OCT 2 7 2000 

Dudley H. Burrows, Sr. 

Chairperson 

Grindstone Indian Rancheria 

P.O. Box 63 

Elk Creek, CA 95939 

Dear Mr. Burrows: 

This letter is in response to your request for the National Indian Gaming 

Commission (NIGC) to review and approve the Grindstone Indian Rancheria 

(Tribe) Gaming Ordinance. This letter constitutes approval of your submission 

under the Indian Gaming Regulatory Act (IGRA). It is important to note that the 

gaming ordinance is approved for gaming only on Indian lands, as defined in the 

IGRA, over which the Tribe has jurisdiction. 

With approval of the Tribe's Gaming Ordinance, the Tribe's Gaming Commission 

is required to conduct background investigations on its key employees and 

primary management officials. The NIGC expects to receive a completed 

application for each key employee and primary management official, pursuant to 

25 C.F.R. 5 556.5(a), and an investigative report on each background 

investigation, pursuant to 25 C.F.R. § 556.5(b), before the Tribal Gaming 

Commission issues a license to a key employee or primary management official. 

Thank you for submitting the Gaming Ordinance for review and approval. The 

NIGC staff and I look forward to working with you and the Tribe on future 

gaming issues. 

Sincerely yours, 

Montie R. Deer 

Chairman 

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

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

ORDINANCE NO. -2000-04 

AN ORDINANCE OF THE GRINDSTONE INDIAN 

RANCHERIA OF WINTUN-WAILAKI INDIANS OF 

CALIFORNIA ADOPTING AN ORDINANCE AUTHORIZING 

AND REGULATING GAMING OPERATED BY THE 

GRINDSTONE INDIAN RANCHERIA OF WINTUN-WLAKI 

INDIANS OF CALIFORNIA 

The Grindstone Indian Rancheria of Wintun-Wailaki Indians of 

California, a federally recognized Indian Tribe ("Tribe") , and 

acting through its Tribal Council in the exercise of its inherent 

sovereign power to enact ordinances and otherwise safeguard and 

provide for the health, safety and welfare of the Grindstone Indian 

Rancheria of Wintun-Wailaki Indians of California and the members 

of the Tribe, hereby enacts this ordinance which shall hereinafter 

be cited as the Grindstone Indian Rancheria of Wintun-Wailaki 

Indians of California Gaming Ordinance of 2000 ("Ordinance"). This 

Ordinance a,nd any regulations promulgated thereunder shall 

constitute the entire gaming regulations for the Tribe. 

1. Findings and Policy. 

This Ordinance is adopted by the General Council, pursuant to 

its authority granted under the Tribe's Constitution (See 

Attachment A) to regulate gaming operations on lands held in trust 

for the Grindstone Indian Rancheria of Wintun-Wailaki Indians of 

California, present or future, for the'purpose of establishing the 

terms for gaming for tribal governmental and charitable purposes, 

and to develop, operate, and regulate such gaming consistent with 

the findings herein and in conformity with the federal Indian 

Gaming Regulatory Act (25 U.S.C. S; 2701 et seq. ("IGRA")) and 

regulations promulgated thereunder. 

The Tribe finds that: 

a. Gaming is a valuable means of generating revenues that 

are needed for economic development, to promote tribal selfsufficiency, economic development, employment, job training, and a 

strGng tribal government, and to fund and ensure essential social 

programs and services; 

b. The Tribe desires to conduct certain forms of gaming to 

provide needed revenues to the Tribe, and to regulate and control 

such gaming in a manner that will protect the environment, the 

Reservation, the health, security and general welfare of the Tribe, 

the players, and the community; and 

P.O. Box 63 Phone (530) 968-5365 

FAX (530) 968-5366 

Elk Creek, CA 95939 
c. The Tribe desires to control all gaming operations on 

tribal lands present or future, and to manage and regulate such 

gaming in a manner that will adequately address such special 

interests and needs of the Tribe. 

