gaming Activities” means any class I, class II, or 

class III gaming conducted pursuant to the Indian Gaming Regulatory Act, 25 U.S.C. 2701 et seq.

GAMING EMPLOYEE: “Gaming Employee” means any natural person who is an employee of 

the Gaming Operation and (i) conducts, operates, maintains, repairs, accounts for, or assists in 

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

persons who conduct, operate, maintain, repair, account for, assist, or supervise any such 

Gaming Activities, (ii) is in a category under federal or tribal gaming law requiring licensing, or 

(iii) is a person whose employment duties require or authorize access to areas of the Gaming 

Facility in which any activities related to Gaming Activities are conducted but that are not open 

to the public. The definition of Gaming Employee does not include members or employees of 

the Commission. 

GAMING FACILITY: “Gaming Facility” means any building in which Gaming Activities or 

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

operation are maintained (excluding off-site facilities primarily dedicated to storage of those 

records, and financial institutions), and all rooms, buildings, and areas, including parking lots 

and walkways, a principle purpose of which is to serve the activities of the Band’s gaming 

operation, rather than providing that operation with an incidental benefit, provided that nothing 

herein prevents the conduct of class II gaming therein. Nothing herein shall be construed to 

apply in a manner that does not directly relate to the operation of Gaming Activities. For 

purposes of this Ordinance, the term “Gaming Facility” does not include any break room that is 

open to employees of the Band or its enterprises, consultants to the Band or its enterprises, and 

Gaming Employees. 

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

regulations, 25 C.F.R. § 500 et seq. 

INDIAN LANDS: “Indian lands” means: 

1. Land within the limits of an Indian reservation; or 

2. Land over which the Band exercises governmental power and that is either; 

a. Held in trust by the United States for the benefit of the Band or an 

individual; or 

b. Held by the Band or an individual subject to restriction by the United 

States against alienation. 

KEY EMPLOYEE: "Key Employee" means: 
February 17, 2022 – Amended 7 

1. A person who performs one or more of the following functions: bingo caller, 

counting room supervisor, chief of security, custodian of gaming supplies or cash, 

floor manager, pit boss, dealer, croupier, approver of credit, or custodian of 

gambling devices including persons with access to cash and accounting records 

within such devices; 

2 If not otherwise included, any other person whose total cash compensation is in 

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

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

gaming operation; or 

4 Any other person designated by the Band as a Key Employee. 

LICENSEE: “licensee” means a tribally owned class II or class III gaming operation or a 

person licensed by the Commission as a Primary Management Official, Key Employee, 

Gaming Employee, Financial Source, or vendor under the provisions of this ordinance.

NIGC: "NIGC" means the National Indian Gaming Commission established pursuant to 25 

U.S.C. § 2704. 

PRIMARY MANAGEMENT OFFICIAL: "Primary Management Official" means: 

1. The person having management responsibility for a management contract; 

2. Any person who has authority to: hire and fire employees, or to set up working 

policy for the gaming operation; or 

3. The chief financial officer or other person who has financial management 

responsibility. 

STATE GAMING AGENCY: "State Gaming Agency" means the entity defined in Subsection 

2.18 of the Compact. 

TRIBAL COUNCIL: "Tribal Council" means the five-member governing body of the Band, 

existing and functioning pursuant to the Band's Constitution ratified on April 18, 1998. 

2020 COMPACT: “2020 Compact” means the Tribal-State Compact between the State of 

California and the Paskenta Band of Nomlaki Indians of California, dated August 3, 2020. 

ARTICLE II: GAMING AUTHORIZED 

Class II and class III gaming are hereby authorized to be conducted on the Band’s Indian lands, 

if such gaming is conducted in accordance with this ordinance, the IGRA, the NIGC’s 

regulations, and any other applicable laws and regulations. 
February 17, 2022 – Amended 8 

ARTICLE III: OWNERSHIP OF GAMING 

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

gaming operation authorized by this Ordinance. 

ARTICLE IV: USE OF GAMING REVENUES 

Section 1. Use of Net Revenues 

Net revenues from class II and class III gaming shall be used only for the following purposes: 

A. to fund tribal government operations and programs; 

B. to provide for the general welfare of the Band and its members; 

C. to promote tribal economic development; 

D. to donate to charitable organizations; 

E. to help fund operations of local government agencies; and 

F. to make contributions, as required by the Compact, to any revenue-sharing funds 

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

Section 2. Per Capita Payments 

A. Net revenues from any class II and/or class III gaming activities conducted or 

licensed by the Band may be used to make per capita payments to Tribal 

members if: 

1. The Band has prepared a plan to allocate revenues to one or more of the uses 

authorized by section VI.1 of this ordinance; 

2. The plan is approved by the Secretary of the Interior as adequate, 

particularly with respect to the uses described in Article V.1 of this 

ordinance; 

3. The interests of minors and other legally incompetent persons who are entitled 

to receive any of the per capita payments are protected and preserved, and the 

per capita payments are disbursed to the parents or legal guardian of such 

minors or legal incompetents in such amounts as may be necessary for the 

health, education, or welfare of the minor or other legally incompetent person; 

and 
February 17, 2022 – Amended 9 

4. The per capita payments are subject to Federal taxation and the Band 

notifies its members of such tax liability when payments are made. 

ARTICLE V: GAMING COMMISSION 

Section 1. Commission Established

A. The Band hereby establishes a Tribal Gaming Commission (“Commission”) to regulate 

the Band’s gaming operations. The Commission shall consist of up to five (5) 

Commissioners appointed by majority vote of the Tribal Council, including not less 

than three (3) Band Members, and up to two (2) non-Band members. 

B. The Commission will conduct oversight to ensure compliance with Tribal, Federal and, 

if applicable, State laws and regulations. It will serve as the licensing authority for 

individuals employed in the gaming operation and will administer background 

investigations as part of the licensing process. The Commission will also have a role in 

monitoring compliance with the gaming operation’s internal controls and in tracking 

gaming revenues. In order to carry out its regulatory duties, the Commission shall have 

unrestricted access to all areas of the gaming operation and to all of its records. The 

Commission shall have authority to take enforcement actions, including suspension or 

revocation of an individual gaming license, when appropriate. 

C. Commissioners shall serve for a term of three (3) years, with no limitation as to the 

number of terms served, except that the appointment of the Commissioners must 

maintain staggered terms. 

Section 2. Commissioners 

A. The following persons are not eligible to serve as Commissioners: Tribal Council 

members, while serving as such; current employees of the gaming operation; gaming 

contractors (including any principal of a management, or other contracting company); 

persons sharing a residence with, any of the above; and persons ineligible to be Key 

Employees or Primary Management Officials. Non-tribal members previously convicted 

of any felony or misdemeanor offense of embezzlement, theft or any other moneyrelated or honesty-related misdemeanor offense, such as fraud, cannot serve as 

Commissioner. Tribal members previously convicted of any felony or misdemeanor 

offense of embezzlement, theft or any other offense related to money or honesty, such as 

fraud, will only be allowed to serve as a Commissioner if the Tribal Council specifically 

finds that a significant amount of time has passed and the person is now of trustworthy 

character. 

B. The Band shall, in accordance with Tribal law, require a criminal history check with 

appropriate law enforcement agencies for each Commissioner, Executive Director, and 

applicant for employment with the Commission. For such individuals, the Band shall 

review the candidate’s criminal history check results and shall ensure that he or she 

satisfies the eligibility requirements of this ordinance and the Compact. 
February 17, 2022 – Amended 10 

C. The Band recognizes the importance of an independent Tribal Gaming Commission in 

maintaining a well-regulated gaming operation. To avoid potential conflicts of interest 

between the operation and regulation of the gaming facility, the Band requires that, at a 

minimum: 

1. No member of the Tribal Council may serve on the Tribal Gaming 

Commission; 

2. No member living with, any Tribal Council member may serve on the Tribal 

Gaming Commission; 

3. Members of the Commission are prohibited from gambling in the facility; 

4. Commissioners are prohibited from accepting complimentary items from the 

gaming operation, excepting food and beverages which are generally made 

available to others or at special events held by the Band; and 

5. Commissioners may only be removed from office by the Tribal Council, prior 

to the expiration of their respective terms, for neglect of duty, misconduct, 

malfeasance or other acts that would render a Commissioner unqualified for the 

position. 

D. Qualifications for Commissioner. 

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

of age, and must be a U.S. citizen. 

2. No member of the Tribal Council and no employee of any gaming operation may 

serve concurrently as a Commissioner. 

3. No more than one member of the same immediate family may serve on the 

Commission at the same time. 

4. Any person who has been convicted, 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 a Commissioner. 

5. A Commissioner must pass a background check pursuant to the Ordinance before 

they can access non-public areas and confidential information related to the 

Band’s gaming operations. 

6. A person who is not a member of the Band that is seeking to become a 

Commissioner must have experience in one or more of the following fields: 

accounting, law, gaming management, gaming regulation or in general regulatory 

oversight. 
February 17, 2022 – Amended 11 

7. The Tribal Council may waive the eligibility requirements of this section in its 

sole discretion. 

8. Any person seeking to become a Commissioner must provide the Tribal 

Council with a notice of intent to be a Commissioner and a resume. 

E. Commissioners shall serve until the appointment of their successors, or until 

resignation, termination for cause, disqualification or death. 

1. Any Commissioner may resign from office at any time. Resignations shall be 

made in writing delivered to the Tribal Council. 

2. Termination for cause shall be ordered by majority vote of the Tribal Council.

F. If any vacancy is created on the Commission by virtue of resignation, death or removal 

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

the current term. The appointment shall be made pursuant to Tribal law regarding 

appointments to advisory committees.

G. Commission Officers. 

1. At all times, the Commission shall maintain from among its members a Chair, 

Vice-Chair, and Secretary/Treasurer. Officers shall serve for one (1) year. No 

officer shall serve in more than one office simultaneously. 

2. The duties and powers of the officers of the Commissions are those specified in 

this Ordinance and established by regulation of the Commission, and shall include 

any additional duties and powers as may be set by resolution of the Commission, 

provided that such duties and powers may not exceed powers granted to the 

Commission by this Ordinance. 

H. Commissioners shall be paid a stipend at a rate to be established by the Commission's 

annual budget, which must be approved by the Tribal Council in accordance with Article 

VIII of this Ordinance. Commissioners shall be reimbursed for necessary out-of-pocket 

expenses incurred in carrying out the duties and responsibilities of their position. 

Receipts or appropriate documentation shall be submitted for all expenses to be 

reimbursed. In no event shall compensation be based on a percentage of net profits from 

the Band's gaming operations. 

Section 3. Commission Powers 

A. The Commission shall exercise its regulatory powers in accordance with the IGRA and 

NIGC Regulations, the Tribal-State compact and the Band's own gaming laws and 

regulations. Without limiting the generality of the foregoing, the Commission is 

authorized to: 
February 17, 2022 – Amended 12 

1. Conduct background investigations of all prospective Tier 1 Employees and Tier 

2 Employees; 

2. Review and approve all investigative work conducted in connection with the 

background investigations of Primary Management Officials and Key Employees; 

3. Create and maintain investigative reports based on the background investigations of 

Primary Management Officials and Key Employees; 

4. Act as the Band’s law enforcement agency to obtain and process fingerprints and 

conduct a criminal history check that shall include a check of criminal history 

records information maintained by the Federal Bureau of Investigation; 

5. Make licensing eligibility determinations, which shall be signed by the Chair of 

the Commission or their designee; 

6. Submit a notice of results to the NIGC of the background investigations done for 

each Primary Management Official and Key Employee applicant; 

7. Issue, suspend, revoke, condition, and renew licenses for all Gaming Employees 

upon completion of background investigations and review of licensure eligibility; 

8. Maintain records on licensees and on persons denied licenses, as well as persons 

otherwise prohibited from engaging in gaming activities within the Band's 

jurisdiction, provided that applications and background investigation reports shall 

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

9. Establish standards for licensing Tribal gaming facilities; 

10. Issue facility licenses to each place, facility or location on the Paskenta 

Reservation where the Band authorizes gaming; 

11. Inspect, examine and monitor all of the Band’s gaming activities, and have 

immediate access to review, inspect, examine, photocopy and audit all records of 

the gaming facilities and operations; 

12. Consult with the Tribal Council to oversee and uphold public health and safety 

standards adopted by Tribal Council; 

13. Collaborate with Tribal Council to obtain annual independent outside audits and 

submit these audits under the Tribal Council direction to the NIGC; 

14. Ensure that net revenues from any Gaming Activities are used in compliance with 

IGRA and Tribal law, including the Band’s revenue allocation plan; 

15. Promulgate tribal gaming regulations for approval by the Tribal Council, 

including but not limited to regulations dealing with; 
February 17, 2022 – Amended 13 

a. criteria and procedures for licensing: 

i. all Gaming Employees of the gaming operation; 

ii. each place, facility or location on the Paskenta 

Reservation where the Band authorizes gaming, 

including individually owned gaming; 

iii. persons and entities who do business with the gaming 

operation; including manufacturers and suppliers of 

machines, equipment and supplies; 

b. protections against conflicts of interest and improper conduct among 

Commissioners, Commission staff, and the Executive Director; 

c. the levying of fees and/or taxes associated with gaming license 

applications; 

d. exempting vendors from the licensing and/or background investigation 

requirements if they have received a license from a recognized 

regulatory authority; 

e. the appointment of officers to the Commission; 

f. applicable internal control standards; and 

g. the levying of fines and/or the suspension or revocation of gaming 

licenses for violations of this ordinance or any Tribal, federal or 

applicable state gaming regulations. 

16. Hold hearings on patron complaints and disputes, in accordance with procedures 

established in this ordinance and the gaming regulations; 

17. Perform audits of gaming operations and all gaming related contracts that result in 

the annual purchase of supplies or services with a value of twenty-five thousand 

dollars ($25,000) or more, except for contracts for legal or accounting services in 

order to ensure compliance with applicable regulations and the Gaming 

Ordinance, except that the Tribal Council must approve all independent auditors 

prior to their engagement by the Commission; 

18. Monitor gaming activities and ensure compliance with the IGRA, its regulations, 

the Tribal-State Compact and the Band's laws and regulations; 

19. Serve as a primary point of communication between the Band and outside 

regulatory and law enforcement agencies on matters related to the day-to-day 

regulation of gaming, except that the Band’s Chairperson or the Chairperson’s 

designee must be the Band’s agent for purposes of service of process and any 

official determination, order, or notice of violation; 
February 17, 2022 – Amended 14 

20. Provide independent information to the Band on the status of the Band's gaming 

operations; 

21. Comply with any and all reporting requirements under IGRA, the NIGC’s 

regulations, the Compact, and any other applicable law; 

22. Retain a paid staff, including an Executive Director and other consultants in 

accordance with any personnel ordinance, policies or procedures adopted by the 

Band, to be paid out of the Commission's annual budget; 

23. Promulgate such regulations and guidelines as deemed appropriate to implement 

the provisions of this ordinance, so long as they are in furtherance of, and not in 

conflict with, any provisions of this ordinance; 

24. Establish lists of persons who have voluntarily agreed to be excluded from the 

Tribal gaming facilities, and who are not allowed to game in the Band’s gaming 

facilities in order to maintain the integrity of the gaming operation; 

25. Provide referrals and information to the appropriate law enforcement officials 

when such information indicates a violation of Tribal, Federal or State statutes, 

ordinances, regulations, codes or resolutions; and 

26. Delegate the above-mentioned powers to the Executive Director, provided that a 

delegation is not disapproved by the Tribal Council pursuant to Article VII, 

Section 4 of this Ordinance. 

Section 4. Executive Director 

A. The Executive Director shall be responsible for the day-to-day management of the affairs 

of the Commission as well as overseeing the establishment and operation of all gaming 

activities for compliance with all applicable Federal, State and Band gaming laws and 

regulations. In addition, the Executive Director shall perform such duties as may be 

delegated by resolution of the Commission from time to time, except that the Tribal 

Council must, by official action, give its advance consent to a delegation of duties to the 

Executive Director. 

1. The Executive Director shall be hired by the Commission on an at-will basis and 

shall report directly to the Commission, unless directed otherwise by the Tribal 

Council. The Executive Director may be terminated for cause by majority vote of 

the Commission or the Tribal Council. Under no circumstances may the 

Executive Director also serve as a Commissioner. 

2. The Executive Director shall be compensated at a level determined by the Tribal 

Council. In order to ensure the Commission is not improperly influenced, the 

Executive Director’s compensation shall not be based on a percentage of gaming 

revenue. 
February 17, 2022 – Amended 15 

Section 5. Budget 

At least ninety (90) days prior to the end of each fiscal year, the Commission shall prepare a 

budget for the next year's operation and shall submit the budget to the Tribal Council. In 

preparing the annual budget, all actual and anticipated surplus funds of the Commission shall be 

taken into account. The Tribal Council shall adopt, amend or replace the annual budget based 

thereon, and shall authorize the transfer of funds to the Commission of as needed for 

Commission operation and program purposes. Expenditures by the Commission shall be in 

accordance with the approved annual budget, except that the Commission may deviate from the 

terms of the adopted budget by a margin of not more than ten percent (10%) during the budget 

year without further approval of the Tribal Council. 

Section 6. Notice 

Before adopting, amending and repealing regulations, the Commission shall give no less than 

thirty (30) day notice of any such proposed action to the Tribal Council, the gaming operation(s) 

and all other persons whom the Commission has reason to believe have a legitimate interest in 

the proposed action. The notice shall invite comments and describe the general nature of the 

proposed action and the manner in which comments on the proposed action shall be received by 

the Commission. 

Section 7. Confidentiality 

The Commission shall ensure that all records and information obtained as a result of an 

employee background investigation, including but not limited to, the identity of each person 

interviewed in the course of an investigation, shall remain confidential and shall not be 

disclosed to any persons who are not directly involved in the licensing and employment 

processes. Information obtained during the course of an employee background investigation 

shall be disclosed to members of management, human resource personnel and/or others 

employed by the Tribal gaming operation on a need-to-know basis, for actions taken in their 

official capacities. The confidentiality requirements of this paragraph, do not apply to requests 

for such records or information from any Tribal, Federal or State law enforcement or regulatory 

agency, or for the use of such records or information by the Commission and staff in the 

performance of their official duties. 

Section 8. Conduct of Commission Meetings 

A. A majority of the Commission shall constitute a quorum. The concurrence of a majority 

of the Commissioners shall be required for any final determination by the Commission. 

The Commission may act in its official capacity, even if there are vacancies on the 

Commission. 

B. The Commission shall keep a written record of all its meetings. Commission meeting 

minutes must include attendance and be made available to the Tribal Council. 
February 17, 2022 – Amended 16 

C. The Commission shall hold no less than one meeting in each thirty-day period. Special 

meetings of the Commission may be called at the request of the Executive Director or 

by any Commissioner. 

ARTICLE VI: AUDIT 

Section l. Annual Audit 

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

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

conducted by an independent certified public accountant, in accordance with generally accepted 

auditing and accounting standards. The annual audit shall be made available for review, upon 

request, to the Tribal Council. Copies of the annual audit of each licensed gaming operation, and 

each audit for supplies, services or concessions of each gaming operation, shall be furnished to 

the NIGC within 120 days after the end of each fiscal year of the gaming operation. 

