August 27, 2014 

BY FIRST CLASS MAIL 

Mr. Nicholas Fonseca, Chainnan 

Shingle Springs Band of Mi wok Indians 

5168 Honpie Road 

Placerville, CA 95667 

RE: Amended Gaming Ordinance 

Dear Chairman Fonseca: 

This letter responds to your request for the Chairman of the National Indian Gaming 

Commission to review and approve the Shingle Springs Band of Mi wok Indians' (Band) gaming 

ordinance (Ordinance). 

The Ordinance was authorized by Resolution No. 201-03(A) on May 29, 2014, and was 

amended and restated in its entirety. 

Thank you for bringing the amended ordinance to our attention. The Ordinance is 

approved as it is consistent with the requirements of the Indian Gaming Regulatory Act and the 

NIGC's regulations. If you have any questions, please feel free to contact Staff Attorney Heather 

McMillan Nakai at (202) 632-7003. 

Sincerely, 11 / J / ~ . 

lonodev ~ £..--( 

NIGC Chairman (Acting) 

cc: Amy Ann Taylor, General Counsel (ataylor@ssband.org) 

NATIONAL HEADQUARTERS 90 K St. NE, Suite 200, Washington, DC 20002 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.GOV 

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa OK 
SHINGLE SPRINGS BAND OF MIWOK INDIANS 

Shingle Springs Rancheria, (Verona) Tract, California 

5281 Honpie Road, Placerville CA 95667 

P.O. Box 1340, Shingle Springs CA 95682 

(530) 676-8010 Office; (530) 676-8033 Fax 

RESOLUTION 2014-03(A) 

SUBJECT: APPROVAL OF AMENDMENTS TO THE GAMING ORDINANCE. 

WHEREAS, the Shingle Springs Band of Miwok Indians (the "Tribe") is a federally recognized 

Indian tribe eligible for the special programs and services provided by the United States to 

Indians because of their status as Indians and is recognized as possessing powers of selfgovernment; and 

WHEREAS, the Shingle Springs Tribal Council is the duly-elected governing body of the Tribe 

and is authorized to act on behalf of the Tribe; and 

WHEREAS, the Tribe may engage in particular types of gaming on its Rancheria under the 

Indian Gaming Regulatory Act as a means to promote tribal economic development and selfsufficiency and to generally protect the health and welfare of its members (25 U.S.C. §2701 et 

seq.); and 

WHEREAS, the Tribe, through its governmental entity the Shingle Springs Tribal Gaming 

Authority, is currently operating a gaming facility under the Gaming Ordinance ("Ordinance") 

passed by the Tribe in 1996; and 

WHEREAS, the Tribal Council now desires to amend the Ordinance; and 

WHEREAS, the Tribal Council submitted a revised Ordinance to the National Indian Gaming 

Commission ("NIGC") on January 17, 2014; during the review process the NIGC requested that 

the Tribe withdraw the Ordinance from review so that the Tribe could make additional changes 

to the Ordinance; and 

WHEREAS, the Tribal Council has made the NIGC's requested changes and the Tribal Council 

has reviewed the attached revised and amended Ordinance and has determined that it is 

consistent with the Tribe's goals and obligations; and 

WHEREAS, the Tribal Council desires to submit the revised Ordinance to the NIGC for 

approval and publication in the Federal Register. 

Tribal Council Resolution 2014-03(A) - Approval of Amendments to the Gaming Ordinance Page 1 of2 
NOW THEREFORE, BE IT RESOLVED that the Tribal Council hereby approves the 

attached amended "Gaming Ordinance" and authorizes the Chairman or his designee to execute 

any and all documents and agreements necessary as may be required to give effect to the 

transaction, herein contemplated, and to take such other actions as may hereby be necessary and 

appropriate to carry out the obligations thereunder. 

BE IT FURTHER RESOLVED that this resolution will take effect immediately. 

CERTIFICATION 

As a duly-elected official of the Shingle Springs Band of Miwok Indians, I do hereby certify that, 

at a meeting duly called, noticed, and convened on the 29th day of May, 2014 at which time a 

quorum of__:]__ was present, this resolution was duly adopted by a vote of ----12!_ FOR, ...e>--

AGAINST, / ABSTAINED, and said resolution has not been rescinded or amended in any 

for2;j~ 

~ / -1<[~ 5·-·27·17! 