Section 2. Ownership of Gaming. 

The Tribe shall be the owner and have the sole proprietary 

interest in and responsibility for the conduct of any gaming 

operation facilities and/or enterprise(s) authorized by this 

Ordinance, except to the extent the Tribe may contract with and 

license a person or entity to, operate or manage the enterprise 

pursuant to the provisions of IGRA and the regulations promulgated 

thereunder, or as otherwise permitted by law. 

Section 3.Definitions. 

Unless specified otherwise, the terms used herein shall have 

the same meaning as in IGRA, including but not limited to references to "Net Revenues," "Class I," "Class 11," and "Class 111" 

gaming, and except for references to "Commissioners", "Commi~sion'~, 

or "Gaming Commission" which shall mean the rind stone Indian 

Rancheria of Wintun-Wailaki Indians of California Gaming Commission 

or its Commissioners, established and described herein. 

a. 'lClosely Associated Independent Contractor" shall mean 

any contractor that shares common ownership, officers or directors 

with any management principal or person related thereto. 

b . llConfidential Records and Informationv1 shall mean : 

(1) Records or information maintained by the Commission 

about individuals (such as, but not limited to, personnel 

records and records containing information about applications 

for Commission licenses, permits or benefits); 

(2) Records or information reported to the Commission 

about business transactions and finances of a gaming facility 

or an applicant for a license or a licensee such as, but not 

limited to, real or personal property transactions, financial 

records (e.g., income statements, balance sheets, profit and 

loss statements), except for financial information subject to 

disclosure under other provisions of this Ordinance; 

(3) Records or information about complaints to the 

Commission or investigations of those complaints by Commission 

officials, or other investigations conducted by the Commission; 
(4) Correspondence of and to the Commission or the 

Commission Chairman; and 

(5) Records which reveal the deliberative processes, 

impressions, evaluations, opinions, recommendations, meeting 

minutes, research, work product, theories, or strategy of the 

Commission. 

c. glGamingw shall mean an activity in which a person stakes 

or risks something of value on the outcome of a contest of chance 

or a future contingent event, not under his or her control or 

influence, upon an agreement or understanding that the person, or 

someone else, will receive something of value in the event of a 

certain outcome, but shall not include bona fide bus-iness transactions. 

d. "Gaming Activitiesgg shall mean any Class I, Class 11, or 

Class I11 gaming activity conducted by or under the jurisdiction 

of the Tribe. 

e. "Gaming Cdssionl1 shall mean the Grindstone Indian 

Rancheria of Wintun-Wailaki Indians of California Gaming 

Commission, as established herein to monitor the Gaming Activities, 

investigate wrongdoing, conduct background investigations, issue 

licenses, and perform other duties as required for the regulation 

of Gaming on the Reservation. 

f. "Gaming Contractoru shall mean any person or entity that 

supplies gaming devices or other gaming equipment, personnel, or 

services (including gaming management or consulting services) to 

any gaming activity or enterprise. 

g. I1Gaming Enterprisev shall mean any gaming business, 

event, enterprise or activity conducted by or under the jurisdiction of the Tribe. 

h. "Tribal Councilg1 shall mean the governing body of the 

Tribe, as set forth in the Tribe's Constitution (See Attachment A). 

i. wInvestor" means any person who manages any gaming 

activity or owns or leases equipment or facilities used in gaming 

activities or has loaned to or invested funds in any gaming 

activities, or who owns, or controls ten percent (10%) or more of 

any entity that is an investor or has contributed more than Five 

Thousand Dollars ($5,000) to any such person or entity. Investor 

does not include a federally or state chartered bank or savings and 

loan. 
j "Key Employeell shall mean 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 gaming devices including those persons with 

access to cash and accounting records within such devices. If not 

otherwise included, any other person whose total cash compensation 

is in excess of $50,000 per year, and the four (4) most highly 

compensated persons in the Gaming Enterprise are included in the 

definition of key employees. At the discretion of the Gaming 

Commission, other positions or persons may be included under and 

subject to the requirements for key employees. 

k . llNational Indian Gaming Carrpni~sion~~ ('lNIGCl1) shall mean 

the Commission established under IGRA. 