Section 2. Gaming Contracts 

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

value of twenty-five thousand dollars ($25,000.00) or more annually, except contracts for 

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

audit that is described in Section 1 of this Article. 

ARTICLE VII: FACILITY LICENSES 

A. The Commission shall issue a gaming facility license to each place, facility or location on 

Indian lands where class II and/or class III gaming is conducted under this ordinance.

B. The Commission shall identify the environmental, health and public safety standards 

with which the place, facility or location must comply, and specify the form, conditions 

and content of a facility license application. The application shall include a legal 

description of the lands upon which the facility is located, and a certification that the 

site constitutes “Indian lands,” as defined in IGRA, the NIGC’s regulations, the NIGC 

Office of General Counsel and DOI Solicitor Offices’ Indian lands legal opinions, 

judicial decisions and any other applicable law. 

C. The Commission shall only issue a facility license if the application includes the 

required information and documentation, and sufficiently satisfies any additional 

conditions deemed necessary by the Band. 

D. The Commission shall submit to the NIGC Chair a notice that issuance of a facility 

license is under consideration by the Commission. This notice must be submitted at least 

120 days before the opening of any new place, facility or location on Indian lands where 

class II and/or class III gaming will occur.

E. The Commission shall submit a copy of each newly issued or renewed facility license to 

the NIGC Chair within 30 days of issuance, along with any other required 

documentation.
February 17, 2022 – Amended 17 

F. The Band shall notify the NIGC Chair within 30 days if a facility license is 

terminated or expires, or if a gaming place, facility, or location closes or 

reopens. 

ARTICLE VIII: PROTECTION OF THE ENVIRONMENT 

Section 1. Environment, Public Health and Safety 

Each gaming facility shall be constructed, maintained and operated in a manner that adequately 

protects the environment and the health and safety of the public. The Tribal Council shall adopt 

standards for protecting the environment and the public health and safety that are consistent with 

its obligations under the Compact. 

ARTICLE IX: SPECIFIC AGE REQUIREMENTS FOR CLASS II AND CLASS III 

GAMING 

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

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

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

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

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

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

ARTICLE X: FIREARMS CONTROL 

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

operated under this Ordinance, 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. 

ARTICLE XI: LICENSES 

Section 1. License Requirements 

The following persons and entities must be licensed by the Commission: 

A. All Tier 1 Employees and Tier 2 Employees, including Key Employees and Primary 

Management Officials, employed at any class II or class III gaming enterprise operated 

under this Ordinance; 

B. Gaming resource suppliers required to be licensed under the Compact; 

C. Persons extending financing, directly or indirectly, to the Band's gaming facility or 

gaming operations; and 
February 17, 2022 – Amended 18 

D. Each place, facility, or location where class II or class III gaming is conducted under this 

Ordinance. 

Section 2. Employee License Tiers 

The Commission or its agents shall recognize and license the following tiers of employees, as 

applicable: 

A. Tier 1 Employee: a Tier 1 Employee License is required for all Gaming Employees, 

including Primary Management Officials and Key Employees, who: 

1. operate, maintain, repair, or assist in any class III gaming activity, or who are in 

any way responsible for supervising such gaming activities or persons who 

conduct, operate, account for, or supervise any such gaming activity; 

2. are in a category under federal or tribal gaming law requiring licensing, or 

3. are an employee of the Commission with access to confidential information. 

B. Tier 2 Employee: a Tier 2 Employee License is required for all Gaming Employees not 

required to obtain a Tier 1 Employee License, including all persons whose employment 

duties require or authorize access to areas of the Gaming Facility that are not open to the 

public. Examples of employees that would qualify for a Tier 2 Employee License include 

but are not limited to security, food, beverage, and kitchen staff that work within a 

Gaming Facility, as well as other persons whose employment duties require or authorize 

access to areas of a Gaming Facility in which any activities related to Gaming Activities 

are conducted but that are not open to the public. 

Tier 3 Employee: the Commission shall not license this category of employees, which 

includes any person employed by a tribally-owned enterprise that does not otherwise 

qualify as a Gaming Employee and any employee of a tribally-owned enterprise that does 

not require or authorize access to non-public areas of a Gaming Facility as part of that 

employee’s job duties. Tier 3 Employees will be subject to criminal background checks 

in accordance with Tribal law. 

Section 3. Background Investigations 

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

sufficient to make a determination under Section 5 of this Article. 

B. The Commission is responsible for conducting the background investigations of Primary 

Management Officials and Key Employees. The background investigation shall include a 

check of criminal history records information maintained by the Federal Bureau of 

Investigations. 

C. The Commission and its agents are authorized to receive state summary criminal history 

information, as defined in Subsection 11105(a) of the California penal Code, or a copy 

thereof, maintained under a person's name by the California Department of Justice and 

shall not knowingly furnish such records or information to a person who is not authorized 
February 17, 2022 – Amended 19 

to receive the record or information. In conducting a background investigation, the 

Commission or its agent shall keep confidential the identity of each person interviewed in 

the course of the investigation. 

D. When a Primary Management Official or Key Employee is employed by the Band, a 

complete application file, containing all of the information required for a license 

application, shall be maintained. 

Section 4. Eligibility Determination 

A. Before a Tier 1 Employee License is issued, an authorized Tribal official shall make a 

finding concerning the eligibility of that person for receiving a gaming license by 

reviewing the applicant’s prior activities, criminal record, if any, and reputation, habits 

and associations. 

B. If the authorized Tribal official, in applying the standards adopted in this ordinance, 

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

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

practices, methods and/or activities in the conduct of gaming, he or she shall not license 

that person in a Key Employee or Primary Management Official position. 

C. Copies of the eligibility determination shall be included with the notice of results that 

must be submitted to the NIGC before the licensing of a Primary Management Official or 

Key Employee. 

Section 5. Periodic Review 

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

(2) years after issuance. 

Section 6. Reporting 

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

applications, background investigation reports and related information to the NIGC and the State 

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

issue, suspend, or revoke licenses. 

Section 7. Records Retention 

A. The Tribal Gaming Commission shall retain, for no less than three years from the date a 

Primary Management Official or Key Employee is terminated from employment with the 

Band, the following documentation: 

1. Application for licensing; 

2. Investigative Reports; and 
February 17, 2022 – Amended 20 

3. Eligibility Determinations. 

Section 8. Additional Requirements 

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

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

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

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

Compact. 

ARTICLE XII: MINIMUM CONTROL STANDARDS 

Section 1. Applicable Standards 

The Commission shall formally adopt and make applicable to the Band’s gaming operation 

internal control standards that: 

A. Provide a level of control that equals or exceeds those set forth in 25 CFR Part 

542 and 25 CFR Part 547, as published or as revised by mutual agreement 

between the NIGC and the Band; and 

B. Contain standards for currency transaction reporting that that equals or exceeds 

those contained in with 31 CFR Part 103; and 

C. Establish internal control standards for class II and class III games that are not 

addressed in the MICS, if any. 

Section 2. Annual CPA Testing of Compliance 

In order to verify that the gaming operation is in compliance with the internal control standards 

adopted pursuant to section 1 of this article, an independent certified public accountant (“CPA”) 

shall be engaged annually to perform “Agreed-Upon Procedures”. 

Section 3. Compliance 

The Commission shall monitor and enforce compliance with the internal control standards 

adopted pursuant to section 1 of this article. In addition, the Commission shall, for purposes of 

enforcing compliance with the internal control standards, have authority to: 

A. Monitor all class II and class III gaming on a continuing basis; 

B. Inspect and examine all premises on which class II or class III gaming is conducted; 

and 
February 17, 2022 – Amended 21 

C. Demand access to and inspect, examine, photocopy, and audit all papers, books, and 

records respecting gross revenues of all class II and class III gaming or any other 

matters necessary to ensure and enforce compliance with the MICS. 

Section 4. Enforcement 

Any failure to adopt internal control standards pursuant to section1, to perform Agreed-Upon 

Procedures pursuant to section 2, to prevent or obstruct the exercise of any of the Commission’s 

authority under section 3 or to comply with the internal control standards once adopted is a 

violation of this Ordinance. The Commission shall have the authority to remedy violations of this 

article. 

ARTICLE XIII: RESOLUTION OF PATRON GAMING DISPUTES 

The Commission shall promulgate regulations governing the resolution of patron gaming 

disputes over the play or operation of any game, including refusal to pay to any patron any 

alleged winnings from any Gaming activities. Such regulations must meet the minimum 

standards set forth in the Compact, if any. 

ARTICLE XIV: SERVICE OF PROCESS 

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

determination, order, or notice of violation. 

ARTICLE XV: COMPLIANCE WITH FEDERAL LAW 

The Band shall comply with all applicable federal laws, including the Bank Secrecy Act, 31 

U.S.C. § 5311 et seq. 

ARTICLE XVI: REPEAL 

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

hereby repealed. 

ARTICLE XVII: SEVERABILITY 

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

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

shall continue in full force and effect. 

ARTICLE XVIII: AMENDMENT OF ORDINANCE 

This Ordinance may be amended or repealed by unanimous vote of the Tribal Council. 
February 17, 2022 – Amended 22 

ARTICLE XIX: MISCELLANEOUS 

Section 1. Amendments. 

This ordinance may be amended by a majority vote of the Tribal Council at a duly scheduled 

meeting with a quorum present, consistent with the Tribal Constitution. 

Section 2. Savings Clause. 

If any provision of this ordinance is found to be contrary to any tribal or federal law by a court of 

competent jurisdiction, only that provision shall be stricken and all other provisions of this 

ordinance shall remain in effect. 

ARTICLE XX: LICENSING AND BACKGROUP INVESTIGATION PROCEDURES 

Section 1. Purpose 

This Licensing and Background Investigation Regulation (“Regulation”) describes the 

procedures to be followed by the Paskenta Gaming Commission (the "Commission") when 

conducting background investigations and issuing licenses in connection with any class II or 

class III gaming facilities operated on the Paskenta Reservation pursuant to the Band's Gaming 

Ordinance. 

Section 2. Incorporation by Reference 

This Regulation supplements the provisions of the Band's Gaming Ordinance, the Indian Gaming 

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

and the gaming compact between the Band and the State of California (the "Compact"), which 

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

the provisions of the Gaming Ordinance, IGRA or the Compact, the provisions of the Gaming 

Ordinance or the Compact prevail to the extent of the conflict or inconsistency. Unless specified 

otherwise, terms used herein shall have the same meaning as in the Gaming Ordinance or the 

Compact. 

Section 3. Scope 

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

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

investigation of those persons listed in subparagraphs A — C below: 

A. All Gaming Employees, including Key Employees and Primary Management 

Officials, employed at any class II or class III gaming enterprise operated under 

this Ordinance; 

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

Compact; 
February 17, 2022 – Amended 23 

C. Persons extending financing, directly or indirectly, to the Band's gaming facility 

or gaming operations; and 

D. Each place, facility, or location where class II or class III gaming is conducted 

under this Ordinance. 

Section 4. Scope of Investigations 

For all persons seeking a Tier 1 Employee License or a Tier 2 Employee License, the 

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

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

standard set forth in Section IX of this Regulation. The information submitted by an applicant for 

a Tier 1 or Tier 2 Employee License may be verified by written or oral communication. The 

disposition of all potential problem areas noted and disqualifying information obtained shall be 

documented by the Commission. 

A. For all persons seeking a Tier 1 Employee License, the minimum procedures for 

conducting background investigations on applicants for licenses are as follows: 

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

Bureau of Investigations and the California Department of Justice; 

2. Based on the results of the criminal history records check, as well as information 

acquired from an applicant’s self-reporting or from any other source, obtain 

information from the appropriate court regarding any past felony and/or 

misdemeanor convictions or ongoing prosecutions within the past 10 years; 

3. Civil history check; 

4. Financial and credit check; 

5. Reference check; 

6. Previous business and employment check; 

7. Relative check; 

8. Business and personal associates check; 

9. Fingerprint check; 

10. Educational verification; 

11. Inquire into any previous or existing business relationships with the gaming 

industry, including with any tribes with gaming operations, by contacting the 

entities or tribes; 
February 17, 2022 – Amended 24 

12. Verify the applicant’s history and current status with any licensing agency by 

contacting the agency; and 

13. Take other appropriate steps to verify the accuracy of the information, focusing 

on any problem areas noted. 

B. For all persons seeking a Tier 2 Employee License, the minimum procedures for 

conducting background investigations are as follows: 

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

Bureau of Investigations and the California Department of Justice; 

2. Reference check; 

3. Employment check; and 

4. Fingerprint check. 

C. When a Primary Management Official or Key Employee is employed by the Band, a 

complete application file, containing all of the information listed in Section XII, shall 

be maintained. 

D. The Commission, and its investigators, shall keep confidential the identity of each 

person interviewed in the course of conducting a background investigation. 
February 17, 2022 – Amended 25 

Section 5. Cooperation 

The Commission shall cooperate with the State Gaming Agency in sharing as much background 

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

minimize investigative costs. 

Section 6. Fingerprinting 

The Commission shall be deemed to be the Band's law enforcement agency for the purpose of 

taking fingerprints and conducting criminal history checks under this Regulation. The 

Commission may elect to process fingerprint cards directly on behalf of the Band or to process 

fingerprint cards through the State Gaming Agency or the NIGC 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. 

Section 7. Confidentiality 

The identity of third parties interview during the course of background investigations shall be 

kept confidential. 

Section 8. Eligibility Determinations 

The Commission shall review an applicant's prior activities, criminal record, if any, and 

reputation habits and associations to make a finding concerning an applicant's eligibility for a 

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

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

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

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

practices and methods and activities in the conduct of gaining or the carrying on of business and 

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

from criminal and dishonest elements and would be conducted honestly. The Commission may, 

after consultation between the Executive Director and Commissioners, license a person 

previously convicted of a crime if the Commission determines that the individual’s past criminal 

conduct does not violate the standards of character set forth in the preceding sentence. 

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

into consideration any of the following circumstances: 

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

information or omitted relevant information on the application, or otherwise 

misrepresented or failed to disclose a material fact to the Commission; 

B. If 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; 
February 17, 2022 – Amended 26 

C. If association with or employment of this applicant mates or enhances the dangers 

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

gaming or the carrying on of the business and financial arrangements incidental 

thereto; 

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

requirements, conditions, limitations, or duties imposed by any provision of the 

Compact or Gaming Ordinance, or possessed knowledge that such violation has 

occurred upon any premises occupied or operated by any such person or over 

which he or she has/had substantial control; 

E. If the applicant knowingly caused, aided, abetted, or conspired with another to 

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

the Compact or the Gaming Ordinance; 

F. If the applicant has ever obtained a license by fraud, misrepresentation, 

concealment, or through inadvertence or mistake; 

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

plead guilty to forgery, larceny, extortion, conspiracy to defraud, willful failure to 

make required payment or reports to any Tribal, State, or U.S. Government 

agency at any level, or filed false reports therewith, or of any similar offense(s), 

or of bribing or otherwise unlawfully influencing a public official or employee of 

a Tribe, a State, or the U.S. Government, or of any felony or misdemeanor 

involving any gaming activity physical harm to individuals or moral turpitude; 

H. If the applicant is subject to current prosecution or pending charges, or a 

conviction under appeal for any of the offenses listed above. Upon request of the 

applicant, the Commission may defer decision on the application pending the 

results of such prosecution or appeal; 

I. If the applicant has demonstrated a willful disregard for compliance with a 

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

issued by any State, Tribe or foreign gaming regulatory agency suspended, 

revoked or denied; or 

J. If the applicant has failed to provide any information requested by the 

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

Section 9. 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: 
February 17, 2022 – Amended 27 

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.SC. § 

2701 et seq. The purpose of the requested information is to determine the 

eligibility of individuals to be granted a gaming license. The information will be 

used by the Paskenta Gaming Commission, the State Gaming Agency, and the 

National Indian Gaming Commission members and staff who have need for the 

information in the performance of their official duties. The information may be 

disclosed by the Band or the National Indian Gaming Commission to appropriate 

Federal, Tribal, State, local, or foreign law enforcement and regulatory agencies 

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

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

National Indian Gaming Commission in connection with the issuance, denial, or 

revocation of a gaming license, or investigations of activities while associated 

with a tribe or a gaming operation. Failure to consent to the disclosures indicated 

in this notice will result in a tribe being unable to hire you for a Primary 

Management Official or Key Employee position.. 

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

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

statements; or 

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

described in that notice. 

Section 10. Notice Regarding False Statements 

A. The following additional notice shall be placed on the application form for a 

Key Employee or a Primary Management Official before it is filled out by an 

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

denial or revocation of a license. Also, you may be punished by fine or 

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

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

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

statements; or 

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

Section 11. Required Information – General 

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

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

date, place of birth, citizenship, gender, all languages (spoken or written); 
February 17, 2022 – Amended 28 

B. Currently and for the previous five (5) years: business and employment positions 

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

and driver’s license numbers; 

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

including one (1) personal reference who was acquainted with the applicant 

during each period of residence listed under this Section; 

D. Current business and residence telephone numbers, and all cell phone numbers; 

E. A description of any existing and previous business relationships with Indian 

tribes, including ownership interests in those businesses; 

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

industry generally, including ownership interests in those business; 

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

person has filed an application for a license or permit related to gaming, whether 

or not such license or permit was granted; 

H. For each felony for which there is an ongoing prosecution or a conviction, the 

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

any, 

I. For each misdemeanor conviction or ongoing misdemeanor prosecution 

(excluding minor traffic violations), within ten (10) years of the date of the 

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

disposition; 

J. For each criminal charge (excluding minor traffic charges), whether or not there is 

a conviction, if such criminal charge is within ten (10) years of the date of 

application and is not otherwise listed pursuant to paragraph (h) or (i) of this 

Section, the criminal charge, the name and address of the court involved and the 

date of disposition; 

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

person has filed an application for any occupational license or permit, whether or 

not such license or permit was granted; 

L. A current photograph; 

M. Any other information the Commission deems relevant; and 

N. Fingerprints consistent with procedures adopted by the Commission in 

accordance with NIGC regulations. 
February 17, 2022 – Amended 29 

Section 12. Required Information – Business Entities 

In order to be a licensed Gaming Resource Supplier, the business must complete a vendor 

application and submit to background checks of itself and its principals. Principals of a 

business include those officers, directors, managers, owners, partners, and noninstitutional stockholders that either own 10% or more of the business’ stock or are the 

10 largest stockholders, as well as the on-site supervisors or managers designated in an 

agreement with the Tribe, if applicable. 

The Commission shall request the following information from an applicant that is a business 

entity seeking to be licensed as a Gaming Resource Supplier: 

A. Name of business, business address, business telephone number(s), federal tax 

identification number (or social security number, if a sole proprietorship), main 

office address (if different from business address),any other names used by the 

applicant in business, and type of service(s) applicant will provide; 

B. Whether the applicant is a partnership, corporation, limited liability company, sole 

proprietorship or other entity; 

C. If the applicant is a corporation, the state of incorporation and the qualification to 

do business in the State of California, if the gaming operation is in a different state 

then the state of incorporation. 