Chairperson Date 

ATTEST: 

Date 

Tribal Council Resolution 2014-03(A)-Approval of Amendments to the Gaming Ordinance Page 2 of2 
SHINGLE SPRINGS BAND OF MIWOK INDIANS 

Shingle Springs Rancheria, (Verona) Tract, California 

5281 Honpie Road, Placerville CA 95667 

P.O. Box 1340, Shingle Springs CA 95682 

(530) 676-8010 Office; (530) 676-8033 Fax 

SHINGLE SPRINGS TRIBAL GAMING ORDINANCE 

GENERAL PROVISIONS 

An ordinance to regulate and provide for the licensing of Class II and Class III gaming on tribal 

lands of the Shingle Springs Band of Mi wok Indians. 

SECTION 1 SHORT TITLE 

This ordinance may be cited as the "Shingle Springs Tribal Gaming Ordinance" 

("Ordinance"). 

SECTION 2 AUTHORIZED GAMING ACTIVITIES 

2.1 Class II Gaming. All forms of Class II gaming as defined in the Indian Gaming 

Regulatory Act (25 U.S.C. 2701 et seq. ("IGRA")), section 2703(7)(A) and 25 

C.F.R. section 502.3 are hereby authorized. 

2.2 Class III Gaming. All forms of Class III gaming as defined in IGRA section 

2703(8) and 25 C.F.R. section 502.4, and permitted under any tribal-state gaming 

compact, and related amendments, with the State of California entered into 

pursuant to section 2710(d) ofIGRA (the "Compact") are hereby authorized. 

SECTION 3 OWNERSHIP OF GAMING 

3 .1 The Tribe shall have the sole proprietary interest in and responsibility for the 

conduct of any gaming activity authorized by this Ordinance. 

(a) On behalf of the Tribe, the Shingle Springs Tribal Gaming Commission 

shall be the sole entity regulating gaming activity authorized by this 

Ordinance, as outlined in its bylaws and in accordance with its internal 

policies and procedures, as approved by the Shingle Springs Tribal 

Council. 

(b) On behalf of the Tribe, the Shingle Springs Tribal Gaming Authority shall 

be the sole entity managing the operation of the gaming activity 

authorized by this Ordinance as outlined in the Gaming Authority 

Ordinance and in accordance with its internal policies and procedures, as 

approved by the Shingle Springs Tribal Gaming Commission. 

Shingle Springs Gaming Ordinance - Approved 5 .29 .14 
SECTION 4 USE OF GAMING REVENUES 

4.1 Net revenues from gaming authorized by this Ordinance shall only be expended 

by the Tribal Council for one or more of the following purposes: 

(a) to fund tribal government operations or programs; 

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

( c) to promote tribal economic development; 

( d) to donate to charitable organizations; or 

( e) to help fund operations of local government agencies. 

4.2 The Tribe shall ensure that per capita payments to tribal members from revenues 

derived from its gaming operations are made only in accordance with a revenue 

allocation plan submitted to and approved by the Secretary of the Interior under 

IGRA section 2710(b)(3), and which complies with the requirements of 25 C.F.R. 

Part 290. 

4.3 The Tribe shall not make payments from revenues derived from its gaming 

operations pursuant to or relating in any way to a contract which the National 

Indian Gaming Commission ("NIGC") has declared void or violative of federal 

law. 

SECTION 5 ANNUAL AUDIT 

5.1 The Tribe shall cause to be conducted, at least annually, an independent audit of 

the books and records of each gaming operation, and shall submit the resulting 

audit reports to the NIGC. 

5 .2 All gaming related contracts resulting in purchases of supplies, services, or 

concessions in excess of $25,000 in any year (except contracts for professional 

legal or accounting services) shall be specifically included within the scope of the 

audit conducted pursuant to this section. 

SECTION 6 ENVIRONMENTAL/PUBLIC HEALTH AND SAFETY PROTECTION 

6.1 In compliance with IGRA section 2710(b)(2)(E), the construction and 

maintenance of any gaming operation, and the operation of all gaming, shall be 

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

health and safety. 

SECTION? LICENSING OF KEY EMPLOYEES AND PRIMARY MANAGEMENT 

OFFICIALS 

7.1 The Tribe, through its regulating entity, the Shingle Springs Tribal Gaming 

Commission, shall ensure the policies and procedures set out in this section are 

Shingle Springs Gaming Ordinance -Approved 5.29.14 
7.2 

implemented with respect to Key Employees and Primary Management Officials 

employed at any facility conducting gaming operations authorized by this 

Ordinance. 