1. llNet Revenuesw shall mean gross gaming revenues from all 

Gaming Activities of a Gaming Enterprise, less amounts paid out as, 

or paid for, prizes and less total gaming-related operating 

expenses, excluding management fees. 

m. llPublic Informationll means any information in the 

Commission records that is not confidential records or information. 

n. llPersonll shall mean any natural person or entity, 

including but not limited to, corporations, partnerships and 

trusts. 

o. llPrimary Management Officiall1 shall mean the person who 

has management responsibility for a management contract; any person 

who has authority to hire and fire employees or to set up working 

policy for the Gaming Enterprise; or the chief financial officer or 

other person who has financial management responsibility. At the 

discretion of the Gaming Commission, other positions or persons may 

be included under and subject to the requirements for primary 

management officials. 

Pa l1Indian Landsv1 shall mean (A) all lands within the 

limits of any Indian Reservation: and (B) any lands title to which 

is either held in trust for the benefit of any Indian Tribe or 

individual subject to restriction by the United States against 

alienation and over which an Indian Tribe exercises governmental 

power. 

9. l1StateV1 shall mean the State of California. 
r. "Tribal Court1' shall mean any court established by the 

Tribe to hear disputes or, if there is none that can exercise 

jurisdiction, then the Tribal Council. 

s. "Tribal Memberw shall mean any duly enrolled member of 

the Tribe. 

Section 4. Gaming Commission. 

a. Establishment of Gaming Commission. There is 

established by the Tribe a Commission, acting under the authority 

of the Tribe, to be known as the Grindstone Indian Rancheria of 

Wintun-Wailaki Indians of California Gaming Commission. The Gaming 

Commission shall be composed of three (3) persons. who shall be 

appointed by the Grindstone Indian Rancheria of Wintun-Wailaki 

Indians of California Tribal Council, as further provided herein. 

b. Qualifications. Commissioners must meet the following 

minimum qualifications: 

(1) At least one must be an eligible voting member of 

the Tribe. 

(2) Qualify for a license as a key employee or management official, after submitting to a background investigation as authorized by this Ordinance. 

c. Disqualifications for Office. The following persons may 

not serve as Commissioners: 

(1) Employees of any Gaming Enterprise on the 

Reservation: 

(2) Persons related to any Gaming Contractor (including any principal thereof or Closely Associated Independent Contractor); and 

(3) Persons who would fail to qualify for a 

license as a key employee or primary management official 

after the completion of a background investigation as 

provided in this Ordinance. 

d. Terms of Office. The first two Commissioners appointed 

to serve on the Commission, shall be appointed for a term of three 

(3) years, and the third Commissioner for a term of two (2) years. 

Thereafter, all Commissioners shall be appointed for a term of five 

(5) years. 
e. Appointment. Commissioners shall be appointed by the 

Tribal Council, using the following procedure. 

(1) All applicants for Commissioner shall complete an 

application form adopted by the Tribal Council, and submit to 

a background check as authorized by this Ordinance. A 

commissioner may be appointed and take office, subject to 

passing a backgrcund investigation conducted after the 

appointment. 