D. Trade name, other names ever used and names of any wholly owned subsidiaries 

or other businesses owned by the vendor or its principals; 

E. General description of the business and its activities; 

F. Whether the applicant will be investing in, or loaning money to, the gaming 

operation, and if so, how much; 

G. A description of any existing and previous business relationships with the gaming 

industry generally, including ownership interests in those businesses; 

H. A list of Indian tribes with which the vendor has an existing or previous business 

relationship, including ownership, financial or management interests in any nongaming activity; 

I. Names, addresses and telephone numbers of three (3) business references with 

whom the company has regularly done business for the last five (5) years; 

J. The name and address of any licensing or regulatory agency with which the 

business has filed an application for a license or permit related to gaming, whether 

or not such license or permit was granted; 

K. If the business has ever had a license revoked for any reason, the circumstances 

involved; 
February 17, 2022 – Amended 30 

L. A list of lawsuits to which the business has been a defendant, including the name 

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

M. A list of the business’ funding sources and any liabilities of $50,000 or more; 

N. A list of the principals of the business, their social security numbers, addresses, 

telephone numbers, titles and percentage of ownership in the company; and 

O. Any further information the Band deems relevant. 

Section 13. Investigative Reports 

A. The Band shall create and maintain an investigative report for each background 

investigation of a Primary Management Official or Key Employee. 

B. Investigative reports shall include all of the following information: 

1. Steps taken in conducting the investigation; 

2. Results obtained; 

3. Conclusions reached; and 

4. The basis for those conclusions. 

Section 14. Report to the NIGC 

Before issuing a license to a Primary Management Official or Key Employee, the Tribal Gaming 

Commission shall prepare a notice of results of the applicant’s background investigation to 

submit to the NIGC. 

A. The notice of results must be submitted to the NIGC no later than 60 days after 

the applicant begins working for the Band. 

B. The notice of results shall include the following information: 

1. The applicant’s name, date of birth and social security number; 

2. The date on which the applicant began, or will begin, working as a Primary 

Management Official or Key Employee; 

3. A summary of the information presented in the investigative 

report, including: 

a. licenses that have previously been denied; 

b. gaming licenses that have been revoked, even if subsequently 

reinstated; 
February 17, 2022 – Amended 31 

c. every known criminal charge brought against the applicant within 

the last10 years of the date of the application; and 

d. every felony offense of which the applicant has been convicted or 

any ongoing prosecution; and 

4. A copy of the eligibility determination made in accordance with the 

Ordinance. 

C. With respect to Key Employees and Primary Management Officials, if a license is 

not issued to an applicant, the Commission 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 Systems. 

D. With respect of Key Employees and Primary Management Officials, the 

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

background investigations for inspection by the Chairman of the NIGC or his or 

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

employment. 

Section 15. Reporting to State Gaming Agency 

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

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

Commission shall require the applicant to also file an application with the State 

Gaming Agency, prior to issuance of a license, for a determination of suitability 

for licensure under the California Gambling Control Act. 

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

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

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

of the following: 

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

the Commission from the applicant; 

2. An original set of fingerprint cards; 

3. A current photograph; and 

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 Commission. 

C. Upon receiving notice of the State Gaming Agency's denial of an application for a 

determination of suitability, the Commission shall promptly notify the Tribal 

Council and, if the Commission objects to the denial, request an opportunity for 

the Band to be heard and diligently exercise its right to a hearing. 
February 17, 2022 – Amended 32 

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

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

State Gaming Agency with the name, badge identification number, and job 

descriptions of all such employees on a monthly basis, within seven (7) days of 

the end of each month. 

Section 16. Granting a Gaming License 

All Primary Management Officials and Key Employees of the gaming operation must have a 

gaming license issued by the Band. 

A. The Commission is responsible for granting and issuing gaming licenses to 

Primary Management Officials and Key Employees. 

B. Key Employees and Primary Management Officials. 

1. Commission may license a Primary Management Official or Key 

Employee applicant after submitting a notice of results of the 

applicant’s background investigation to the NIGC, as required by 

Article XIV. 

2. If, within a 30-day period after the NIGC receives a report, the NIGC 

notifies the Commission 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 commission has provided an 

application and investigative report to the NIGC, the Commission may 

issue a license to such applicant. 

3. The Commission shall respond to a request for additional information 

from the Chairman of the NIGC concerning a Key Employee or a Primary 

Management Official who is subject of a report. Such a request shall 

suspend the 30-day period until the Chairman of the NIGC receives the 

additional information. The Commission shall make the final decision 

whether to issue a license to such applicant. 

4. The Commission must reconsider a license application for a Primary 

Management Official or Key Employee if it receives a statement of 

itemized objections to issuing such a license from the NIGC, and those 

objections are received within 30 days of the NIGC receiving a notice of 

results of the applicant’s background investigation. 

5. Commission shall take the NIGC’s objections into account t when 

reconsidering a license application. 

6. If the Commission has issued a license to a Primary Management Official 

or Key Employee before receiving the NIGC’s statement of objections, 
February 17, 2022 – Amended 33 

notice and a hearing shall be provided to the licensee, as required by 

Article XXII. 

7. The Commission shall notify the NIGC of the issuance of a license to a 

Primary Management Official or Key Employee within 30 days of 

issuance. 

8. The Band shall not employ an individual in a Primary Management 

Official or Key Employee position who does not have a license after 

90 days of beginning work at the gaming operation. 

9. The Band will make the final decision whether to issue a license to an 

applicant for a Primary Management Official or Key Employee position. 

C. All Gaming Employees, Including Primary Management Officials. If an applicant 

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

Commission has conducted a preliminary background investigation, the 

Commission may issue a temporary license and impose such conditions thereon 

as it deems appropriate pending completion of the licensing process, provided that 

the Commission has no information suggesting the applicant would either be 

automatically disqualified from obtaining a license or that would cause a 

reasonable person to investigate further before issuing a license. A temporary 

tribal gaming license shall remain in effect until suspended or revoked, or a final 

determination is made on the application by the Commission, or for a period of up 

to one (1) year, whichever comes first. The Commission may issue a regular 

license to a person who meets the eligibility standards set out in Section VIII of 

this Regulation 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 Commission shall revoke any temporary license issued to the 

applicant and deny the applicant a license, except that the Commission shall have 

discretion to renew a license if the person has been continuously employed by the 

Band for at least three (3) years prior to the effective date of the Compact and also 

meets the following criteria: 

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

that must be renewed at least biennially; 

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

and 

3. 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. 

In addition, the Band may employ or retain in its employ a person whose 

application for a determination of suitability, or for a renewal of such a 
February 17, 2022 – Amended 34 

determination, has been denied by the State Gaming Agency, if the person is an 

enrolled member of the Band, and if: 

4. The enrolled member of the Band holds a valid and current license issued 

by the Commission that must be renewed at least biennially; 

5. The enrolled member of the Band is not an employee or agent of any other 

gaming operation; and 

a. The enrolled member was eligible for an exemption under section 

6.4.4, subdivision (d) of the 1999 Compact, was granted a license by 

the Tribal Gaming Agency while the 1999 Compact was in effect, and 

the State Gaming Agency’s denial of the application is based solely 

on activities, conduct, or associations that antedate the Tribal Gaming 

Agency’s first grant of a license to the tribal member pursuant to the 

1999 Compact; or 

b. The denial of the application by the State Gaming Agency is based 

solely on activities, conduct, or associations that antedate by at least 

ten (10) years, the filing of the enrolled member of the Band’s initial 

application to the State Gaming Agency for a determination of 

suitability. 

Section 17. Limitation 

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

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

Section 18. Identification Cards 

All persons who are required to be licensed pursuant to the Gaming Ordinance shall be required 

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

identification badges issued by the Commission. The identification badges must display the 

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

Section 19. Gaming Facility 

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

class III gaming is conducted under this Ordinance. The license shall be posted in 

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

B. The Commission shall determine and, if appropriate, certify that each gaming 

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

building and safety code and the Americans with Disabilities Act, 42 U.S.C. § 

12101 et seq. Based an inspection by qualified building and safety experts. 

C. The Commission shall give reasonable notice of each inspection to the State's 

designated agent or agents, who may accompany any such inspection. The 

Commission and the State's designated agent or agents shall exchange any 
February 17, 2022 – Amended 35 

inspection reports within ten (10) days after completion of the report and 

simultaneously forward copies of such reports to Band's Chairperson. 

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

an inspection that does not meet the standards set out in paragraph B of this 

Section is caroled. 

A. If the State's designated agent or agents object to a certification by the Band's 

building and safety code experts that a gaming facility meets the standards set out 

in paragraph B of this Section, the Band shall make good faith efforts to address 

the State's concerns, but if the State does not withdraw its objection the matter 

will be resolved in accordance with the dispute resolution provisions of Section 9 

of the Compact. 

Section 20. Gaming Resource Suppliers 

A. The Band shall license any gaming resource supplier prior to the sale, lease, or 

distribution, or further sale, lease, or distribution, of any gaming resources to or in 

connection with the Band's gaming facilities. As the term is used herein, the term 

“gaming resource supplier” means any person or entity who, directly or indirectly, 

does, or is deemed likely to, manufacture, distribute, supply, vend, lease, purvey, 

or otherwise provide, to the Gaming Operation or Gaming Facility at least twentyfive thousand dollars ($25,000) in Gaming Resources in any twelve (12)-month 

period, or who, directly or indirectly, receives, or is deemed likely to receive, in 

connection with the gaming operation or Gaming Facility, at least twenty-five 

thousand dollars ($25,000) in any consecutive twelve (12)-month period, 

provided that the Tribal Gaming Agency may exclude a purveyor of equipment or 

furniture that is not specifically designed for, and is distributed generally for use 

other than in connection with, Gaming Activities, if, but for the purveyance, the 

purveyor is not otherwise a Gaming Resource Supplier as defined herein, the 

compensation received by the purveyor is not grossly disproportionate to the 

value of the goods or services provided, and the purveyor is not otherwise a 

person who exercises a significant influence over the Gaming Operation. 

B. The Commission shall employ or otherwise engage an investigator to 

complete an investigation of applicants seeking licensure as a Gaming 

Resource Supplier. This investigation shall include, at a minimum, the 

following steps: 

1. Verification of the vendor’s business’ incorporation status and 

qualifications to do business in the state where the gaming 

operation is located; 

2. Obtaining a business credit report, if available, and 

conducting a Better Business Bureau check on the 

vendor; 
February 17, 2022 – Amended 36 

3. Conducting a check of the vendor’s business’ credit history; 

4. Calling and questioning each of the references listed in the vendor 

application; and 

5. Conducting an investigation of the principals of the vendor’s 

business, including facilitating a criminal history check, obtaining 

criminal history check results, obtaining a credit report, and 

interviewing the personal references listed. 

C. The investigator shall complete an investigative report covering each of 

the steps taken in the background investigation of the Gaming Resource 

Supplier and its principals, and present it to the Commission. 

D. The Band shall not enter into, or continue to make payments pursuant to, any 

contract or agreement for the provision of gaming resources with any person 

whose application to the State Gaming Agency for a determination of suitability 

has been denied or has expired without renewal. 

E. The license and determination of suitability of a Gaming Resource Supplier shall 

be reviewed at least every two (2) years for continuing compliance. In connection 

with such a review, the Commission shall require the Gaming Resource Supplier 

to update all information provided in the previous application. 

F. Any agreement between the Band and a Gaming Resource Supplier shall be 

deemed to include a provision for its termination without further liability on the 

part of the Band, except for a 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 non-renewal of the supplier's 

license by the Commission based on a determination of unsuitability by the State 

Gaming Agency. For purposes of licensing such suppliers, “gaming resources” do 

not include professional accounting services, legal services or the supplying of 

food and beverage to the Gaming Facility or to other enterprises owned by the 

Band. 

Section 21. Financial Sources 

A. Each Financial Source shall be licensed by the Commission prior to extending 

financing in connection with the Band’s Gaming Facilities or gaming operations.. 

B. Every Financial Source required to be licensed by the Commission shall, 

contemporaneously with the filing of its tribal license application, apply to the 

State Gaming Agency for a determination of suitability. In the event the State 

Gaming Agency denies or revokes the determination of suitability, the 

Commission shall deny or revoke the Financial Source’s license within thirty (30) 

days of receiving notice of denial or revocation from the State Gaming Agency. 
February 17, 2022 – Amended 37 

C. A license issued under this section shall be reviewed at least every two (2) years 

for continuing compliance. In connection with that review, the Commission shall 

require the Financial Source to update all information provided in the Financial 

Source’s previous application. For purposes of this section, that review shall be 

deemed to constitute an application for renewal. 

D. Any agreement between the Band and a Financial Source shall be deemed to 

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

Band, except for the bona fide repayment of all outstanding sums (exclusive of 

interest) owed as of the date of termination, upon revocation or non-renewal of the 

Financial Source's license by the Commission based on a determination of 

unsuitability by the State Gaming Agency. The Band shall not enter into, or 

continue to make payments pursuant to, any contract or agreement for the 

provision of financing with any person whose application to the State Gaming 

Agency for a determination of suitability has been denied or has expired without 

renewal. 

E. A Gaming Resource Supplier who provides financing exclusively in connection 

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

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

Gaming Resource Suppliers, and need not be separately licensed as a Financial 

Source under this section. 

F. The Commission may elect to license a person or entity as a Financial Source 

without requiring it to apply to the State Gaming Agency for a determination of 

suitability under this section if the Financial Source has already been issued a 

determination of suitability that is then valid. In that case, the Commission shall 

immediately notify the State Gaming Agency of its licensure of the person or 

entity as a Financial Source, and shall identify in its notification the State Gaming 

Agency determination of suitability on which the Commission has relied in 

proceeding under this subdivision (F). Subject to the Commission’s compliance 

with the requirements of this subdivision, a Financial Source licensed under this 

subdivision may, during and only during the period in which the determination of 

suitability remains valid, engage in financing in connection with the Band’s 

Gaming Activities and operations, without applying to the State Gaming Agency 

for a determination of suitability. The issuance of a license under this subdivision 

is in all cases subject to any later determination by the State Gaming Agency that 

the Financial Source is not suitable or to a tribal gaming license suspension or 

revocation pursuant to section 6.5.1, and does not extend the time during which the 

determination of suitability relied on by the Commission is valid. A license issued 

under this subdivision expires upon the revocation or expiration of the 

determination of suitability relied on by the Commission. Nothing in this 

subdivision affects the obligations of the Commission, or of the Financial Source 

under the Compact. 

G. Except where subdivision (F) applies, within twenty-one (21) days of the issuance 

of a license to a Financial Source, the Commission shall transmit to the State 
February 17, 2022 – Amended 38 

Gaming Agency a copy of the license and a copy of all tribal license application 

materials and information received by it from the applicant which is not otherwise. 

H. Exclusions: 

1. The Commission may, at its discretion, exclude from the licensing 

requirements of this section, financing provided by: 

a. A federally regulated or state-regulated bank, savings and loan, or other 

federally- or state-regulated lending institution; 

b.Any agency of the federal, state, or local government, or any investor who, 

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

outstanding indebtedness evidenced by bonds issued by the Band; 

c.A real estate investment trust (as defined in 26 U.S.C. § 856(a)) which is 

publicly traded on a stock exchange, registered with the Securities and 

Exchange Commission, and subject to the regulatory oversight of the 

Securities and Exchange Commission; and 

d.An entity or category of entities that the State Gaming Agency and the 

Tribal Gaming Agency jointly determine can be excluded from the 

licensing requirements of this section without posing a threat to the public 

interest or the integrity of the Band’s gaming operations. 

2. In any case where the Commission elects pursuant to exclude a Financial 

Source from the licensing requirements of this section, the Commission shall 

give no less than thirty (30) days’ notice thereof to the State Gaming Agency, 

and shall give the State Gaming Agency reasonable advance notice of any 

extension of financing by the Financial Source in connection with the Band’s 

Gaming Facilities or operations, and upon request of the State Gaming 

Agency, shall provide it with sufficient documentation to support the 

Commission’s exclusion of the Financial Source from the licensing 

requirements of this section. 

3. The Commission shall work collaboratively with the State Gaming Agency to 

resolve any reasonable concerns regarding the initial or ongoing excludability 

of an individual or entity as a Financial Source. 

Section 22. Denial, Revocation and Suspension of License 

A. A license shall 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 IX of this Regulation; 
February 17, 2022 – Amended 39 

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 Commission has probable cause to believe that the licensee has, by act or 

omission, violated provisions of the Compact, the Gaming Ordinance, the 

Band's Gaming Regulations, any condition of a Conditional Gaming License, 

or any other Federal, State or Tribal laws or regulations; 

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

constitutes an immediate threat to the public interest or to the public health, 

safety or welfare; 

5. The Commission 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 Band's gaming operations or the Band, or interferes with the normal 

operation of the Band's gaming facilities; 

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 the Commission within 

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

9. The Commission determines that licensing the person poses a threat to the 

effective regulation of gaming; 

10. The Commission determines that licensing the person creates or enhances the 

dangers of unsuitable, unfair, or illegal practices, methods, and/or activities in 

the conduct of gaming; or 

11. The licensee's employment with the Band's gaming operations is terminated, 

voluntarily or involuntarily. 

B. When the Commission does not issue a license to an applicant for a Primary 

Management Official or Key Employee position, or revokes a previously issued 

licenses after reconsideration, it shall: 

1. Notify the NIGC; and 

2. Forward copies of its eligibility determination and notice of results of the 

applicant’s background investigation to the NIGC for inclusion in the Indian 

Gaming Individuals Record System 

C. If, after a license is issued to a Primary Management Official or a Key Employee, 

the Band receives notice from the NIGC that the Primary Management Official or 

Key Employee is not eligible for employment, the Tribal Gaming Commission 

shall: 
February 17, 2022 – Amended 40 

1. Immediately suspend the license; 

2. Provide the licensee with written notice of the suspension and proposed 

revocation pursuant to Article XXII; and 

3. Provide the licensee with notice of a time and place for a hearing on the 

proposed revocation of the license pursuant to Article XXII. 

D. Following a revocation hearing, the Band shall decide whether to revoke or 

reinstate the license at issue. 

E. The Band shall notify the NIGC of its decision to revoke or reinstate a license 

within forty-five (45) days of receiving notification from the NIGC that a Primary 

Management Official or Key Employee is not eligible for employment. 

Section 23. Due Process 

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

shall require: 

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

notification of the denial, suspension or pending revocation be given to the 

licensee ten (10) days in advance of the proposed action; 

B. Such written notification shall include information concerning the licensee's right 

to a hearing, shall specify the date, time and place for the hearing, and shall also 

advise the licensee that failure to appear for a scheduled hearing shall forfeit any 

further right to appeal; 

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

be notified in writing, within three (3) days of the ruling, of the ruling and the 

licensee's right to file a petition with the Commission fora rehearing within fifteen 

(15) days of the receipt of the written notification; 

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

the written notification described in the preceding paragraph, the Commission 

shall review any additional information submitted by the licensee with the petition 

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

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

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

continued licensing of the person: 

1. Falsified a license application; 

2. Poses an immediate threat to the integrity of the Band's gaming 

operations; 
February 17, 2022 – Amended 41 

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

4. May violate the Commission's licensing or other standards. 

Section 24. Duration and Renewal 

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

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

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

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

determination of suitability. Any licensee applying for renewal may continue to be employed or 

engaged under the expired license until the Commission takes action on the renewal application. 