For purposes of this section, the following definitions apply: 

(a) 

(b) 

"Key Employee" means: 

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

a. bingo caller; 

b. counting room supervisor; 

c. chief of security; 

d. custodian of gaming supplies or cash; 

e. floor manager; 

f. pit boss; 

g. dealer; 

h. croupier; 

1. approver of credit; or 

J. custodian of gambling devices including persons with 

access to cash and accounting records within such devices. 

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

compensation exceeds $50,000 per year; or 

(iii) if not otherwise included, the four most highly compensated 

persons in the gaming operation. 

(iv) if not otherwise included, any other person designated by the Tribe 

or the Compact as a Key Employee. 

"Primary Management Official" means: 

(i) the person having management responsibility for a management 

contract; 

(ii) any person who has authority: 

a. to hire and fire employees; or 

b. to set up a working policy for the gaming operation; or 

Shingle Springs Gaming Ordinance - Approved 5 .29 .14 
SECTION 8 

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

management responsibility. 

APPLICATION FOR GAMING LICENSES 

8.1 Each Key Employee and Primary Management Official shall complete an 

application for an initial gaming license or renewal of an existing gaming license 

for each gaming operation on an application form prescribed by the Tribe. 

8.2 The Tribe may also require vendors to the facility to complete an application for 

an initial vendor license or renewal of an existing vendor license for each gaming 

operation on an application form prescribed by the Tribe. 

8.3 An application for a gaming license shall include: 

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

In compliance with the Privacy Act of 1974, the following 

information is provided: Solicitation of the information on 

this form is authorized by 25 U.S.C. 2701 et seq. The 

purpose of the requested information is to determine the 

eligibility of individuals to be granted a gaming license. 

The information will be used by the Tribal gaming 

regulatory authorities and by the National Indian Gaming 

Commission ("NIGC'') members and staff who have need 

for the information in the performance of their official 

duties. The information may be disclosed by the Tribe or 

the NIGC to appropriate Federal, Tribal, State, local, or 

foreign law enforcement and regulatory agencies when 

relevant to civil, criminal or regulatory investigations or 

prosecutions or when pursuant to a requirement by a tribe 

or the National Indian Gaming Commission in connection 

with the 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 license you for a primary management official or key 

employee position. 

The disclosure of your Social Security Number (SSN) is 

voluntary. However, failure to supply a SSN may result in 

errors in processing your application. 

(b) the following notice regarding false statements prescribed in part by 25 

C.F.R. 556.3: 

A false statement on any part of your license application, 

supporting documentation or supplemental information you 

Shingle Springs Gaming Ordinance - Approved 5 .29 .14 
SECTION 9 

provide as part of this application may be grounds for not 

hiring you, denying, suspending or revoking your gaming 

license, or for terminating you after you begin work. Also, 

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

title 18, section 1001). 

BACKGROUND INVESTIGATIONS 

9 .1 The Tribe shall conduct, or cause to be conducted, a background investigation of 

each applicant for a position designated as a Key Employee or Primary 

Management Official sufficient to determine the applicant is eligible to hold a 

gaming license. To reach this determination, the Tribe shall satisfy itself that the 

applicant: 

(a) is not a minor; 

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

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

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

the effective regulation and control of gaming, or create or enhance the 

dangers of unsuitable, unfair, or illegal practices, methods, and activities 

in the conduct or gaming or the carrying on of the business and financial 

arrangements incidental to the conduct of gaming; 

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

omitted material information required under IGRA, NIGC regulations and 

this Ordinance; 

( e) has not had a gaming license revoked for cause in any jurisdiction since 

the effective date of IGRA; 

(t) has not failed to meet any suitability requirements under the Compact; and 

(g) is a person whose background, reputation or associations will not 

adversely impact the Tribe or its gaming operation. 

9 .2 If in making the qualification determination referenced in subsection 9 .1 above 

the Tribe determines that licensing an individual 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 activities in the 

conduct of gaming, the Tribe shall not license that individual as a Key Employee 

or Primary Management Official. 

9.3 In conducting its background investigation, the Tribe shall keep confidential the 

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

9 .4 The Tribe shall request the following background investigation information from 

each Key Employee and Primary Management Official: 

Shingle Springs Gaming Ordinance - Approved 5 .29 .14 
(i) full name, other names used (oral or written), social security 

number(s), birth date, place of birth, citizenship, gender, all 

languages (spoken or written); 

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

positions held, ownership interests in those businesses, business 

and residence addresses and phone numbers, and drivers license 

numbers; 

(iii) the names and current addresses and phone number of at least 5 

personal references, including one personal reference who was 

acquainted with the applicant during each period of residence 

listed under paragraph (ii) of this subsection; 

(iv) current business and residence telephone numbers; 