(2) At a duly called Tribal Council meeting, the Tribal 

Council shall vote for candidates who have applied. They 

shall vote separately to fill each vacancy. . The candidate 

with the highest number of votes cast shall be appointed. 

f. Removal from Office. Except as provided herein, 

Commissioners may only be removed from office before the expiration 

of their terms by the General Council for neglect of duty, 

misconduct, malfeasance, any cause that would disqualify them from 

serving on the Commissicn, any material omission or false statement 

in applying for appointment, or other acts that would render such 

persons unqualified for such duties or for licensure hereunder. An 

affirmative vote of a majority of the General Council present at a 

duly called meeting with a quorum present, after a duly noticed 

hearing at which the member charged with misconduct shall have the 

right to hear and present evidence concerning his/her removal, 

shall be required to remove a member of the Commission. At the 

request of the member whose removal is at issue, the hearing may be 

held in a session closed to the general public ("executive 

session"). The General 'Council also may elect to receive in 

executive session any evidence public disclosure of which might 

compromise any on-going law enforcement investigation. Notwithstanding the foregoing and without any prior notice or opportunity 

for a hearing, the Commission shall remove any Commissioner who 

fails to attend three (3) meetings in any consecutive twelve month 

period without the consent of the Commission, who fails a background investigation, or who dies or becomes disabled from 

performing his or her duties. The Tribal Council shall fill any 

mid-term vacancy for the unexpired term as provided in subsection 

e. 

g. Quorum. Two (2) members of the Gaming Commission shall 

constitute a quorum. 

h. Officers and Duties. The Gaming Commission shall 

select, by majority vote, a Chairman, Vice-Chairman and Secretary. 

The chairman shall preside over meetings of the Gaming Commission 
and the Vice-Chairman shall preside in absence of the Chairman. 

The Secretary shall record in writing the minutes of all Gaming 

Commission meetings and all official actions taken by the Gaming 

Commission. 

i. Voting. All actions of the Gaming Commission shall be 

taken by majority vote. The Commission Chairman may vote on any 

issue. Roberts Rules of Order shall apply, unless the Commission 

adopts specific rules that differ from Roberts Rules of Order. 

j. Meetings. Meetings shall be held at least once per 

month, on the second Tuesday of the month at the Tribe's primary 

meeting facility. Additional meetings shall be held as called by 

the Chairman or by at least two (2) other Commissioners. Notice of 

meetings, except regular meetings, shall be given in writing to 

each Commissioner, served by first class mail or personal delivery 

at least five (5) business days prior to such meeting. Meetings 

may be called at any time, by any means, with unanimous consent of 

the Commissioners. 

k. Compensation for Serving. The Tribal Council shall 

determine and authorize the compensation to be paid to Commissioners based on a determination of time required to be expended upon 

Commission duties and the qualifications of the appointed Commissioners. 

1. Powers and Duties. 

The Gaming Commission shall have the power and duty to: 

(1) Inspect, examine and monitor Gaming Activities, 

including the power to demand access to and inspect and 

examine any gaming facility, machine, device, practice, paper, 

book, record or area and in addition, to photocopy and audit 

all papers, books and records respecting such Gaming Activities; 

(2) Investigate any suspicion of wrongdoing in connection with any Gaming Activities; 

(3) Conduct, or cause to be conducted, such investigations as may be necessary to determine in connection with any 

Gaming Activities, compliance with law or this Ordinance or 

any contracts, agreements, other matters related to Gaming 

Activities; 

(4) Conduct, or cause to be conducted, background 

investigations regarding any person in any way connected with 
any Gaming Activities and issue licenses to, at minimum, all 

Key Employees and Primary Management Officials according to 

requirements at least as stringent as those in 25 C.F.R. parts 

556 and 558; 

(5) Hold such hearings, sit and act at such times and 

places, summon persons to attend and testify at such hearings, 

take such testimony, and receive such evidence as the Gaming 

Commission deems relevant in fulfilling its duties; 

(6) Administer oaths or affirmations to witnesses 

appearing before the Gaming Commission; 

(7) Implement and administer a system for 

investigating, licensing and monitoring employees and others 

connected with Gaming Activities, as described below, 

including the issuance of licenses to gaming facilities, 

individuals and entities as required under this Ordinance and 

IGRA; 

(8) Hear disputes against the gaming establishment, in 

accordance with the procedures established in this Ordinance 

or rules adopted by the Commission; 