Applicants for renewal shall provide updated material as requested by the commission but shall 

not be required to resubmit information already available to the Commission. Additional 

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

criminal history checks are required. 

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

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

shall provide verification to the State Gaming Agency that it has reviewed and, if appropriate, 

renewed a gaming facility's license. 

Section 25. Fees 

The Commission shall establish a fee schedule for licenses and, subject to Tribal Council 

approval, may establish tiers of licensing fees that are applicable to Gaming Resource Suppliers. 

Application fees shall be nonrefundable, regardless of whether or not a license is issued. Such 

fees shall be made payable to the Paskenta Band of Nomlaki Indians of California. 

ARTICLE XXI: EFFECTIVE DATE OF ORDINANCE

This ordinance shall become effective upon adoption by a majority vote of the Tribal Council at 

a duly scheduled meeting. Adoption of the ordinance explicitly repeals any and all previously 

enacted Paskenta Gaming Commission Ordinance, previously effective as of December 11, 

2020, and all of its amendments. 

THE PASKENTA TRIBAL COUNCIL CERTIFIES THAT A MEETING WAS DULY 

CALLED, NOTICED AND CONVENED ON February 17, 2022 WHERE A QUORUM 

WAS PRESENT AND THIS RESOLUTION WAS ADOPTED BY A 

VOTE 3 FOR, 0 AGAINST, and 0 ABSTENTIONS. 

__________________________ DATE: February 17, 2022 

Andrew Alejandre, Chairman 
February 17, 2022 – Amended 42 

ATTESTED BY: 

__________________________ DATE _________________ 

Keith Ray, Secretary 
February 17, 2022 – Amended 1

Formatted: Header, Right

Formatted: Footer

ORDINANCE NO. TC2022-5

PASKENTA BAND OF NOMLAKI INDIANS

P.O. BOX 398 - ORLAND, CA 95963

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

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

Originally approved as

AMENDED AND RESTATED PASKENTA GAMING ORDINANCE NO. 2000-419A, 

amended by

AND

LICENSING AND BACKGROUND INVESTIGATION PROCEDURES

TABLE OF CONTENTS

 Page

Statement of Source Authority 1

Statement of Purpose 1

Short Title 1

ARTICLE I: DEFINITIONS....................................................................................................... 4

Section 1. General....................................................................................................................... 4

Section 2. Special Terms............................................................................................................. 4

Style Definition: List Paragraph

Style Definition: Balloon Text: Font: (Default) Tahoma, 8 pt

Style Definition: Normal: Font:

Formatted: Top: 0.81", Different first page header

Formatted: Font: 12 pt

Formatted: No underline
February 17, 2022 – Amended 2

Formatted: Header

Formatted: Footer

ARTICLE II: GAMING AUTHORIZED .................................................................................. 8

ARTICLE III: OWNERSHIP OF GAMING............................................................................. 8

ARTICLE IV: USE OF GAMING REVENUES ....................................................................... 8

Section 1. Use of Net Revenues............................................................................................. 8

Section 2. Per Capita Payments.............................................................................................. 9

ARTICLE V: GAMING COMMISSION................................................................................... 9

Section 1. Commission Established............................................................................................ 9

Section 2. Commissioners......................................................................................................... 10

Section 3. Commission Powers................................................................................................. 12

Section 4. Executive Director ................................................................................................... 15

Section 5. Budget...................................................................................................................... 15

Section 6. Notice....................................................................................................................... 15

Section 7. Confidentiality ......................................................................................................... 16

Section 8. Conduct of Commission Meetings........................................................................... 16

ARTICLE VI: AUDIT................................................................................................................ 16

Section l. Annual Audit............................................................................................................ 16

Section 2. Gaming Contracts .................................................................................................... 16

ARTICLE VII: FACILITY LICENSES................................................................................... 17

ARTICLE VIII: PROTECTION OF THE ENVIRONMENT............................................... 17

Section 1. Environment, Public Health and Safety.................................................................. 17

ARTICLE IX: SPECIFIC AGE REQUIREMENTS FOR CLASS II AND CLASS III 

GAMING ..................................................................................................................................... 18

ARTICLE X: FIREARMS CONTROL ................................................................................... 18

ARTICLE XI: LICENSES......................................................................................................... 18

Section 1. License Requirements.............................................................................................. 18

Section 2. Employee License Tiers........................................................................................... 18

Section 3. Background Investigations...................................................................................... 19

Section 4. Eligibility Determination ........................................................................................ 20

Section 5. Periodic Review...................................................................................................... 20

Section 6. Reporting................................................................................................................. 20

Section 7. Records Retention.................................................................................................... 20

Section 8. Additional Requirements........................................................................................ 21

ARTICLE XII: MINIMUM CONTROL STANDARDS ........................................................ 21

Section 1. Applicable Standards............................................................................................... 21

Section 2. Annual CPA Testing of Compliance ....................................................................... 21
February 17, 2022 – Amended 3

Formatted: Header

Formatted: Footer

Section 3. Compliance .............................................................................................................. 21

Section 4. Enforcement............................................................................................................. 22

ARTICLE XIII: RESOLUTION OF PATRON GAMING DISPUTES ............................... 22

ARTICLE XIV: SERVICE OF PROCESS.............................................................................. 23

ARTICLE XV: COMPLIANCE WITH FEDERAL LAW .................................................... 23

ARTICLE XVI: REPEAL ......................................................................................................... 23

ARTICLE XVII: SEVERABILITY.......................................................................................... 23

ARTICLE XVIII: AMENDMENT OF ORDINANCE ........................................................... 23

ARTICLE XIX: MISCELLANEOUS ...................................................................................... 23

Section 1. Amendments............................................................................................................ 24

Section 2. Savings Clause......................................................................................................... 24

ARTICLE XX: LICENSING AND BACKGROUP INVESTIGATION PROCEDURES.. 24

Section 1. Purpose..................................................................................................................... 24

Section 2. Incorporation by Reference...................................................................................... 24

Section 3. Scope........................................................................................................................ 24

Section 4. Scope of Investigations............................................................................................ 25

Section 5. Cooperation.............................................................................................................. 28

Section 6. Fingerprinting .......................................................................................................... 28

Section 7. Confidentiality ......................................................................................................... 28

Section 8. Eligibility Determinations........................................................................................ 28

Section 9. Privacy Notice.......................................................................................................... 29

Section 10. Notice Regarding False Statements....................................................................... 30

Section 11. Required Information – General............................................................................ 31

Section 12. Required Information – Business Entities ............................................................. 32

Section 13. Investigative Reports ............................................................................................. 34

Section 14. Report to the NIGC................................................................................................ 34

Section 15. Reporting to State Gaming Agency....................................................................... 35

Section 16. Granting a Gaming License ................................................................................... 36

Section 17. Limitation............................................................................................................... 39

Section 18. Identification Cards................................................................................................ 39

Section 19. Gaming Facility ..................................................................................................... 39

Section 20. Gaming Resource Suppliers................................................................................... 40

Section 21. Financial Sources................................................................................................... 41

Section 22. Denial, Revocation and Suspension of License..................................................... 43

Section 23. Due Process............................................................................................................ 45
February 17, 2022 – Amended 4

Formatted: Header

Formatted: Footer

Section 24. Duration and Renewal............................................................................................ 46

Section 25. Fees........................................................................................................................ 47

ARTICLE XXII: EFFECTIVE DATE OF ORDINANCE..................................................... 47

Statement of Source of Authority

Pursuant to authority contained in the Tribal Constitution and Bylaws (“Tribal 

Constitution”) on April 18, 1998 and the Secretary of the Interior approved said Constitution and 

Bylaws on May 15, 1998; and whereby the Tribal Council enacted the Paskenta Gaming 

Commission Ordinance which took effect on December 11, 2020 between the State of California 

and the Band; and whereby the Tribal Council resolved to authorize the Amended and Restated 

Paskenta Gaming Ordinance; this ordinance is promulgated pursuant to authority contained in

Resolution of the Tribal Council of the Paskenta Band of Nomlaki Indians No. 2008-422.: 

TC2022-5, dated February 17, 2022.

ARTICLE I: PURPOSE

Statement of Purpose

The Paskenta Band of Nomlaki Indians, acting through its Tribal Council, pursuant to the Band's 

inherent authority and Article VI, Section 1(d) of the Band's Constitution, hereby enacts this 

Ordinance in order to set the terms for class II and class III gaming operations on the Paskenta 

Reservation. Unless specifically indicated otherwise, all provisions of this ordinance shall apply 

to class II and class III gaming on the Band’s Indian lands. 

Short Title

This ordinance may be cited as the "Amended and Restated Paskenta Gaming

Ordinance."

ARTICLE I: DEFINITIONS 

Section 1. General

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

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

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

Section 2. Special Terms

Formatted: Left, Indent: First line: 0.5"

Formatted: Font: Not Bold, No underline

Formatted: Font: Not Bold, No underline

Formatted: Font: Not Bold, No underline

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Underline

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 2
February 17, 2022 – Amended 5

Formatted: Header

Formatted: Footer

In this Ordinance:

(a) BAND: "Band" means the Paskenta Band of Nomlaki Indians.

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

Band in accordance with the Band's Constitution ratified on April 18, 1998 and any enrollment 

ordinance that may be enacted by the Band, as amended from time to time.

(c) CLASS II GAMING: “class II gaming” includes:

1. Bingo or lotto (whether or not electronic, computer or other technologic aids are 

used) when players:

a. Play for prizes with cards bearing numbers or other designations;

b. Cover numbers or designations when objects, similarly numbered or 

designated, are drawn or electronically determined; and

c. Win the game by being the first person to cover a designated pattern on 

such cards;

2. Pull-tabs, punch boards, tip jars, instant bingo and other games similar to bingo, if 

played in the same location as bingo or lotto; and

3. Non-banking card games that:

a. State law explicitly authorizes, or does not explicitly prohibit, and 

are played legally anywhere in the state; and

b. Players play in conformity with state laws and regulations concerning 

hours, periods of operation, and limitations on wagers and pot sizes.

CLASS III GAMING: “class III gaming” means all forms of gaming that are not class I or 

class II gaming, including, but not limited to: 

1. Any house banking game, including but not limited to:

a. Card games such as baccarat, chemin de fer, blackjack (21), and pai 

gow (if played as house-banking games); and

b. Casino games such as roulette, craps, and keno;

2. Any slot machines, as defined in 15 U.S.C. § 1711(a)(1), and electronic or 

electromechanical facsimiles of any game of chance;

3. Any sports betting and pari-mutuel wagering, including but not limited to, 

wagering on horse racing, dog racing or jai alai; or

4. Lotteries.

Formatted: Indent: First line: 0"

Formatted: Indent: Left: 0"

Formatted: Indent: Left: 0"
February 17, 2022 – Amended 6

Formatted: Header

Formatted: Footer

COMMISSION: "Commission" means the Paskenta Gaming Commission established pursuant 

to Ordinance No. 1999-1d duly adopted by the General Council.

(d)

COMMISSIONER: “Commissioner” means a Tribal Gaming Commissioner.

COMPACT: "Compact" means the Tribal-State Compact between the Band and

the State of California authorizing class DIIII gaming activities, as required by IGRA, 25 U.S.C. 

§ 2701(dX1)(C) and amended from time to time.

(e) GENERAL COUNCIL: "General Council" consistsEXECUTIVE DIRECTOR: 

"Executive Director" means the Executive Director of all the Commission.

FACILITY LICENSE: “Facility License” means a separate license issued by the Band to each 

place, facility or location on Indian lands where the Band elects to allow class II or III gaming.

FINANCIAL SOURCE; “Financial Source” means any person or entity who, directly or

indirectly, extends financing in connection with the Band’s Gaming Facility or gaming 

operation.

GAMING ACTIVITY: “Gaming Activity” or “Gaming Activities” means any class I, class II, or 

class III gaming conducted pursuant to the Indian Gaming Regulatory Act, 25 U.S.C. 2701 et seq.

GAMING EMPLOYEE: “Gaming Employee” means any natural person who is an employee of 

the Gaming Operation and (i) conducts, operates, maintains, repairs, accounts for, or assists in 

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

persons who conduct, operate, maintain, repair, account for, assist, or supervise any such 

Gaming Activities, (ii) is in a category under federal or tribal gaming law requiring licensing, or 

(iii) is a person whose employment duties require or authorize access to areas of the Gaming 

Facility in which any activities related to Gaming Activities are conducted but that are not open 

to the public. The definition of Gaming Employee does not include members who are eighteen 

(18) years of age or olderor employees of the Commission.

(f) GAMING FACILITY: “Gaming Facility” means any building in which Gaming 

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

of the gaming operation are maintained (excluding off-site facilities primarily dedicated to 

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

parking lots and walkways, a principle purpose of which is to serve the activities of the Band’s 

gaming operation, rather than providing that operation with an incidental benefit, provided that 

nothing herein prevents the conduct of class II gaming therein. Nothing herein shall be 

construed to apply in a manner that does not directly relate to the operation of Gaming Activities. 

For purposes of this Ordinance, the term “Gaming Facility” does not include any break room that 

is open to employees of the Band or its enterprises, consultants to the Band or its enterprises, and 

Gaming Employees.

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

regulations, 25 C.F.R. § 500 et seq.

Formatted: Indent: Left: 0"

Formatted: Indent: Left: 0"

Formatted: Font color: Black

Formatted: Indent: Left: 0"

Formatted: Indent: Left: 0"

Formatted: Font: Italic
February 17, 2022 – Amended 7

Formatted: Header

Formatted: Footer

(g) INDIAN LANDS: “Indian lands” means: 

1. Land within the limits of an Indian reservation; or

2. Land over which the Band exercises governmental power and that is either;

a. Held in trust by the United States for the benefit of the Band or an 

individual; or

b. Held by the Band or an individual subject to restriction by the United 

States against alienation.

KEY EMPLOYEE: "key employeeKey Employee" means:

(a)1. A person who performs one or more of the following functions: bingo 

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

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

custodian of gambling devices including persons with access to cash and 

accounting records within such devices;

(b)2 If not otherwise included, any other person whose total cash compensation 

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

(c)3 If not otherwise included, the four (4) most highly compensated persons in 

the gaming operation.; or

(h) 4 Any other person designated by the Band as a Key Employee.

LICENSEE: “licensee” means a tribally owned class II or class III gaming operation or a 

person licensed by the Commission as a Primary Management Official, Key Employee, 

Gaming Employee, Financial Source, or vendor under the provisions of this ordinance.

NIGC: "NIGC" means the National Indian Gaming Commission established pursuant to 25 

U.S.C. § 2704.

PRIMARY MANAGEMENT OFFICIAL: "Primary Management Official" means:

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

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

working policy for the gaming operation; or

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

responsibility.

Formatted: Indent: First line: 0"

Formatted: Indent: Left: 0.75", Hanging: 0.25"

Formatted: Indent: Left: 0"

Formatted: Indent: First line: 0"

Formatted: List Paragraph, Space After: 12 pt, Numbered +

Level: 1 + Numbering Style: 1, 2, 3, ... + Start at: 1 +

Alignment: Left + Aligned at: 0.75" + Indent at: 1"

Formatted: List Paragraph, Space After: 12 pt, Numbered +

Level: 1 + Numbering Style: 1, 2, 3, ... + Start at: 1 +

Alignment: Left + Aligned at: 0.75" + Indent at: 1"

Formatted: List Paragraph, Space After: 12 pt, Numbered +

Level: 1 + Numbering Style: 1, 2, 3, ... + Start at: 1 +

Alignment: Left + Aligned at: 0.75" + Indent at: 1"
February 17, 2022 – Amended 8

Formatted: Header

Formatted: Footer

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

Subsection 2.18 of the Compact; and.

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

Band, existing and functioning pursuant to the Band's Constitution ratified on April 18, 1998.

2020 COMPACT: “2020 Compact” means the Tribal-State Compact between the State of 

California and the Paskenta Band of Nomlaki Indians of California, dated August 3, 2020.

ARTICLE IIIII: GAMING AUTHORIZED 

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

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

The class III to be conducted on the Band’s Indian lands, if such gaming activities authorized 

byis conducted in accordance with this Ordinance are those gaming activities authorized under 

the Compact.ordinance, the IGRA, the NIGC’s regulations, and any other applicable laws and 

regulations. 

ARTICLE IVIII: OWNERSHIP OF GAMING 

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

gaming operation authorized by this Ordinance.

ARTICLE VIV: USE OF GAMING REVENUES 

Section 1. Use of Net Revenues

Net revenues from class II and class III gaming shall be used only for the following purposes:

(a)A. to fund tribal government operations and programs;

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

(c)C. to promote tribal economic development;

(d)D. to donate to charitable organizations;

(e)E. to help fund operations of local government agencies; orand

F. to make contributions, as required by the Compact, to any revenue-sharing funds 

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

Formatted: Indent: Left: 0"

Formatted: Indent: Left: 0"

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 2

Formatted: Indent: Left: 0.5", Hanging: 0.5"
February 17, 2022 – Amended 9

Formatted: Header

Formatted: Footer

Section 2. Per Capita Payments

A. If Net revenues from any class II and/or class III gaming activities conducted or 

licensed by the Band electsmay be used to make per capita payments to tribal 

members, it shall authorize such payments only upon approval of Tribal members 

if:

1. The Band has prepared a plan submitted toto allocate revenues to one or more 

of the uses authorized by section VI.1 of this ordinance;

2. The plan is approved by the Secretary of the Interior under as adequate, 

particularly with respect to the uses described in Article V.1 of this 

ordinance;

3. The interests of minors and other legally incompetent persons who are entitled 

to receive any of the per capita payments are protected and preserved, and the 

per capita payments are disbursed to the parents or legal guardian of such 

minors or legal incompetents in such amounts as may be necessary for the 

health, education, or welfare of the minor or other legally incompetent person; 

and

4. The per capita payments are subject to Federal taxation and the Band 

notifies its members of such tax liability when payments are made.

ARTICLE V: GAMING COMMISSION

Section 1. Commission Established

A. The Band hereby establishes a Tribal Gaming Commission (“Commission”) to regulate 

the Band’s gaming operations. The Commission shall consist of up to five (5) 

Commissioners appointed by majority vote of the Tribal Council, including not less 

than three (3) Band Members, and up to two (2) non-Band members.

B. The Commission will conduct oversight to ensure compliance with Tribal, Federal and, 

if applicable, State laws and regulations. It will serve as the licensing authority for 

individuals employed in the gaming operation and will administer background 

investigations as part of the licensing process. The Commission will also have a role in 

monitoring compliance with the gaming operation’s internal controls and in tracking 

gaming revenues. In order to carry out its regulatory duties, the Commission shall have 

unrestricted access to all areas of the gaming operation and to all of its records. The 

Commission shall have authority to take enforcement actions, including suspension or 

revocation of an individual gaming license, when appropriate.