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

with Indian tribes, including ownership interests in those 

businesses; 

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

with the gaming industry generally, including ownership interests 

in those businesses; 

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

which the person has filed an application for a license or permit 

related to gaming, whether or not such license or permit was 

granted; 

(viii) 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, including any paperwork 

showing the disposition of the charge; 

(ix) for each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations), the name and 

address of the court involved and the date and disposition; 

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

or not there is a conviction, if such criminal charge is not otherwise 

listed pursuant to paragraphs (viii) or (ix) of this subsection, the 

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

the date and disposition; 

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

which the applicant has filed an application for an occupational 

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

granted; 

Shingle Springs Gaming Ordinance - Approved 5 .29 .14 
(xii) a current photograph; 

(xiii) a complete history of the applicant's educational background, 

including the names of any colleges, universities, trade or 

vocational schools, and high schools attended, and include a copy 

of the diploma or G.E.D. if awarded; 

(xiv) a description of the applicant's family, including an explanation of 

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

(xv) any financial statement from the applicant's accountant or other 

financial information specifically requested on the application 

form, for example, income sources, assets owned, insurance 

policies, mortgages, and other information relating to the filing of 

bankruptcy or other obligations; 

(xvi) a description of the applicant's spousal status including, if 

applicable, the existence of any previous marriages; 

(xvii) fingerprints of the applicant to be taken for a criminal history 

check. A criminal history check will include a check of criminal 

history records information maintained by the Federal Bureau of 

Investigation; 

(xviii) a statement authorizing law enforcement agencies and prior 

employers to release information and respond to questions relating 

to the applicant's records, habits, reputation, and associations; 

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

employed, random screening tests thereafter; and 

(xx) any other information the Tribe deems relevant. 

SECTION 10 REPORT TO THE NIGC 

10.l Before issuing a license to a Key Employee or Primary Management Official, the 

Tribe shall prepare an investigative report summarizing each background 

investigation of a Key Employee or Primary Management Official that the 

gaming operation intends to employ. 

10.2 Each investigative report shall include the following: 

(a) the steps taken in conducting the background investigation; 

(b) the results obtained; 

( c) the conclusions reached; and 

( d) the basis for those conclusions. 

Shingle Springs Gaming Ordinance -Approved 5.29.14 
10.3 No later than 60 days after a Key Employee or a Primary Management Official 

begins work, the Tribe shall submit to the NIGC a notice of results of the 

background investigation. The notice of results shall contain: 

(a) the applicant's name, date of birth, and social security number; 

(b) the date on which the applicant began or will begin work as a Key 

Employee or Primary Management Official; 

( c) a summary of the information presented in the investigative report, which 

shall at a minimum include a listing of: 

(i) licenses that have been previously denied; 

(ii) gaming licenses that have been revoked, even if subsequently 

reinstated; 

(iii) every known criminal charge brought against the applicant within 

the last 10 years of the date of application; and 

(iv) every felony of which the applicant has been convicted or any 

ongoing prosecution. 

(d) a copy of the Tribe's qualification determination made under subsection 

9.1 above. 

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

(a) shall notify the NIGC; and 

(b) shall forward copies of its qualification determination and investigative 

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

Records System. 

10.5 With respect to Key Employees and Primary Management Officials, the Tribe 

shall retain applications, investigative reports, and eligibility determinations for 

gaming licenses and reports (if any) of background investigations for inspection 

by the NIGC for no less than 3 years from the date of termination of employment. 

10.6 A gaming operation shall not employ as a Key Employee or Primary Management 

Official a person who does not have a gaming license 90 days after a license 

application has been submitted. 

SECTION 11 GRANTING A GAMING LICENSE. 

11.1 If, within a 30 day period after the NIGC receives an investigative report, the 

NIGC notifies the Tribe that it has no objection to the issuance of a gaming 

license pursuant to a license application filed by a Key Employee or Primary 

Management Official, the Tribe may issue a license to such applicant. Within 30 

Shingle Springs Gaming Ordinance - Approved 5 .29 .14 
days after the issuance of the license, the Tribe shall notify the NIGC of its 

issuance. 

11.2 The Tribe shall respond to a request for additional information from the NIGC 

concerning a Key Employee or Primary Management Official who is the subject 

of an investigative report. Such a request shall suspend the 30 day period under 

subsection 11.1 above until the NIGC receives the additional information. 