(9) Subject to the approval of the Tribal Council and 

the appropriation of funds therefor, to employ and compensate 

such staff and support services as are reasonably required to 

fulfill its responsibilities under this Ordinance; 

(10) To the extent required, comply with any reporting 

requirements required by this Ordinance, Tribal law or IGRA or 

established under a tribal-state compact to which the Tribe is 

a party and other applicable law, including the IGRA; 

(11) Promulqate and issue such requlations as it deems 

appropriate, subject to review and approval by the Tribal 

Council, in order to implement and enforce the provisions of 

this Ordinance. Without Tribal Council approval the Commission may adopt rules of procedure governing how its meetings 

will be conducted: 

(12) Promulgate regulations, subject to review and 

approval by the Tribal Council, to describe and establish 

rules for each Class I1 or Class I11 game authorized to be 

conducted on Tribal lands, gaming machine standards or systems 

of internal controls and no form of such gaming may be 

conducted on Tribal lands without the prior approval of the 

Gaming Commission; 
(13) To establish such application and other fees as it 

deems necessary to cover the costs of its operations; and 

(14) Carry out such other duties with respect to Gaming 

Activities on Tribal lands as the Tribal Council shall direct. 

m. Reports. 

(1) Monthly Reports. The Commission shall make monthly 

reports to the Tribal Council within thirty (30) days after 

the close of the month for which the information is being 

required. The reports shall include a full and complete 

statement of Gaming Revenues paid to the Tribe, expenses and 

all other financial transactions of the Commission and a 

summary of all licensing and enforcement actions. 

(2) Annual Reports. On or before April 30th of each 

year, the Gaming Commission shall provide to the General 

council an ~nnual- Report summarizing its activities during the 

prior twelve (12) month period ending on December 31st, and 

accounting for all receipts and disbursements. The General 

Council shall cause copies of the Annual Report to be made 

available to Tribal Members within thirty (30) days after 

receipt. 

(3) Other Reporting Requirements. As required, the 

Gaming Commission shall comply with any reporting requirements 

established under a tribal-state compact to which the Tribe is 

a party, and other applicable law, including the IGRA and 

regulations promulgated thereunder. 

n. Disclosure of information. The Commission shall adopt 

rules consistent with this ordinance governing the disclosure 

of information in its records. 

Public information shall be available to any Tribal official 

or member during normal business hours upon reasonable notice. Any 

Tribal official or member may request copies of any identifiable 

public record upon payment of a reasonable fee to cover the cost of 

locating and copying the document. 

Commissioners, and its employees shall not disclose confidential records or confidential information, except as required to 

perform their specific job duties or to comply with applicable 

legal requirements. 
Section 5. Authorization of Gaming Activities. 

a. Class I Gaming. Class I Gaming Activities are hereby 

permitted to the extent consistent with tribal custom and 

practice. The Gaming Commission may prohibit and prevent any 

conduct which is claimed to be Class I gaming if the Tribal 

Council finds that such conduct is not in accordance with 

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

b. Class I1 Gaming. The Tribe shall be authorized to 

conduct all forms of Class I1 gaming on Tribal lands. 

c. Class I11 Gaming. The Tribe shall be authorized to 

conduct the following types of Class I11 gaming on Tribal lands. 

(1) Electronic games of chance with video or mechanical 

displays, where such devices constitute electronic facsimiles of a 

game of chance rather than electronic aids in the playing of Class 

I1 games; 

(2) Blackjack; 

(3) Keno; 

(4) Pari-mutuel Horse Racing; 

(5) Any lottery game; 

(6) Any other type of Class I11 gaming conducted 

pursuant to the terms of a Tribal/State compact. 

d. Conditions for conducting Class I1 and Class 111 gaming. 