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 2
February 17, 2022 – Amended 10

Formatted: Header

Formatted: Footer

C. Commissioners shall serve for a term of three (3) years, with no limitation as to the 

number of terms served, except that the appointment of the Commissioners must 

maintain staggered terms.

Section 2. Commissioners

A. The following persons are not eligible to serve as Commissioners: Tribal Council 

members, while serving as such; current employees of the gaming operation; gaming 

contractors (including any principal of a management, or other contracting company); 

persons sharing a residence with, any of the above; and persons ineligible to be Key 

Employees or Primary Management Officials. Non-tribal members previously convicted 

of any felony or misdemeanor offense of embezzlement, theft or any other moneyrelated or honesty-related misdemeanor offense, such as fraud, cannot serve as 

Commissioner. Tribal members previously convicted of any felony or misdemeanor 

offense of embezzlement, theft or any other offense related to money or honesty, such as 

fraud, will only be allowed to serve as a Commissioner if the Tribal Council specifically 

finds that a significant amount of time has passed and the person is now of trustworthy 

character.

B. The Band shall, in accordance with Tribal law, require a criminal history check with 

appropriate law enforcement agencies for each Commissioner, Executive Director, and 

applicant for employment with the Commission. For such individuals, the Band shall 

review the candidate’s criminal history check results and shall ensure that he or she

satisfies the eligibility requirements of this ordinance and the Compact.

C. The Band recognizes the importance of an independent Tribal Gaming Commission in 

maintaining a well-regulated gaming operation. To avoid potential conflicts of interest 

between the operation and regulation of the gaming facility, the Band requires that, at a 

minimum:

1. No member of the Tribal Council may serve on the Tribal Gaming 

Commission;

2. No member living with, any Tribal Council member may serve on the Tribal 

Gaming Commission;

3. Members of the Commission are prohibited from gambling in the facility;

4. Commissioners are prohibited from accepting complimentary items from the 

gaming operation, excepting food and beverages which are generally made 

available to others or at special events held by the Band; and

5. Commissioners may only be removed from office by the Tribal Council, prior 

to the expiration of their respective terms, for neglect of duty, misconduct, 

malfeasance or other acts that would render a Commissioner unqualified for the 

position.
February 17, 2022 – Amended 11

Formatted: Header

Formatted: Footer

D. Qualifications for Commissioner.

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

of age, and must be a U.S.C. §§ 2710(b)(3). citizen.

2. No member of the Tribal Council and no employee of any gaming operation may 

serve concurrently as a Commissioner.

3. No more than one member of the same immediate family may serve on the 

Commission at the same time.

4. Any person who has been convicted, 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 a Commissioner.

5. A Commissioner must pass a background check pursuant to the Ordinance before 

they can access non-public areas and confidential information related to the 

Band’s gaming operations.

6. A person who is not a member of the Band that is seeking to become a 

Commissioner must have experience in one or more of the following fields: 

accounting, law, gaming management, gaming regulation or in general regulatory 

oversight.

7. The Tribal Council may waive the eligibility requirements of this section in its 

sole discretion.

8. Any person seeking to become a Commissioner must provide the Tribal 

Council with a notice of intent to be a Commissioner and a resume.

E. Commissioners shall serve until the appointment of their successors, or until 

resignation, termination for cause, disqualification or death.

1. Any Commissioner may resign from office at any time. Resignations shall be 

made in writing delivered to the Tribal Council.

2. Termination for cause shall be ordered by majority vote of the Tribal Council.

F. If any vacancy is created on the Commission by virtue of resignation, death or removal 

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

the current term. The appointment shall be made pursuant to Tribal law regarding 

appointments to advisory committees.

G. Commission Officers. 

Formatted: Space Before: 13.95 pt, Line spacing: Exactly

14.05 pt, Numbered + Level: 1 + Numbering Style: 1, 2, 3, ...

+ Start at: 1 + Alignment: Left + Aligned at: 0.75" + Indent

at: 1", Font Alignment: Baseline, Tab stops: 1.38", Left +

1.75", Left + 1.81", Left

Formatted: Font color: Black

Formatted: Font color: Black

Formatted: Font color: Black
February 17, 2022 – Amended 12

Formatted: Header

Formatted: Footer

1. At all times, the Commission shall maintain from among its members a Chair, 

Vice-Chair, and Secretary/Treasurer. Officers shall serve for one (1) year. No 

officer shall serve in more than one office simultaneously.

2. The duties and powers of the officers of the Commissions are those specified in 

this Ordinance and established by regulation of the Commission, and shall include 

any additional duties and powers as may be set by resolution of the Commission, 

provided that such duties and powers may not exceed powers granted to the 

Commission by this Ordinance.

H. Commissioners shall be paid a stipend at a rate to be established by the Commission's 

annual budget, which must be approved by the Tribal Council in accordance with Article 

VIII of this Ordinance. Commissioners shall be reimbursed for necessary out-of-pocket 

expenses incurred in carrying out the duties and responsibilities of their position. 

Receipts or appropriate documentation shall be submitted for all expenses to be 

reimbursed. In no event shall compensation be based on a percentage of net profits from 

the Band's gaming operations.

Section 3. Commission Powers

A. The Commission shall exercise its regulatory powers in accordance with the IGRA and

NIGC Regulations, the Tribal-State compact and the Band's own gaming laws and 

regulations. Without limiting the generality of the foregoing, the Commission is 

authorized to:

1. Conduct background investigations of all prospective Tier 1 Employees and Tier 

2 Employees;

2. Review and approve all investigative work conducted in connection with the 

background investigations of Primary Management Officials and Key Employees;

3. Create and maintain investigative reports based on the background investigations of 

Primary Management Officials and Key Employees;

4. Act as the Band’s law enforcement agency to obtain and process fingerprints and 

conduct a criminal history check that shall include a check of criminal history 

records information maintained by the Federal Bureau of Investigation;

5. Make licensing eligibility determinations, which shall be signed by the Chair of 

the Commission or their designee;

6. Submit a notice of results to the NIGC of the background investigations done for 

each Primary Management Official and Key Employee applicant;

7. Issue, suspend, revoke, condition, and renew licenses for all Gaming Employees 

upon completion of background investigations and review of licensure eligibility;
February 17, 2022 – Amended 13

Formatted: Header

Formatted: Footer

8. Maintain records on licensees and on persons denied licenses, as well as persons 

otherwise prohibited from engaging in gaming activities within the Band's 

jurisdiction, provided that applications and background investigation reports shall 

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

9. Establish standards for licensing Tribal gaming facilities;

10. Issue facility licenses to each place, facility or location on the Paskenta 

Reservation where the Band authorizes gaming;

11. Inspect, examine and monitor all of the Band’s gaming activities, and have 

immediate access to review, inspect, examine, photocopy and audit all records of 

the gaming facilities and operations;

12. Consult with the Tribal Council to oversee and uphold public health and safety 

standards adopted by Tribal Council;

13. Collaborate with Tribal Council to obtain annual independent outside audits and 

submit these audits under the Tribal Council direction to the NIGC;

14. Ensure that net revenues from any Gaming Activities are used in compliance with 

IGRA and Tribal law, including the Band’s revenue allocation plan;

15. Promulgate tribal gaming regulations for approval by the Tribal Council, 

including but not limited to regulations dealing with;

a. criteria and procedures for licensing:

i. all Gaming Employees of the gaming operation;

ii. each place, facility or location on the Paskenta 

Reservation where the Band authorizes gaming, 

including individually owned gaming;

iii. persons and entities who do business with the gaming 

operation; including manufacturers and suppliers of 

machines, equipment and supplies;

b. protections against conflicts of interest and improper conduct among 

Commissioners, Commission staff, and the Executive Director;

c. the levying of fees and/or taxes associated with gaming license 

applications;

d. exempting vendors from the licensing and/or background investigation 

requirements if they have received a license from a recognized 

regulatory authority;

e. the appointment of officers to the Commission;
February 17, 2022 – Amended 14

Formatted: Header

Formatted: Footer

f. applicable internal control standards; and

g. the levying of fines and/or the suspension or revocation of gaming 

licenses for violations of this ordinance or any Tribal, federal or 

applicable state gaming regulations.

16. Hold hearings on patron complaints and disputes, in accordance with procedures 

established in this ordinance and the gaming regulations;

17. Perform audits of gaming operations and all gaming related contracts that result in 

the annual purchase of supplies or services with a value of twenty-five thousand 

dollars ($25,000) or more, except for contracts for legal or accounting services in 

order to ensure compliance with applicable regulations and the Gaming 

Ordinance, except that the Tribal Council must approve all independent auditors 

prior to their engagement by the Commission;

18. Monitor gaming activities and ensure compliance with the IGRA, its regulations, 

the Tribal-State Compact and the Band's laws and regulations;

19. Serve as a primary point of communication between the Band and outside 

regulatory and law enforcement agencies on matters related to the day-to-day 

regulation of gaming, except that the Band’s Chairperson or the Chairperson’s 

designee must be the Band’s agent for purposes of service of process and any 

official determination, order, or notice of violation;

20. Provide independent information to the Band on the status of the Band's gaming 

operations;

21. Comply with any and all reporting requirements under IGRA, the NIGC’s 

regulations, the Compact, and any other applicable law;

22. Retain a paid staff, including an Executive Director and other consultants in 

accordance with any personnel ordinance, policies or procedures adopted by the 

Band, to be paid out of the Commission's annual budget;

23. Promulgate such regulations and guidelines as deemed appropriate to implement 

the provisions of this ordinance, so long as they are in furtherance of, and not in 

conflict with, any provisions of this ordinance; 

24. Establish lists of persons who have voluntarily agreed to be excluded from the 

Tribal gaming facilities, and who are not allowed to game in the Band’s gaming 

facilities in order to maintain the integrity of the gaming operation;

25. Provide referrals and information to the appropriate law enforcement officials 

when such information indicates a violation of Tribal, Federal or State statutes, 

ordinances, regulations, codes or resolutions; and
February 17, 2022 – Amended 15

Formatted: Header

Formatted: Footer

26. Delegate the above-mentioned powers to the Executive Director, provided that a 

delegation is not disapproved by the Tribal Council pursuant to Article VII, 

Section 4 of this Ordinance.

Section 4. Executive Director

A. The Executive Director shall be responsible for the day-to-day management of the affairs 

of the Commission as well as overseeing the establishment and operation of all gaming 

activities for compliance with all applicable Federal, State and Band gaming laws and 

regulations. In addition, the Executive Director shall perform such duties as may be 

delegated by resolution of the Commission from time to time, except that the Tribal 

Council must, by official action, give its advance consent to a delegation of duties to the 

Executive Director.

1. The Executive Director shall be hired by the Commission on an at-will basis and 

shall report directly to the Commission, unless directed otherwise by the Tribal 

Council. The Executive Director may be terminated for cause by majority vote of 

the Commission or the Tribal Council. Under no circumstances may the 

Executive Director also serve as a Commissioner.

2. The Executive Director shall be compensated at a level determined by the Tribal 

Council. In order to ensure the Commission is not improperly influenced, the 

Executive Director’s compensation shall not be based on a percentage of gaming 

revenue.

Section 5. Budget

At least ninety (90) days prior to the end of each fiscal year, the Commission shall prepare a 

budget for the next year's operation and shall submit the budget to the Tribal Council. In 

preparing the annual budget, all actual and anticipated surplus funds of the Commission shall be 

taken into account. The Tribal Council shall adopt, amend or replace the annual budget based 

thereon, and shall authorize the transfer of funds to the Commission of as needed for 

Commission operation and program purposes. Expenditures by the Commission shall be in 

accordance with the approved annual budget, except that the Commission may deviate from the 

terms of the adopted budget by a margin of not more than ten percent (10%) during the budget 

year without further approval of the Tribal Council.

Section 6. Notice

Before adopting, amending and repealing regulations, the Commission shall give no less than 

thirty (30) day notice of any such proposed action to the Tribal Council, the gaming operation(s) 

and all other persons whom the Commission has reason to believe have a legitimate interest in 

the proposed action. The notice shall invite comments and describe the general nature of the 

proposed action and the manner in which comments on the proposed action shall be received by 

the Commission.
February 17, 2022 – Amended 16

Formatted: Header

Formatted: Footer

Section 7. Confidentiality

The Commission shall ensure that all records and information obtained as a result of an 

employee background investigation, including but not limited to, the identity of each person 

interviewed in the course of an investigation, shall remain confidential and shall not be 

disclosed to any persons who are not directly involved in the licensing and employment 

processes. Information obtained during the course of an employee background investigation 

shall be disclosed to members of management, human resource personnel and/or others 

employed by the Tribal gaming operation on a need-to-know basis, for actions taken in their 

official capacities. The confidentiality requirements of this paragraph, do not apply to requests 

for such records or information from any Tribal, Federal or State law enforcement or regulatory 

agency, or for the use of such records or information by the Commission and staff in the 

performance of their official duties.

Section 8. Conduct of Commission Meetings

A. A majority of the Commission shall constitute a quorum. The concurrence of a majority 

of the Commissioners shall be required for any final determination by the Commission. 

The Commission may act in its official capacity, even if there are vacancies on the 

Commission.

B. The Commission shall keep a written record of all its meetings. Commission meeting 

minutes must include attendance and be made available to the Tribal Council. 

C. The Commission shall hold no less than one meeting in each thirty-day period. Special 

meetings of the Commission may be called at the request of the Executive Director or 

by any Commissioner.

ARTICLE VI: AUDIT 

Section l. Annual Audit

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

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

conducted by an independent certified public accountant, in accordance3 with the auditing 

andaccordance with generally accepted auditing and accounting standards. The annual audit shall 

be made available for review, upon request, to the Tribal Council. Copies of the annual audit of 

each licensed gaming operation, and each audit for supplies, services or concessions of each 

gaming operation, shall be furnished to the NIGC within 120 days after the end of each fiscal 

year of the gaming operation. 

accounting standards for audits of casinos of the American Institute of Certified Public 

Accountants.

Section 2. Gaming Contracts

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

concessions in excesswith a value of twenty-five thousand dollars ($25,000.00) or more

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt,

Underline, Font color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt,

Underline, Font color: Auto
February 17, 2022 – Amended 17

Formatted: Header

Formatted: Footer

annually, except contracts for professional legal and accounting services, shall be specifically 

included within the scope of the audit that is described in Section 1 of this Article.

ARTICLE VII: FACILITY LICENSES

A. The Commission shall issue a gaming facility license to each place, facility or location on 

Indian lands where class II and/or class III gaming is conducted under this ordinance.

B. The Commission shall identify the environmental, health and public safety standards 

with which the place, facility or location must comply, and specify the form, conditions 

and content of a facility license application. The application shall include a legal 

description of the lands upon which the facility is located, and a certification that the 

site constitutes “Indian lands,” as defined in IGRA, the NIGC’s regulations, the NIGC 

Office of General Counsel and DOI Solicitor Offices’ Indian lands legal opinions, 

judicial decisions and any other applicable law.

C. The Commission shall only issue a facility license if the application includes the 

required information and documentation, and sufficiently satisfies any additional 

conditions deemed necessary by the Band.

D. The Commission shall submit to the NIGC Chair a notice that issuance of a facility 

license is under consideration by the Commission. This notice must be submitted at least 

120 days before the opening of any new place, facility or location on Indian lands where 

class II and/or class III gaming will occur.

E. The Commission shall submit a copy of each newly issued or renewed facility license to 

the NIGC Chair within 30 days of issuance, along with any other required 

documentation.

F. The Band shall notify the NIGC Chair within 30 days if a facility license is 

terminated or expires, or if a gaming place, facility, or location closes or 

reopens.

ARTICLE VIII: PROTECTION OF THE ENVIRONMENT, 

PUBLIC HEALTH AND SAFETY

Class II

Section 1. Environment, Public Health and class IIISafety

Each gaming facilitiesfacility shall be constructed, maintained and operated in a manner that 

adequately protects the environment and the public health and safety of the public. The Tribal 

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

are consistent with its obligations under the Compact.

Formatted: Font: Times New Roman, 12 pt, Font color:

Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: Times New Roman, 12 pt, Underline, Font

color: Auto
February 17, 2022 – Amended 18

Formatted: Header

Formatted: Footer

ARTICLE VIII: MINIMUMIX: SPECIFIC AGE REQUIREMENTS FOR CLASS II 

AND CLASS III GAMING 

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

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

class 111III gaming activities are being conducted and in which alcoholic beverages may be 

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

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

class II or class HIIII gaming activities are being conducted unless the person is en-route to a 

non-gaming area of the gaming facility.

ARTICLE IXX: FIREARMS CONTROL 

Possession of firearms shall be prohibited at all times in class II and class 111III gaming 

facilities operated under this Ordinance, 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.

ARTICLE XXI: LICENSES 

Section 1. License Requirements

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

A. All employeesTier 1 Employees and Tier 2 Employees, including key employees and 

primary management officialsKey Employees and Primary Management Officials, 

employed at any class II or class III gaming enterprise operated under this Ordinance;

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

Compact;

C. Persons extending financing, directly or indirectly, to the Band's gaming facility or 

gaming operations; and

D. Each place, facility, or location where class II or class InIII gaming is conducted under 

this Ordinance. 

Section 2. Employee License Tiers

The Commission or its agents shall recognize and license the following tiers of employees, as 

applicable:

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto, French (France)

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto, French (France)

Formatted: French (France)

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto, French (France)

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt,

Underline, Font color: Auto, French (France)

Formatted: French (France)

Formatted: Indent: Hanging: 0.25"

Formatted: Indent: Left: 0.25", Hanging: 0.25"

Formatted: Indent: Hanging: 0.25"

Formatted: Indent: Left: 0.25", Hanging: 0.25"

Formatted: Indent: Hanging: 0.25"

Formatted: Indent: Left: 0.25", Hanging: 0.25"

Formatted: Indent: Hanging: 0.25"

Formatted: Font: Times New Roman, 12 pt, Font color:

Auto
February 17, 2022 – Amended 19

Formatted: Header

Formatted: Footer

A. Tier 1 Employee: a Tier 1 Employee License is required for all Gaming Employees, 

including Primary Management Officials and Key Employees, who:

1. operate, maintain, repair, or assist in any class III gaming activity, or who are in 

any way responsible for supervising such gaming activities or persons who 

conduct, operate, account for, or supervise any such gaming activity; 

2. are in a category under federal or tribal gaming law requiring licensing, or

3. are an employee of the Commission with access to confidential information.

B. Tier 2 Employee: a Tier 2 Employee License is required for all Gaming Employees not 

required to obtain a Tier 1 Employee License, including all persons whose employment 

duties require or authorize access to areas of the Gaming Facility that are not open to the 

public. Examples of employees that would qualify for a Tier 2 Employee License include 

but are not limited to security, food, beverage, and kitchen staff that work within a 

Gaming Facility, as well as other persons whose employment duties require or authorize 

access to areas of a Gaming Facility in which any activities related to Gaming Activities 

are conducted but that are not open to the public.