11.3 If, within the 30 day period described in subsection 11.1 above, the NIGC 

provides the Tribe with a statement itemizing objections to the issuance of a 

gaming license to a Key Employee or to a Primary Management Official 

applicant, the Tribe shall reconsider the application, taking into account the 

objections itemized by the NIGC. The Tribe shall make the final decision 

whether to issue a gaming license to such applicant. 

SECTION 12 GAMING LICENSE SUSPENSION 

12.1 If, after the issuance of a gaming license, the Tribe receives from the NIGC 

reliable information indicating that a Key Employee or a Primary Management 

Official is not eligible for employment under this Ordinance, the Tribe shall 

suspend such license and shall notify in writing the licensee of the suspension and 

the proposed revocation. 

12.2 The Tribe shall notify the licensee of a time and a place for a hearing on the 

proposed revocation of a license according to its internal policies and procedures. 

12.3 After a revocation hearing, the Tribe shall decide to revoke or reinstate a gaming 

license. The Tribe shall notify the NIGC of its decision within 45 days of 

receiving from the NIGC the notification referenced in subsection 12.1. 

SECTION 13 FACILITY LICENSES 

13 .1 The Tribe shall issue a separate facility license for each and every place, 

operation, or location on Indian lands where Class II or Class III gaming 

authorized under this Ordinance is conducted. At least every year after the initial 

issuance of a facility license, the Tribe shall renew the license to each place, 

operation, or location on Indian lands where Class II or Class III gaming 

authorized under this Ordinance is conducted. 

13 .2 The Tribe shall specify the form, conditions and content for the application for 

such licenses, which shall be submitted by the general manager of the gaming 

operation. 

13 .3 Within 30 days of issuing a renewed facility license, the Tribe shall submit to the 

NIGC a copy of the renewed license. Along with the renewed facility license, the 

Tribe shall submit to the NIGC: 

(a) an attestation certifying that by issuing the license: 

Shingle Springs Gaming Ordinance - Approved 5 .29 .14 
(i) the Tribe has identified and enforces the environmental, health, 

and public safety laws, resolutions, codes, policies standards or 

procedures applicable to the gaming operation; 

(ii) the Tribe is in compliance with those laws, resolutions, codes, 

policies standards or procedures, or, if not in compliance, the Tribe 

will identify those with which it is not in compliance, and will 

adopt and submit its written plan for the specific action it will take, 

within a period not to exceed 6 months, required for compliance. 

At the successful completion such written plan, or at the expiration 

of the period allowed for completion, the Tribe shall report the 

status thereof to the NIGC. In the event the Tribe estimates that 

action for compliance will exceed 6 months, the NIGC must 

concur in such an extension of time, otherwise, the Tribe will be 

deemed non-compliant. The NIGC will consider the consequences 

on the environment and the public health and safety, as well as 

mitigation measures the Tribe may provide in the interim, in 

considering requests for extensions of time. 

(iii) the Tribe is ensuring that the construction and maintenance of the 

gaming facility, and the operation of all gaming, is conducted in a 

manner which adequately protects the environment and the public 

health and safety. 

(b) a document listing all laws, resolutions, codes, policies standards or 

procedures identified by the Tribe as applicable to its gaming facilities, 

other than federal laws, in the following areas: 

(i) emergency preparedness, including but not limited to fire 

suppression, law enforcement and security; 

(ii) food and potable water; 

(iii) construction and maintenance; 

(iv) hazardous materials; 

(v) sanitation (both solid and wastewater); and 

(vi) other environmental or public health and safety laws, resolutions, 

codes, policies standards or procedures adopted by the Tribe in 

light of climate, geography, and other local conditions and 

applicable to its gaming places, facilities and locations. 

13 .4 After the first submission of a document under paragraph (b) of this subsection, 

the Tribe may, in lieu of complying with that paragraph, certify to the NIGC that 

it has not substantially modified its laws protecting the environment and public 

health and safety. 

Shingle Springs Gaming Ordinance - Approved 5 .29 .14 
SECTION 14 EFFECTIVE DATE/REPEAL 

14.1 This Ordinance shall be effective immediately upon approval by appropriate 

goverrunental authority and, once approved, all previous gaming ordinances shall 

be repealed. 

CERTIFICATION 

As a duly-elected Tribal Council member of the Shingle Springs Band of Miwok Indians, I do 

hereby certify that, at a meeting duly called, noticed, and convened on the 29th day May of, 2014 at 

which time a quorum of~ FOR, ,l!!Y'JIGAINST, /_ABSTAINED, and said ordinance has not been 

rescinded or amended in any form. 

Tribal Chairperson Date 

ATTEST: 

Date 

Shingle Springs Gaming Ordinance - Approved 5 .29 .14