Class I1 and Class I11 gaming is authorized as provided in 

subsections b and c above, provided the Tribe has the sole 

proprietary interest in and responsibility for the conduct of any 

gaming enterprise. Nothing herein shall prohibit the Tribe from 

engaging the services of non-tribal persons as employees thereof or 

engaging any person or entity to provide consulting or other 

technical assistance or to assist the Tribe in the management of 

Gaming Activities pursuant to a management agreement entered into 

under the provisions of IGRA. Any Compact, when approved and 

published pursuant to IGRA, is hereby incorporated within and 

enacted as an integral part of this Ordinance with respect to all 

forms of Class I11 gaming as if set forth in full herein; provided, 

however, that nothing in the adoption of a Compact shall be deemed 

to affect the operation by the Tribe of any Class I1 gaming, 
whether conducted within or without the gaming facilities, or to 

confer upon any state any jurisdiction over such Class I1 gaming 

conducted by the Tribe on the Tribe's Lands present or future. 

Section 6. Gaming Revenues. 

a. Tribal Property. Except as provided for under the terms 

of an agreement pursuant to the provisions of IGRA or as otherwise 

permitted by law, all revenues generated from any Class I1 or Class 

I11 Gaming Activities are the property of the Tribe. Any profits or 

net revenues from Gaming Activities shall be deposited into the 

Tribe's general treasury or such other tribal account as the Tribe 

shall determine. Once becoming part of the treasury such funds 

shall lose any identity as gaming revenues except to the extent 

necessary to identify them as such in order to comply with 

applicable law. No Tribal Member shall be deemed to have any 

interest in such profits or net revenues, provided that the General 

Council may adopt rules for distributing gaming proceeds to Tribal 

Members on a per capita basis provided such plan meets the 

requirements of IGRA, 25 U.S.C. § 2710 (b) (3) . Payments from the 

general treasury funds to Tribal Members under other tribal 

programs, including those related to health, welfare, education, 

elderly care, and housing, shall not be deemed to be per capita 

payments. 

b. Use of Net Revenues. Net Revenues from Gaming 

Activities shall not be used for purposes other than: 

(1) To fund tribal government operations or programs; 

(2) To provide for the general welfare of the Tribe and 

its members; 

(3) To promote economic development for the Tribe; 

(4) To donate to charitable organizations; 

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

(6) Per capita payments. 

c. Per Capita Payments. When per capita payments are 

authorized under subsection b.6 and the Tribal Council, in its sole 

discretion, determines to make per capita payments: 
(1) The Tribal Council shall prepare a financial plan 

or ordinaxce to allocate revenues to uses authorized 

under Section 6. The Tribal Council may form an 

advisory committee consisting of General Council members 

to make recommendations regarding the financial plan. 

(a) The financial plan or ordinance to allocate 

revenue must be approved by majority vote of the 

General Council present at duly called meeting with 

a quorum present . 

(b) No per capita payments shall be made pursuant 

to the financial plan or ordinance until it has 

been approved by the Secretary of the Interior, or 

his duly authorized designee. 

(2) All per capita payments made to Grindstone Indian 

Rancheria of Wintun-Wailaki Indians of California 

members are subject to federal taxation. The members 

will be notified of such tax liability and any required 

withholding when payments are made. 

Section 7.0peration of Gamina Establishments. 

a. Gaming Permitted as Licensed. Gaming Activities shall 

only be conducted in tribally owned, operated and licensed 

facilities pursuant to the provisions of this Ordinance. Such 

activities shall be conducted in accordance with the terms and 

conditions of any license issued by the Tribe for such purposes as 

to each facility before any Gaming Activities may occur therein. 

Such licenses shall specify the hours of operation, type and scope 

of Gaming Activities allowed therein, permitted uses of the 

facility for other activities, rules of conduct for employees and 

patrons, regulation of alcoholic beverages, food handling and 

entertainme~t, and such other matters as the Gaming Commission or 

the Tribal Council may deem necessary to the conduct of Gaming 

Activities therein. 

b. Protection of Environment and Public. Any construction 

or maintenance of any gaming facility, and the operation of gaming 

therein, shall be conducted in a manner which adequately protects 

the environment and the public health and safety. 

c. Public/Patron Disputes. If any customer or member of 

the general public has a dispute with the manager of a gaming 

facility or the Tribe, it shall be resolved using the following 

procedure. 
Any gaming facility manager and the Tribe must endeavor to 

resolve disputes at the lowest level of management possible. Toward 

that end, any dispute involving gaming must be presented using a 

multi-step process. 