Tier 3 Employee: the Commission shall not license this category of employees, which 

includes any person employed by a tribally-owned enterprise that does not otherwise 

qualify as a Gaming Employee and any employee of a tribally-owned enterprise that does 

not require or authorize access to non-public areas of a Gaming Facility as part of that 

employee’s job duties. Tier 3 Employees will be subject to criminal background checks 

in accordance with Tribal law.

Section 3. Background Investigations

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

sufficient to make a determination under Section 35 of this Article. 

B. The Commission is responsible for conducting the background investigations of Primary 

Management Officials and Key Employees. The background investigation shall include a 

check of criminal history records information maintained by the Federal Bureau of 

Investigations.

C. The Commission and its agents are authorized to receive state summary criminal history 

information, as defined in Subsection 11105(a) of the California penal Code, or a copy 

thereof, maintained under a person's name by the California Department of Justice and 

shall not knowingly furnish such records or information to a person who is not authorized 

to receive the record or information. In conducting a background investigation, the 

Commission or its agent shall keep confidential the identity of each person interviewed in 

the course of the investigation.

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt,

Underline, Font color: Auto

Formatted: List Paragraph, Space Before: 12 pt, After: 12

pt, Numbered + Level: 1 + Numbering Style: A, B, C, ... +

Start at: 1 + Alignment: Left + Aligned at: 0.25" + Indent

at: 0.5"
February 17, 2022 – Amended 20

Formatted: Header

Formatted: Footer

D. Section 3. When a Primary Management Official or Key Employee is employed by 

the Band, a complete application file, containing all of the information required for a 

license application, shall be maintained.

Section 4. Eligibility Determination

A. The Commission shall reviewBefore a Tier 1 Employee License is issued, an 

applicant'sauthorized Tribal official shall make a finding concerning the eligibility of that 

person for receiving a gaming license by reviewing the applicant’s prior activities, 

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

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

Commission is satisfied the applicant is a person of good character, honesty and integrity. 

The Commission shall not license a person if the Commission.

B. If the authorized Tribal official, in applying the standards adopted in this ordinance,

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

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

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

carrying on, he or she shall not license that person in a Key Employee or Primary 

Management Official position.

C. Copies of business and financial arrangements incidental thereto; or will undermine 

public trust that tribal gaming is free from criminal and dishonest elements and wouldthe 

eligibility determination shall be conducted honestlyincluded with the notice of results 

that must be submitted to the NIGC before the licensing of a Primary Management 

Official or Key Employee.

Section 4. Section 5. Periodic Review

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

(2) years after issuance.

Section 5. 6. Reporting

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

application sapplications, background investigation reports and related information to the NIGC 

and the State Gaming Agency and notify the NIGC and the State Gaming Agency of its decisions 

to deny, issue, suspend, or revoke licenses.

Section 6. 7. Records Retention

A. The Tribal Gaming Commission shall retain, for no less than three years from the date a 

Primary Management Official or Key Employee is terminated from employment with the 

Band, the following documentation:

1. Application for licensing;

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt,

Underline, Font color: Auto

Formatted: Indent: Left: 0.25", Hanging: 0.25", Space

Before: 14 pt, Line spacing: Exactly 14.05 pt, Outline

numbered + Level: 1 + Numbering Style: A, B, C, ... + Start

at: 1 + Alignment: Left + Aligned at: 0" + Tab after: 0.25"

+ Indent at: 0", Font Alignment: Baseline, Tab stops: 0.5",

Left + Not at 0.25"

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt,

Underline, Font color: Auto

Formatted: Underline

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt,

Underline, Font color: Auto

Formatted: Font: Times New Roman, 12 pt, Font color:

Auto
February 17, 2022 – Amended 21

Formatted: Header

Formatted: Footer

2. Investigative Reports; and 

3. Eligibility Determinations.

Section 8. Additional Requirements

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

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

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

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

Compact.

ARTICLE XIXII: MINIMUM CONTROL STANDARDS 

Section 1. Applicable Standards. 

The Paskenta Band of Nomlaki Indians Gaming Commission shall comply with 25 CFR Part 542 

(“MICS”) by formally adoptingadopt and makingmake applicable to the Tribe’sBand’s gaming 

operation internal control standards that:

i.A. Provide a level of control that equals or exceeds those set forth in 25 CFR Part 

542 and 25 CFR Part 547, as published or as revised by mutual agreement 

between the National Indian Gaming Commission (“NIGC”) and the Paskenta 

Band of Nomlaki Indians; and

ii.B. Contain standards for currency transaction reporting that comply that equals or 

exceeds those contained in with 31 CFR Part 103; and

iii.C. Establish internal control standards for Classclass II and Classclass III games that 

are not addressed in the MICS, if any.

Section 2. Annual CPA Testing of Compliance. 

In order to verify that the gaming operation is in compliance with the internal control standards 

adopted pursuant to Paragraph 1section 1 of this article, an independent certified public 

accountant (“CPA”) shall be engaged annually to perform “Agreed-Upon Procedures” in the 

manner provided in 25 CFR §542.3(f).”.

Section 3. Compliance. 

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt,

Underline, Font color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: Times New Roman, 12 pt, Font color:

Formatted: Bullets and Numbering

Formatted: Bullets and Numbering

Formatted: Bullets and Numbering

Formatted: Font: Times New Roman, 12 pt, Font color:

Auto

Formatted: Font: Times New Roman, 12 pt, Font color:

Auto
February 17, 2022 – Amended 22

Formatted: Header

Formatted: Footer

The Tribal gaming regulatory authority and the NIGCCommission shall monitor and enforce 

compliance with the internal control standards adopted pursuant to Paragraphsection 1 in the 

manner provided for in 25 CFR §542.3(g).of this article. In addition, the NIGCCommission

shall, for purposes of enforcing compliance with the internal control standards, have authority to:

a.A. Monitor all Classclass II and Classclass III gaming on a continuing basis;

b.B. Inspect and examine all premises on which Classclass II or Classclass III gaming 

is conducted; and

c.C. Demand access to and inspect, examine, photocopy, and audit all papers, books, 

and records respecting gross revenues of all Classclass II and Classclass III gaming or 

any other matters necessary to ensure and enforce compliance with the MICS.

Section 4. Enforcement. 

Any failure to adopt internal control standards pursuant to Paragraph 1section1, to perform 

Agreed-Upon Procedures pursuant to Paragraphsection 2, to prevent or obstruct the exercise of 

any of the NIGC’sCommission’s authority under Paragraphsection 3 or to comply with the 

internal control standards once adopted is a violation of this Ordinance. The Chairman of the 

NICGCommission shall have the authority to remedy violations of this Ordinance under 25 USC 

§2713 and its implementing regulations, and the Tribe shall have all rights and remedies 

thereunderarticle.

ARTICLE XII: ENFORCEMENTXIII: RESOLUTION OF PATRON GAMING

DISPUTES 

The Tribal Council Commission shall promulgate regulations authorizinggoverning the 

Commission or other agentresolution of patron gaming disputes over the Band to investigate 

rep9orted violationsplay or operation of this Ordinance, other tribal gaming ordinances orany 

game, including refusal to pay to any patron any alleged winnings from any Gaming activities. 

Such regulations, IGRA or must meet the minimum standards set forth in the Compact and to 

impose fines or other sanctions within the Band's jurisdiction against persons who interfere 

with the Band's obligations under this Ordinance, other tribal gaming ordinances or regulations, 

IGRA or the Compact, if any.

ARTICLE XIII: RESOLUTION OF PATRON DISPUTES

Patrons of the Band's class II and class III gaming facilities who have complaints against the 

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

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

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

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

Formatted: Bullets and Numbering

Formatted: Bullets and Numbering

Formatted: Bullets and Numbering

Formatted: Font: Times New Roman, 12 pt, Font color:

Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font color: Black

Formatted: Right: 0.1", Space After: 14.15 pt, Line

spacing: Exactly 14.05 pt, Font Alignment: Baseline

Formatted: Font color: Black

Formatted: Font color: Black

Formatted: Font color: Black

Formatted: Font color: Black

Formatted: Font color: Black

Formatted: Font color: Black

Formatted: Font color: Black

Formatted: Font color: Black

Formatted: Font color: Black
February 17, 2022 – Amended 23

Formatted: Header

Formatted: Footer

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

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

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

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

ARTICLE XIV: SERVICE OF PROCESS 

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

determination, order, or notice of violation.

ARTICLE XV: COMPLIANCE WITH FEDERAL LAW

The Band shall comply with all applicable federal laws, including the Bank Secrecy Act, 31 

U.S.C. § 5311 et seq.

ARTICLE XVI: REPEAL 

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

hereby repealed.

ARTICLE XVIXVII: SEVERABILITY 

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

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

shall continue in full force and effect.

ARTICLE XVIIXVIII: AMENDMENT OF ORDINANCE 

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

ARTICLE XVIII: EFFECTIVE DATEXIX: MISCELLANEOUS 

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

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

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

PASKENTA BAND OF NOMLAKI INDIANS OF CALIFORNIA

GAMING REGULATION 00419B

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font: Times New Roman, 12 pt, Font color:

Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Heading 1

Formatted: Highlight
February 17, 2022 – Amended 24

Formatted: Header

Formatted: Footer

Section 1. Amendments. 

This ordinance may be amended by a majority vote of the Tribal Council at a duly scheduled 

meeting with a quorum present, consistent with the Tribal Constitution.

Section 2. Savings Clause. 

If any provision of this ordinance is found to be contrary to any tribal or federal law by a court of 

competent jurisdiction, only that provision shall be stricken and all other provisions of this 

ordinance shall remain in effect.

ARTICLE XX: LICENSING AND BACKGROUP INVESTIGATION PROCEDURES

Section 1. Purpose

This Licensing and Background Investigation Procedures

I. Purpose

This Regulation (“Regulation”) describes the procedures to be followed by the Paskenta Gaming 

Commission (the "Commission") when conducting background investigations and issuing 

licenses in connection with any class II or class III gaming facilities operated on the Paskenta 

Reservation pursuant to the Band's Gaming Ordinance.

II. Section 2. Incorporation by Reference

This Regulation supplements the provisions of the Band's Gaming Ordinance, the Indian Gaming 

Regulatory Act (25U25 U.S.C. § 2701 et seq.) and its regulations (25 C.F.R. § 500 et seq.) 

("IGRA"), and the gaming compact between the Band and the State of California (the 

"Compact"), which are incorporated herein. In the event of a conflict or inconsistency between 

this Regulation and the provisions of the Gaming Ordinance, IGRA or the Compact, the 

provisions of the Gaming Ordinance or the Compact prevail to the extent of the conflict or 

inconsistency. Unless specified otherwise, terms used herein shall have the same meaning as in 

the Gaming Ordinance or the Compact.

III. Section 3. Scope

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

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

investigation of those persons listed in subparagraphs A — C below:

A. A. All employeesGaming Employees, including key employeesKey 

Employees and primary management officialsPrimary Management Officials, 

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

Ordinance;

Formatted: Font: Not Bold

Formatted: Indent: First line: 0"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Indent: First line: 0"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Underline

Formatted: Indent: First line: 0"
February 17, 2022 – Amended 25

Formatted: Header

Formatted: Footer

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

Compact;

C. Persons extending financing, directly or indirectly, to the Band's gaming facility 

or gaming operations; and

D. Each place, facility, or location where class II or class III gaming is conducted 

under this Ordinance.

IV. Powers and Responsibilities

The Commission has the following powers and responsibilities:

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

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

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

maintained under a license 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;

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

Gaining Ordinance;

D. To review and approve the investigative work done;

E. To obtain and process fingerprints, directly or through its agents;

F. To forward license applications and the results of the background investigations 

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

Agency, to the extent required by IGRA and the Compact.

G. To make eligibility determinations in accordance with Section DC of this 

Regulation;

H. To issue, deny, suspend, revoke and renew licenses in accordance with the 

provisions of this Regulation; and

I. 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 

Band's jurisdiction, for a period of three (3) years from the date on which the 

license expired or was revoked or denied.

V. 4. Scope of Investigations

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto
February 17, 2022 – Amended 26

Formatted: Header

Formatted: Footer

TheFor all persons seeking a Tier 1 Employee License or a Tier 2 Employee License, the

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

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

standard set forth in Section IX of this Regulation. The information submitted by an applicant for 

a Tier 1 or Tier 2 Employee License may be verified by written or oral communication. The 

disposition of all potential problem areas noted and disqualifying information obtained shall be 

documented by the Commission.The

A. For all persons seeking a Tier 1 Employee License, the minimum procedures for 

conducting background investigations on applicants for licenses are as follows:

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

Bureau of Investigations and the California Department of Justice;

2. Based on the results of the criminal history records check, as well as information 

acquired from an applicant’s self-reporting or from any other source, obtain 

information from the appropriate court regarding any past felony and/or 

misdemeanor convictions or ongoing prosecutions within the past 10 years;

3. Civil history check;

4. Financial and credit check;

5. Reference check;

6. Previous business and employment check;

7. Relative check;

8. Business and personal associates check;

9. A. Fingerprint check; 

10. Educational verification;

11. Inquire into any previous or existing business relationships with the gaming 

industry, including with any tribes with gaming operations, by contacting the 

entities or tribes;

12. Verify the applicant’s history and current status with any licensing agency by 

contacting the agency; and

13. Take other appropriate steps to verify the accuracy of the information, focusing 

on any problem areas noted.

B. For all persons seeking a Tier 2 Employee License, the minimum procedures for 

conducting background investigations are as follows:

Formatted: List Paragraph, Indent: Left: 0.31", Hanging:

0.44", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: A, B, C, ... + Start at: 1 + Alignment:

Left + Aligned at: 0.25" + Indent at: 0.5", Tab stops:

0.94", Left

Formatted: List Paragraph, Indent: Left: 0.69", Hanging:

0.31", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment:

Left + Aligned at: 1.25" + Indent at: 1.5"

Formatted: List Paragraph, Indent: Left: 0.69", Hanging:

0.31", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment:

Left + Aligned at: 1.25" + Indent at: 1.5"
February 17, 2022 – Amended 27

Formatted: Header

Formatted: Footer

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

Bureau of Investigations and the California Department of Justice;

1. B. Civil history check;

1. C. Financial and credit check;

2. D. Reference check;

3. E. Previous business and employmentEmployment check; and

1. F. Relative check;

1. G. Business and personal associates check;

4. H. Fingerprint check; and.

I. Educational verification.

C. The above information submitted by the applicant may be verified by written or oral 

communication. When a Primary Management Official or Key Employee is employed 

by the Band, a complete application file, containing all of the information listed in 

Section XII, shall be maintained.

D. The Commission, and its investigators, shall keep confidential the identity of each 

person interviewed in the course of conducting a background investigation.

Formatted: List Paragraph, Indent: Left: 0.69", Hanging:

0.31", Numbered + Level: 1 + Numbering Style: 1, 2, 3, ... +

Start at: 1 + Alignment: Left + Aligned at: 0.5" + Indent at:

0.75"

Formatted: List Paragraph, Indent: Left: 0.69", Hanging:

0.31"

Formatted: List Paragraph, Indent: Left: 0.69", Hanging:

0.31", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment:

Left + Aligned at: 1.25" + Indent at: 1.5"

Formatted: List Paragraph, Indent: Left: 0.69", Hanging:

0.31", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment:

Left + Aligned at: 1.25" + Indent at: 1.5"

Formatted: List Paragraph, Indent: Left: 0.69", Hanging:

0.31", Numbered + Level: 1 + Numbering Style: 1, 2, 3, ... +

Start at: 1 + Alignment: Left + Aligned at: 0.5" + Indent at:

0.75"

Formatted: List Paragraph, Indent: Left: 0.69", Hanging:

0.31", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment:

Left + Aligned at: 0.5" + Indent at: 0.75"

Formatted: List Paragraph, Indent: Left: 0.69", Hanging:

0.31", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment:

Left + Aligned at: 1.25" + Indent at: 1.5"

Formatted: List Paragraph, Indent: Left: 0.69", Hanging:

0.31", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment:

Left + Aligned at: 1.25" + Indent at: 1.5"

Formatted: List Paragraph, Indent: Left: 0.69", Hanging:

0.31", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment:

Left + Aligned at: 0.5" + Indent at: 0.75"
February 17, 2022 – Amended 28

Formatted: Header

Formatted: Footer

Section 5. The disposition of all potential problem areas noted and disqualifying 

information obtained shall be documented by the Commission.

VI. Cooperation

The Commission shall cooperate with the State Gaming Agency in sharing as much background 

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

minimize investigative costs.

VII. Section 6. Fingerprinting

The Commission shall be deemed to be the Band's law enforcement agency for the purpose of 

taking fingerprints and conducting criminal history checks under this Regulation. The 

Commission may elect to process fingerprint cards directly on behalf of the Band or to process 

fingerprint cards through the State Gaming Agency or the NIGC 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.

VIII. Section 7. Confidentiality

The identity of third parties interview during the course of background investigations shall be 

kept confidential.

IX. Section 8. Eligibility Determinations

The Commission shall review an applicant's prior activities, criminal record, if any, and 

reputation habits and associations to make a finding concerning an applicant's eligibility for a 

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

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

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

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

illegal practices and methods and activities in the conduct of gaining or the carrying on of 

business and financial arrangements incidental thereto; or will undermine public trust that tribal 

gaming is free from criminal and dishonest elements and would be conducted honestly. The 

Commission may, after consultation between the Executive Director and Commissioners, license 

a person previously convicted of a crime if the Commission determines that the individual’s past 

criminal conduct does not violate the standards of character set forth in the preceding sentence. 

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

into consideration any of the following circumstances:

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

information or omitted relevant information on the application, or otherwise 

misrepresented or failed to disclose a material fact to the Commission;

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Indent: First line: 0", Space Before: 12 pt,

After: 12 pt

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Indent: First line: 0"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Indent: First line: 0"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Indent: First line: 0.5"

Formatted: Indent: Left: 0.5", Hanging: 0.5"
February 17, 2022 – Amended 29

Formatted: Header

Formatted: Footer

B. If 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;

C. If association with or employment of this applicant mates or enhances the dangers 

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

gaming or the carrying on of the business and financial arrangements incidental 

thereto;

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

requirements, conditions, limitations, or duties imposed by any provision of the 

Compact or Gaming Ordinance, or possessed knowledge that such violation has 

occurred upon any premises occupied or operated by any such person or over 

which he or she has/had substantial control;

E. If the applicant knowingly caused, aided, abetted, or conspired with another to 

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

the Compact or the Gaming Ordinance;

F. If the applicant has ever obtained a license by fraud, misrepresentation, 

concealment, or through inadvertence or mistake;

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

plead guilty to forgery, larceny, extortion, conspiracy to defraud, willful failure to 

make required payment or reports to any Tribal, State, or U.S. Government 

agency at any level, or filed false reports therewith, or of any similar offense(s), 

or of bribing or otherwise unlawfully influencing a public official or employee of 

a Tribe, a State, or the U.S. Government, or of any felony or misdemeanor 

involving any gaming activity physical harm to individuals or moral turpitude;

H. If the applicant is subject to current prosecution or pending charges, or a 

conviction under appeal for any of the offenses listed above. Upon request of the 

applicant, the Commission may defer decision on the application pending the 

results of such prosecution or appeal;

I. If the applicant has demonstrated a willful disregard for compliance with a 

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

issued by any State, Tribe or foreign gaming regulatory agency suspended, 

revoked or denied; or

J. If the applicant has failed to provide any information requested by the 

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

X. Section 9. Privacy Notice

Formatted: Indent: Left: 0.5", Hanging: 0.5"

Formatted: Indent: Left: 0.5"

Formatted: Indent: Left: 0", First line: 0"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto
February 17, 2022 – Amended 30

Formatted: Header

Formatted: Footer

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.SC. § 

2701 et seq. The purpose of the requested information is to determine the 

eligibility of individuals to be employed in or do business withgranted a gaming 

operationlicense. The information will be used by the Paskenta Gaming 

Commission, the State Gaming Agency, and the National Indian Gaming 

Commission members and staff who have need fixfor the information in the 

performance of their official duties. The information may be disclosed by the 

Band or the National Indian Gaming Commission to appropriate Federal, Tribal, 

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

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

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

Commission in connection with the hiring or firing of an employee; the issuance, 

denial, or revocation of a gaming license, or investigations of activities while 

associated with a tribe or a gaming operation. Failure to consent to the 

disclosures indicated in this notice will result in 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 to supply a SSN may result in errors in processing 

your application.tribe being unable to hire you for a Primary Management 

Official or Key Employee position.. 

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

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

statements; or

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

described hiin that notice.

XI. Section 10. Notice Regarding False Statements

A. The following additional 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 application 

form for a Key Employee or a Primary Management Official before that formit is 

filled out by an applicant.

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

revocation of a licensedlicense. Also, you may be punished by fine or 

imprisonment.

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

Formatted: Indent: Left: 1"

Formatted: Indent: Left: 1"

Formatted: Indent: Left: 0.75", Hanging: 0.25"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Expanded by 0.05 pt

Formatted: Expanded by 0.05 pt

Formatted: Expanded by 0.05 pt

Formatted: Expanded by 0.05 pt

Formatted: Expanded by 0.05 pt

Formatted: List Paragraph, Right: 0.1", Space Before: 12

pt, After: 12 pt, Numbered + Level: 1 + Numbering Style: A,

B, C, ... + Start at: 1 + Alignment: Left + Aligned at: 0.5" +

Indent at: 1", Font Alignment: Baseline, Tab stops: 1.2",

Formatted: Expanded by 0.05 pt
February 17, 2022 – Amended 31

Formatted: Header

Formatted: Footer

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

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

statements; or

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

XII. Section 11. Required Information -– General

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

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

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

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

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

addresses, and driver’s license numbers;

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

including one (1) personal reference who was acquainted with the applicant 

during each period of residence listed under paragraph (1) (b) of this Section;

D. D. Current business and residence telephone numbers, and all cell phone 

numbers;

E. A description of any existing and previous business relationships with Indian 

tribes, including ownership interests in those businesses;

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

industry generally, including ownership interests in those business;

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

person has filed an application for a license or permit related to gaming, whether 

or not such license or permit was granted;

H. For each felony for which there is an ongoing prosecution or a conviction, the 

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

any,

I. For each misdemeanor conviction or ongoing misdemeanor prosecution 

(excluding minor traffic violations), within ten (10) years of the date of the 

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

disposition;

J. For each criminal charge (excluding minor traffic charges), whether or not there is 

a conviction, if such criminal charge is within ten (10) years of the date of 

application and is not otherwise listed pursuant to paragraph (h) or (i) of this 

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Indent: First line: 0"

Formatted: Indent: Left: 0.5", Hanging: 0.5"

Formatted: List Paragraph, Numbered + Level: 1 +

Numbering Style: A, B, C, ... + Start at: 1 + Alignment: Left +

Aligned at: 0.5" + Indent at: 1"

Formatted: List Paragraph, Indent: Left: 1"

Formatted: List Paragraph, Numbered + Level: 1 +

Numbering Style: A, B, C, ... + Start at: 1 + Alignment: Left +

Aligned at: 0.5" + Indent at: 1"

Formatted: List Paragraph, Numbered + Level: 1 +

Numbering Style: A, B, C, ... + Start at: 1 + Alignment: Left +

Aligned at: 0.5" + Indent at: 1"

Formatted: List Paragraph

Formatted: Indent: Left: 0.5", Hanging: 0.5"

Formatted: Indent: Left: 0.5", Hanging: 0.5"

Formatted: Indent: Left: 0.5", Hanging: 0.5"
February 17, 2022 – Amended 32

Formatted: Header

Formatted: Footer

Section, the criminal charge, the name and address of the court involved and the 

date of disposition;

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

person has filed an application for any occupational license or permit, whether or 

not such license or permit was granted;

L. A current photograph;

M. Any other information the Commission deems relevant; and

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

25 C.F.R. §§ 522.2(h).in accordance with NIGC regulations.

XIII. Section 12. Required Information -– Business Entities

In addition to the information required under Section XII of this Regulation, the 

Commission shall request from an applicant that is a business entity all of the following 

information, provided that two (2) or more business entities having a commonality of the 

characteristics identified in the following subparagraphs A — D, inclusive, may be deemed to be 

a singles business entity:

A. Each of its officers and directors;

B. Each of its principal management employees, including any chief executive 

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

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

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

the corporation, if a corporation;

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

determined does not require a license under Subsection 6.4.6 of the Compact) 

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

entity in connection with any gaming authorized under the Compact, if that 

person or entity provided more than ten percent (10%) of:

1. the start-up capital;

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

3. a combination thereof.

XIV. Report to the NIGC

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto
February 17, 2022 – Amended 33

Formatted: Header

Formatted: Footer

A. When a key employee or primary management official begins work at a gaming 

operation authorized by this Ordinance, the Commission shall forward to the 

NIGC a completed application for employment and conduct the background 

investigation and make the determination referred to in Section IX of this 

Regulation. The commission shall prepare and forward to the NIGC, within sixty 

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

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

NIGC, an investigative report on each background investigation and a copy of the 

eligibility determination made under Section DC of this Regulation. The 

background investigation report shall include all of the following:

1. In order to be a licensed Gaming Resource Supplier, the business must complete a

vendor application and submit to background checks of itself and its principals. 

Principals of a business include those officers, directors, managers, owners, partners, and 

non-institutional stockholders that either own 10% or more of the business’ stock or are 

the 10 largest stockholders, as well as the on-site supervisors or managers designated in 

an agreement with the Tribe, if applicable. 

The Commission shall request the following information from an applicant that is a business 

entity seeking to be licensed as a Gaming Resource Supplier:

A. Name of business, business address, business telephone number(s), federaltax 

identification number (or social security number, if a sole proprietorship), main

office address (if different from business address),any other names used by the

applicant in business, and type of service(s)applicant will provide;

B. Whether the applicant is a partnership, corporation, limited liabilitycompany, sole 

proprietorship or other entity;

C. If the applicant is a corporation, the state of incorporation and the qualification to 

do business in the State of California, if the gaming operation is in a different state 

then the state of incorporation.

D. Trade name, other names ever used and names of any wholly owned subsidiaries

or other businesses owned by the vendor or its principals;

E. General description of the business and its activities;

F. Whether the applicant will be investing in, or loaning money to, the gaming 

operation, and if so, how much;

G. A description of any existing and previous business relationships with thegaming 

industry generally, including ownership interests in those businesses;

H. A list of Indian tribes with which the vendor has an existing or previousbusiness 

relationship, including ownership, financial or management interests in any nongaming activity;
February 17, 2022 – Amended 34

Formatted: Header

Formatted: Footer

I. Names, addresses and telephone numbers of three (3) business referenceswith 

whom the company has regularly done business for the last five (5) years;

J. The name and address of any licensing or regulatory agency with which the

business has filed an application for a license or permit related to gaming, whether

or not such license or permit was granted;

K. If the business has ever had a license revoked for any reason, thecircumstances

involved;

L. A list of lawsuits to which the business has been a defendant, including the name

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

M. A list of the business’ funding sources and any liabilities of $50,000 ormore;

N. A list of the principals of the business, their social security numbers, addresses,

telephone numbers, titles and percentage of ownership in thecompany; and

O. Any further information the Band deems relevant.

Section 13. Investigative Reports

A. The Band shall create and maintain an investigative report for each background 

investigation of a Primary Management Official or Key Employee.

B. Investigative reports shall include all of the following information:

1. Steps taken in conducting a backgroundthe investigation;

2. 2. Results obtained;

3. 3. Conclusions reached; and

4. 4. The basis for those conclusions.

B. Section 14. Report to the NIGC

Before issuing a license to a Primary Management Official or Key Employee, the Tribal Gaming 

Commission shall prepare a notice of results of the applicant’s background investigation to 

submit to the NIGC.

Formatted: Indent: Left: 1", Hanging: 0.45", Space Before:

12 pt, After: 12 pt, Line spacing: Exactly 12.9 pt, Outline

numbered + Level: 1 + Numbering Style: 1, 2, 3, ... + Start

at: 1 + Alignment: Left + Aligned at: 0" + Tab after: 0.25"

+ Indent at: 0", Font Alignment: Baseline, Tab stops: 1.45",

Left + Not at 0.25"

Formatted: Indent: Left: 1", Hanging: 0.45", Space Before:

12 pt, After: 12 pt, Line spacing: Exactly 12.75 pt, Outline

numbered + Level: 1 + Numbering Style: 1, 2, 3, ... + Start

at: 1 + Alignment: Left + Aligned at: 0" + Tab after: 0.25"

+ Indent at: 0", Font Alignment: Baseline, Tab stops: 1.45",

Left + Not at 0.25"

Formatted: Indent: Left: 1", Hanging: 0.45", Space Before:

12 pt, After: 12 pt, Line spacing: Exactly 12.75 pt, Outline

numbered + Level: 1 + Numbering Style: 1, 2, 3, ... + Start

at: 1 + Alignment: Left + Aligned at: 0" + Tab after: 0.25"

+ Indent at: 0", Font Alignment: Baseline, Tab stops: 1.45",

Left + Not at 0.25"

Formatted: Indent: Left: 1", Hanging: 0.45", Space Before:

12 pt, After: 12 pt, Line spacing: Exactly 12.75 pt, Outline

numbered + Level: 1 + Numbering Style: 1, 2, 3, ... + Start

at: 1 + Alignment: Left + Aligned at: 0" + Tab after: 0.25"

+ Indent at: 0", Font Alignment: Baseline, Tab stops: 1.45",

Left + Not at 0.25"
February 17, 2022 – Amended 35

Formatted: Header

Formatted: Footer

A. The notice of results must be submitted to the NIGC no later than 60 days after 

the applicant begins working for the Band.

B. The notice of results shall include the following information:

1. The applicant’s name, date of birth and social security number;

2. The date on which the applicant began, or will begin, working as a Primary 

Management Official or Key Employee;

3. A summary of the information presented in the investigative 

report, including:

a. licenses that have previously been denied;

b. gaming licenses that have been revoked, even if subsequently 

reinstated;

c. every known criminal charge brought against the applicant within 

the last10 years of the date of the application; and

d. every felony offense of which the applicant has been convicted or 

any ongoing prosecution; and

4. A copy of the eligibility determination made in accordance with the 

Ordinance.

C. With respect to key employees and primary management officialsKey Employees 

and Primary Management Officials, if a license is not issued to an applicant, the 

Commission 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 Systems.

D. C. With respect of key employeesKey Employees and primary management 

officialsPrimary Management Officials, the Commission shall retain applications 

for employment and reports (if any) of background investigations for inspection 

by the Chairman of the NIGC or his or her designee for no less than three (3) 

years from the date of termination of employment.

XV. Section 15. Reporting to State Gaming Agency

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

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

Commission shall require the applicant to also file an application with the State 

Gaming Agency, prior to issuance of a license, for a determination of suitability 

for licensure under the California Gambling Control Act.

Formatted: List Paragraph, Indent: Left: 0.5", Hanging:

0.5", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: A, B, C, ... + Start at: 1 + Alignment:

Left + Aligned at: 0.25" + Indent at: 0.5"

Formatted: List Paragraph, Indent: Left: 0.5", Hanging:

0.5", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: A, B, C, ... + Start at: 1 + Alignment:

Left + Aligned at: 0.25" + Indent at: 0.5"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto
February 17, 2022 – Amended 36

Formatted: Header

Formatted: Footer

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

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

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

all of the following:

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

the Commission from the applicant;

2. An original set of fingerprint cards;

3. A current photograph; and

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 Commission.

C. Upon receiving notice of the State Gaming Agency's denial of an application for a 

determination of suitability, the Commission shall promptly notify the Tribal 

Council and, if the Commission objects to the denial, request an opportunity for 

the Band to be heard and diligently exercise its right to a hearing.

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

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

State Gaming Agency with the name, badge identification number, and job 

descriptions of all such employees on a monthly basis, within seven (7) days of 

the end of each month.

XVI. Section 16. Granting a Gaming License

A. Key Employees and All Primary Management Officials. It and Key Employees of the 

gaming operation must have a gaming license issued by the Band.

A. The Commission is responsible for granting and issuing gaming licenses to 

Primary Management Officials and Key Employees. 

B. Key Employees and Primary Management Officials. 

1. Commission may license a Primary Management Official or Key 

Employee applicant after submitting a notice of results of the 

applicant’s background investigation to the NIGC, as required by 

Article XIV.

2. If, within a 30-day period after the NIGC receives a report, the NIGC 

notifies the Commission that it has no objection to the issuance of a 

license pursuant to a license application filed by a key employeeKey 

Employee or a primary management officialPrimary Management Official

Formatted: Normal, Indent: Left: 0.5", Hanging: 0.5", No

bullets or numbering

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto
February 17, 2022 – Amended 37

Formatted: Header

Formatted: Footer

for whom the commission has provided an application and investigative 

report to the NIGC, the Commission anymay issue a license to such 

applicant. 

3. The Commission shall respond to a request for additional information 

from the Chairman of the NIGC concerning a key employeeKey 

Employee or a primary management officialPrimary Management Official

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

until the Chairman of the NIGC receives the additional information. It 

within the 30-day period described above, the NIGC provides the 

Commission with a statement itemizing objections to the issuance of a 

license to a key employee or to a primary management official for whom 

the Commission has provided an application and investigative report to the 

NIGC, the Commission shall reconsider the application„ taking into 

account the objections itemized by NIGC. The Commission shall make the 

final decision whether to issue a license to such applicant.

4. B. The Commission must reconsider a license application for a

Primary Management Official or Key Employee if it receives a statement 

of itemized objections to issuing such a license from the NIGC, and those

objections are received within 30 days of the NIGC receiving a notice of

resultsof the applicant’s background investigation.

5. Commission shall take the NIGC’s objections into account twhen

reconsidering a license application.

6. If the Commission has issued a license to a Primary Management Official

or Key Employee before receiving the NIGC’s statement of objections, 

notice and a hearing shall be provided to the licensee, as required by 

Article XXII.

7. The Commission shall notify the NIGC of the issuance of a license to a 

Primary Management Official or Key Employee within 30 days of 

issuance.

8. The Band shall not employ an individual in a Primary Management 

Official or Key Employee position who does not have a license after 

90 days of beginning work at the gaming operation.

9. The Band will make the final decision whether to issue a license to an 

applicant for a Primary Management Official or Key Employee position.

C. All Gaming Employees, Including Primary Management Officials. If an applicant 

has completed a license application to the satisfaction of the 

commissionCommission, and the Commission has conducted a preliminary 

background investigation, the Commission may issue a temporary license and 

impose such conditions thereon as it deems appropriate pending completion of the 

Formatted: List Paragraph, Space Before: 12 pt, After: 12

pt, Numbered + Level: 2 + Numbering Style: 1, 2, 3, ... +

Start at: 1 + Alignment: Left + Aligned at: 1.25" + Indent

at: 1.5"

Formatted: List Paragraph, Indent: Hanging: 0.5", Space

Before: 12 pt, After: 12 pt, Numbered + Level: 1 +

Numbering Style: A, B, C, ... + Start at: 1 + Alignment: Left +

Aligned at: 0.75" + Indent at: 1"
February 17, 2022 – Amended 38

Formatted: Header

Formatted: Footer

licensing process, provided that the Commission has no information suggesting 

the applicant would either be automatically disqualified from obtaining a license 

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

license. A temporary tribal gaming license shall remain in effect until suspended 

or revoked, or a final determination is made on the application by the 

Commission, or for a period of up to one (1) year, whichever comes first. The 

Commission may issue a regular license to a person who meets the eligibility 

standards set out in Section IXVIII of this Regulation 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 Commission shall revoke 

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

except that the Commission shall have discretion to renew a license if the person 

is an enrolled member of the Band or has been continuously employed by the 

Band for at least three (3) years prior to the effective date of the Compact and also 

meets the following criteria:

1. 1. The person holds a valid and current license issued by the 

Commission that must be renewed at least biennially;

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

operation; and

3. 3. 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.

XVII. In addition, the Band may employ or retain in its employ a person whose 

application for a determination of suitability, or for a renewal of such a 

determination, has been denied by the State Gaming Agency, if the person is an 

enrolled member of the Band, and if:

4. The enrolled member of the Band holds a valid and current license issued 

by the Commission that must be renewed at least biennially;

5. The enrolled member of the Band is not an employee or agent of any other 

gaming operation; and

a. The enrolled member was eligible for an exemption under section 

6.4.4, subdivision (d) of the 1999 Compact, was granted a license by 

the Tribal Gaming Agency while the 1999 Compact was in effect, and 

the State Gaming Agency’s denial of the application is based solely 

Formatted: List Paragraph, Space Before: 12 pt, After: 12

pt, Numbered + Level: 2 + Numbering Style: 1, 2, 3, ... +

Start at: 1 + Alignment: Left + Aligned at: 1.25" + Indent

at: 1.5"

Formatted: List Paragraph, Space Before: 12 pt, After: 12

pt, Numbered + Level: 2 + Numbering Style: 1, 2, 3, ... +

Start at: 1 + Alignment: Left + Aligned at: 1.25" + Indent

at: 1.5"
February 17, 2022 – Amended 39

Formatted: Header

Formatted: Footer

on activities, conduct, or associations that antedate the Tribal Gaming 

Agency’s first grant of a license to the tribal member pursuant to the 

1999 Compact; or

b. The denial of the application by the State Gaming Agency is based 

solely on activities, conduct, or associations that antedate by at least 

ten (10) years, the filing of the enrolled member of the Band’s initial 

application to the State Gaming Agency for a determination of 

suitability.

Section 17. Limitation

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

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

XVIII. Section 18. Identification Cards

All persons who are required to be licensed pursuant to the Gaming Ordinance shall be required 

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

identification badges issued by the Commission. The identification badges must display the 

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

XIXSection 19. Gaming Facility

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

class III gaming is conducted under this Ordinance. The license shall be posted in 

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

B. The Commission shall determine and, if appropriate, certify that eadieach gaming 

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

building and safety code and the Americans with Disabilities Act, 42 U.S.C. § 

12101 et seq. Based an inspection by qualified building and safety experts.

C. The Commission shall give reasonable notice of each inspection to the State's 

designated agent or agents, who may accompany any such inspection. The 

Commission and the State's designated agent or agents shall exchange any 

inspection reports within ten (10) days after completion of the report and 

simultaneously forward copies of such reports to Band's Chairperson.

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

an inspection that does not meet the standards set out in paragraph B of this 

Section is caroled;.

A. E. If the State's designated agent or agents object to a certification by the 

Band's building and safety code experts that a gaming facility meets the standards 

set out hiin paragraph B of this Section, the Band shall make good faith efforts to 

address the State's concerns, but if the State does not withdraw its objection the 

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Indent: First line: 0"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Indent: First line: 0"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: List Paragraph, Numbered + Level: 1 +

Numbering Style: A, B, C, ... + Start at: 1 + Alignment: Left +

Aligned at: 0.75" + Indent at: 1"
February 17, 2022 – Amended 40

Formatted: Header

Formatted: Footer

matter will be resolved in accordance with the dispute resolution provisions of 

Section 9 of the Compact.

XX. Section 20. Gaming Resource Suppliers

A. Any gaming resource supplier who, directly or indirectly, provides, has provided, 

or is deemed likely to provide t least twenty-five thousand dollars ($25,000.00) in 

gaming resources I any 12-month period, or who has received at least twenty-five 

thousand dollars ($25,000.00) in any consecutive 12-month period with the 24-

month period immediately preceding application, shall be licensed by the 

commission prior to the sale, lease, or distribution, or further sale, lease, or 

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

gaming facilities. The Band shall license any gaming resource supplier prior to 

the sale, lease, or distribution, or further sale, lease, or distribution, of any gaming 

resources to or in connection with the Band's gaming facilities. As the term is 

used herein, the term “gaming resource supplier” means any person or entity who,

directly or indirectly, does, or is deemed likely to, manufacture, distribute, supply,

vend, lease, purvey, or otherwise provide, to the Gaming Operation or Gaming

Facility at least twenty-five thousand dollars ($25,000) in Gaming Resources in 

any twelve (12)-month period, or who, directly or indirectly, receives, or is 

deemed likely to receive, in connection with the gaming operation or Gaming 

Facility, at least twenty-five thousand dollars ($25,000) in any consecutive twelve 

(12)-month period, provided that the Tribal Gaming Agency may exclude a 

purveyor of equipment or furniture that is not specifically designed for, and is 

distributed generally for use other than in connection with, Gaming Activities, if, 

but for the purveyance, the purveyor is not otherwise a Gaming Resource Supplier 

as defined herein, the compensation received by the purveyor is not grossly 

disproportionate to the value of the goods or services provided, and the purveyor 

is not otherwise a person who exercises a significant influence over the Gaming 

Operation.

B. The Commission shall employ or otherwise engage an investigator to

complete an investigation of applicants seeking licensure as a Gaming 

Resource Supplier. This investigation shall include, ata minimum, the

following steps:

1. Verification of the vendor’s business’ incorporation status and

qualifications todo business in the state where the gaming

operation is located;

2. Obtaining a business credit report, if available, and

conducting a Better Business Bureau check on the 

vendor;

3. Conducting a check of the vendor’s business’ credit history;

4. Calling and questioning each of the references listed in the vendor

Formatted: Font: Bold

Formatted: Indent: Left: 0", First line: 0"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto
February 17, 2022 – Amended 41

Formatted: Header

Formatted: Footer

application;and

5. Conducting an investigation of the principals of the vendor’s

business, includingfacilitating a criminal history check, obtaining 

criminal history check results, obtaining a credit report, and

interviewing the personal references listed.

C. The investigator shall complete an investigative report covering each of 

the steps taken in the background investigation of the Gaming Resource 

Supplier and its principals, andpresent it to the Commission.

D. The Band shall not enter into, or continue to make payments pursuant to, any 

contract or agreement for the provision of gaming resources with any person 

whose application to the State Gaming Agency for a determination of suitability 

has been denied or has expired without renewal. 

E. The license and determination of suitability of a Gaming Resource Supplier shall 

be reviewed at least every two (2) years for continuing compliance. In connection

with such a review, the Commission shall require the Gaming Resource Supplier 

to update all information provided in the previous application.

F. Any agreement between the Band and a gaming resource supplierGaming 

Resource Supplier shall be deemed to include a provision for its termination 

without further liability on the part of the Band, except for a bona fide repayment 

of all outstanding SUMSsums (exclusive of interest) owed as oiyof, or payment 

for services or materials received up to, the date of termination, upon revocation 

or non-renewal of the supplier's license by the Commission based on a 

determination of unsuitability by the State Gaming Agency. For purposes of 

licensing such suppliers, “gaming resources” do not include professional 

accounting services, legal services or the supplying of food and beverage to the 

Gaming Facility or to other enterprises owned by the Band.

XXI. Section 21. Financial Sources

A. Any person extending financing, directly or indirectly, to the Band's gaming 

facilities or gaming operationsEach Financial Source shall be licensed by the 

Commission prior to extending that financing, provided that any person who is 

extending financing at the time of the execution of the Compact shall financing in 

connection with the Band’s Gaming Facilities or gaming operations.. 

B. Every Financial Source required to be licensed by the Commission shall, 

contemporaneously with the filing of its tribal license application, apply to the 

State Gaming Agency for a determination of suitability. In the event the State 

Gaming Agency denies or revokes the determination of suitability, the 

Commission shall deny or revoke the Financial Source’s license within ninety 

Formatted: List Paragraph, Indent: Left: 0.5", Hanging:

0.5", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: A, B, C, ... + Start at: 1 + Alignment:

Left + Aligned at: 0.25" + Indent at: 0.5", Don't adjust

space between Latin and Asian text, Don't adjust space

between Asian text and numbers

Formatted: Font color: Black, (none)

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: No underline

Formatted: Font color: Black, (none)

Formatted: Font color: Black

Formatted: Font color: Black, (none)
February 17, 2022 – Amended 42

Formatted: Header

Formatted: Footer

(90thirty (30) days of such execution. receiving notice of denial or revocation from 

the State Gaming Agency.

C. A license issued under this section shall be reviewed at least every two (2) years 

for continuing compliance. In connection with that review, the Commission shall 

require the Financial Source to update all information provided in the Financial 

Source’s previous application. For purposes of this section, that review shall be 

deemed to constitute an application for renewal.

D. Any agreement between the Band and a financial sourceFinancial Source shall be 

deemed to include a provision for its termination without further liability on the 

part of the Band, except for the bona fide repayment of all outstanding sums 

(exclusive of interest) owed as of the date of termination, upon revocation or nonrenewal of the financial source'sFinancial Source's license by the Commission 

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

shall not enter into, or continue to make payments pursuant to, any contract or 

agreement for the provision of financing with any person whose application to the 

State Gaming Agency for a determination of suitability has been denied or has 

expired without renewal. A gaming resource supplier

E. A Gaming Resource Supplier who provides financing exclusively in connection 

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

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

gaming resource suppliers. Gaming Resource Suppliers, and need not be separately 

licensed as a Financial Source under this section.

F. The Commission may elect to license a person or entity as a Financial Source 

without requiring it to apply to the State Gaming Agency for a determination of 

suitability under this section if the Financial Source has already been issued a 

determination of suitability that is then valid. In that case, the Commission shall

immediately notify the State Gaming Agency of its licensure of the person or 

entity as a Financial Source, and shall identify in its notification the State Gaming 

Agency determination of suitability on which the Commission has relied in 

proceeding under this subdivision (F). Subject to the Commission’s compliance

with the requirements of this subdivision, a Financial Source licensed under this 

subdivision may, during and only during the period in which the determination of 

suitability remains valid, engage in financing in connection with the Band’s 

Gaming Activities and operations, without applying to the State Gaming Agency 

for a determination of suitability. The issuance of a license under this subdivision 

is in all cases subject to any later determination by the State Gaming Agency that 

the Financial Source is not suitable or to a tribal gaming license suspension or

revocation pursuant to section 6.5.1, and does not extend the time during which the 

determination of suitability relied on by the Commission is valid. A license issued 

under this subdivision expires upon the revocation or expiration of the 

determination of suitability relied on by the Commission. Nothing in this

subdivision affects the obligations of the Commission, or of the Financial Source

under the Compact.

Formatted: Font color: Black, (none)

Formatted: Font color: Black
February 17, 2022 – Amended 43

Formatted: Header

Formatted: Footer

G. Except where subdivision (F) applies, within twenty-one (21) days of the issuance 

of a license to a Financial Source, the Commission shall transmit to the State 

Gaming Agency a copy of the license and a copy of all tribal license application 

materials and information received by it from the applicant which is not otherwise.

H. Exclusions:

1. The Commission may, at its discretion, exclude from the licensing 

requirements of this section, financing provided by a:

a. A federally regulated or state-regulated bank, savings and loan, or other 

federally- or state-regulated lending institution; or any

b.Any agency of the federal, state, or local government, or any investor who, 

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

outstanding indebtedness evidenced by bonds issued by the Band.;

c.XXII. A real estate investment trust (as defined in 26 U.S.C. § 856(a)) 

which is publicly traded on a stock exchange, registered with the 

Securities and Exchange Commission, and subject to the regulatory 

oversight of the Securities and Exchange Commission; and

d.An entity or category of entities that the State Gaming Agency and the 

Tribal Gaming Agency jointly determine can be excluded from the 

licensing requirements of this section without posing a threat to the public 

interest or the integrity of the Band’s gaming operations.

2. In any case where the Commission elects pursuant to exclude a Financial 

Source from the licensing requirements of this section, the Commission shall 

give no less than thirty (30) days’ notice thereof to the State Gaming Agency, 

and shall give the State Gaming Agency reasonable advance notice of any 

extension of financing by the Financial Source in connection with the Band’s

Gaming Facilities or operations, and upon request of the State Gaming

Agency, shall provide it with sufficient documentation to support the 

Commission’s exclusion of the Financial Source from the licensing 

requirements of this section.

3. The Commission shall work collaboratively with the State Gaming Agency to 

resolve any reasonable concerns regarding the initial or ongoing excludability 

of an individual or entity as a Financial Source. 

Section 22. Denial, Revocation and Suspension of License

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

following:

Formatted: List Paragraph, Space Before: 12 pt, After: 12

pt, Numbered + Level: 3 + Numbering Style: a, b, c, ... +

Start at: 1 + Alignment: Left + Aligned at: 1.38" + Indent

at: 1.5"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: List Paragraph, Indent: Left: 0.5", Hanging:

0.5", Space Before: 12 pt, After: 12 pt, Numbered + Level:

1 + Numbering Style: A, B, C, ... + Start at: 1 + Alignment:

Left + Aligned at: 0.25" + Indent at: 0.5"
February 17, 2022 – Amended 44

Formatted: Header

Formatted: Footer

1. A. Notification by the NIGC, or by any other reliable source, that the licensee 

is not eligible for a license under Section IX of this Regulation;

2. B. Notification by the State Gaming Agency that it intends to deny an 

application for a determination of suitability or a renewal of determination of 

suitability;

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

or omission, violated provisions of the Compact, the Gaming Ordinance, the 

Band's Gaming Regulations, any condition of a Conditional Gaming License, 

or any other Federal, State or Tribal laws or regulations;

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

4. constitutes an immediate threat to the public interest or to the public health, 

safety or welfare;

5. E. The Commission has reason to believe that the licensee is involved in any 

theft, misappropriation, misuse or abuse of Tribal assets;

6. F. The licensee engages in any conduct that brings discredit or embarrassment 

to the Band's gaming operations or the Band, or interferes with the normal 

operation of the Band's gaming facilities;

7. G.The licensee fails to disclose any required information on any State or 

Tribal gaming license application;

8. H.The licensee fails to respond to a request from the Commission within 

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

9. I. The Commission determines that licensing the person poses a threat to the 

effective regulation of gaming;

Formatted: List Paragraph, Indent: Left: 1", Space Before:

12 pt, After: 12 pt, Numbered + Level: 2 + Numbering Style:

1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75"

+ Indent at: 1", Tab stops: 1.44", Left

Formatted: List Paragraph, Indent: Left: 1", Space Before:

12 pt, After: 12 pt, Numbered + Level: 2 + Numbering Style:

1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75"

+ Indent at: 1", Tab stops: 1.44", Left

Formatted: List Paragraph, Indent: Left: 1", Space Before:

12 pt, After: 12 pt, Numbered + Level: 2 + Numbering Style:

1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75"

+ Indent at: 1", Tab stops: 1.44", Left

Formatted: List Paragraph, Indent: Left: 1", Space Before:

12 pt, After: 12 pt, Numbered + Level: 2 + Numbering Style:

1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75"

+ Indent at: 1", Tab stops: 1.44", Left

Formatted: List Paragraph, Indent: Left: 1", Space Before:

12 pt, After: 12 pt, Numbered + Level: 2 + Numbering Style:

1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75"

+ Indent at: 1", Tab stops: 1.44", Left

Formatted: List Paragraph, Indent: Left: 1", Space Before:

12 pt, After: 12 pt, Numbered + Level: 2 + Numbering Style:

1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75"

+ Indent at: 1", Tab stops: 1.44", Left

Formatted: List Paragraph, Indent: Left: 1", Space Before:

12 pt, After: 12 pt, Numbered + Level: 2 + Numbering Style:

1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75"

+ Indent at: 1", Tab stops: 1.44", Left

Formatted: List Paragraph, Indent: Left: 1", Space Before:

12 pt, After: 12 pt, Numbered + Level: 2 + Numbering Style:

1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75"

+ Indent at: 1", Tab stops: 1.44", Left
February 17, 2022 – Amended 45

Formatted: Header

Formatted: Footer

10. The Commission determines that licensing the person creates or enhances the 

dangers of unsuitable, unfair, or illegal practices, methods, and/or activities in 

the conduct of gaming; or

11. The licensee's employment with the Band's gaming operations is terminated, 

voluntarily or involuntarily.

B. XXIII. When the Commission does not issue a license to an applicant for a 

Primary Management Official or Key Employee position, or revokes a previously 

issued licenses after reconsideration, it shall:

1. Notify the NIGC; and

2. Forward copies of its eligibility determination and notice of results of the 

applicant’s background investigation to the NIGC for inclusion in the Indian 

Gaming Individuals Record System

C. If, after a license is issued to a Primary Management Official or a Key Employee, 

the Band receives notice from the NIGC that the Primary Management Official or 

Key Employee is not eligible for employment, the Tribal Gaming Commission 

shall:

1. Immediately suspend the license; 

2. Provide the licensee with written notice of the suspension and proposed 

revocation pursuant to Article XXII; and

3. Provide the licensee with notice of a time and place for a hearing on the 

proposed revocation of the license pursuant to Article XXII.

D. Following a revocation hearing, the Band shall decide whether to revoke or

reinstate the license at issue.

E. The Band shall notify the NIGC of its decision to revoke or reinstate a license 

within forty-five (45) days of receiving notification from the NIGC that a Primary 

Management Official or Key Employee is not eligible for employment.

Section 23. Due Process

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

shall require:

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

notification of the denial, suspension or pending revocation be given to the 

licensee ten (10) days in advance of the proposed action;

Formatted: List Paragraph, Indent: Left: 1", Space Before:

12 pt, After: 12 pt, Numbered + Level: 2 + Numbering Style:

1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75"

+ Indent at: 1", Tab stops: 1.44", Left

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Indent: First line: 0"

Formatted: Indent: Left: 0.5", Hanging: 0.5"
February 17, 2022 – Amended 46

Formatted: Header

Formatted: Footer

B. Such written notification shall include information concerning the licensee's right 

to a hearing, shall specify the date, time and place for the hearing, and shall also 

advise the licensee that failure to appear for a scheduled hearing shall forfeit any 

further right to appeal; 

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

be notified in writing, within three (3) days of the ruling, of the ruling and the 

licensee's right to file a petition with the Commission fora rehearing within fifteen 

(15) days of the receipt of the written notification;

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

the written notification described in the preceding paragraph, the Commission 

shall review any additional information submitted by the licensee with the petition 

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

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

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

continued licensing of the person:

1. falsifiedFalsified a license application;

2. posesPoses an immediate threat to the integrity of the Band's gaming 

operations;

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

4. mayMay violate the Commission's licensing or other standards.

XXIV. Section 24. Duration and Renewal

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

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

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

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

determination of suitability. Any licensee applying for renewal may continue to be employed or 

engaged under the expired license until the Commission takes action on the renewal application. 

Applicants for renewal shall provide updated material as requested by the commission but shall 

not be required to resubmit information already available to the Commission. Additional 

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

criminal history checks are required.

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

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

shall provide verification to the State Gaming Agency that it has reviewed and, if appropriate, 

renewed a gaming facility's license.

Formatted: Indent: Left: 1", Hanging: 0.5"

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Indent: First line: 0"

Formatted: Indent: First line: 0"
February 17, 2022 – Amended 47

Formatted: Header

Formatted: Footer

XXV. Section 25. Fees

The Gaming CommitteeCommission shall establish a fee schedule for licenses and, subject to 

Tribal Council approval, may establish tiers of licensing fees that are applicable to Gaming 

Resource Suppliers. Application fees shall be nonrefundable, regardless of whether or not a 

license is issued. Such fees shall be made payable to the Paskenta Band of Nomlaki Indians of 

California.

CERTIFICATION

We do hereby certify that this Regulation was reviewed and adopted a duly noticed Tribal

Council meeting held on April 19, 2000, by a vote of 5 in favor, 0 opposed and 0 abstaining, 

and that said Regulation has not been amended or rescinded in any way.

_____________________________ ______________________

TribalARTICLE XXI: EFFECTIVE DATE OF ORDINANCE

This ordinance shall become effective upon adoption by a majority vote of the Tribal Council at 

a duly scheduled meeting. Adoption of the ordinance explicitly repeals any and all previously 

enacted Paskenta Gaming Commission Ordinance, previously effective as of December 11, 

2020, and all of its amendments.

THE PASKENTA TRIBAL COUNCIL CERTIFIES THAT A MEETING WAS DULY 

CALLED, NOTICED AND CONVENED ON February 17, 2022 WHERE A QUORUM 

WAS PRESENT AND THIS RESOLUTION WAS ADOPTED BY A

VOTE 3 FOR, 0 AGAINST, and 0 ABSTENTIONS.

__________________________ DATE: February 17, 2022 

Andrew Alejandre, Chairman Date

_____________________________ _______________________

ATTESTED BY:

__________________________ DATE _________________

Keith Ray, Secretary Date

Formatted: Heading 2

Formatted: Font: (Default) Times New Roman, 12 pt, Font

color: Auto

Formatted: Indent: First line: 0"

Formatted: Font: Bold
February 17, 2022 – Amended 48

Formatted: Header

Formatted: Footer