Step 1: If a patron has a complaint involving the conduct of 

a game or his or her treatment at the facility, he or she must 

discuss the matter with the employee involved in the incident. The 

employee must listen carefully and courteously to the patron's 

complaint. All employees shall receive training in customer 

relations. If the employee fails to resolve the complaint to the 

customer's satisfaction or lacks the authority to remedy the 

complaint, he or she shall immediately contact his or her immediate 

supervisor, if available, or the floor manager. 

Step 2: If the supervisor or floor manager fails to resolve 

the dispute to the customer's satisfaction or lacks the authority 

to remedy the complaint, he or she shall refer the complaint to the 

gaming facility manager. The supervisor or floor manager shall 

also notify security. If a customer is referred to the gaming 

facility manager, the gaming facility manager shall interview the 

customer and, if necessary, the involved employee(s) and shall make 

a decision within a reasonable time, not to exceed, five (5) days. 

The manager shall obtain the customer's name, address and telephone 

number. The manager shall notify the customer that if he or she 

remains dissatisfied, he or she can request in writing review by 

the Tribal Gaming Representative ("Representative") within seven 

(7) days of the manager's decision. 

Step 3: The Representative shall review the customer's 

written appeal and may interview the customer, the manager and any 

involved employees. The Representative shall issue a written 

decision to the customer within five (5) working days of receiving 

the customer's appeal. The Representative's written decision shall 

include a notice that the customer may appeal the Representative's 

decision to the hearing panel appointed by the Tribal Council. The 

written appeal must include all information the customer wants the 

hearing panel to consider in acting on the appeal. The appeal must 

be filed within seven (7) days of the date on the Representative's 

decision. 

Step 4: The hearing panel shall conduct such hearing on the 

appeal as it deems appropriate. It may limit its review to the 

written appeal and the written decision of the Representative or it 

may invite the customer to present written testimony and it may 

receive testimony from the involved employees. Tribal Council, 

based on the recommendation of the hearing panel, shall issue a 

written decision which shall be final. 
All written notices and decisions shall be sent by regular 

first class mail to the customer at the address furnished by the 

customer. The time limits for complainants shall be calculated 

from the date appearing on the notices or decisions, provided these 

items are mailed on that date. The time limits for tribal 

officials shall be calculated from the postmarks appearing on the 

envelops containing the appeals. 

All claims by patrons shall be limited to a maximum recovery 

of $10,000 per occurrence, and a cumulative limit of $20,000 per 

patron in any twelve (12) month period. 

Section 8. Audits. 

a. Annual ~udits. Annual outside audit by an independent 

certified public account or firm of accountants shall be conducted 

of each gaming activity and the results thereof reported to the 

Tribal Council, and, to the extent required by law, the Bureau of 

Indian Affairs and the National Indian Gaming Commission ("NIGC"). 

Section 9. Contracts. 

a. Procurement. The Tribal Council shall adopt procurement 

policies from time to time. All purchases of services or supplies 

shall comply with the tribally adopted procurement policies. 

b. Audit Requirements. All contracts for supplies, services, 

or concessions for a contract amount in excess of $25,000 annually 

(except contracts for professional legal or accounting services) 

relating to Class I1 or Class I11 gaming on Tribal lands shall be 

subject to independent audits, and such contracts shall so specify. 

c. Preference. Any management and investment gaming 

contracts or other contracts must make provision for the preferential hiring Grindstone Indian Rancheria of Wintun-Wailaki Indians 

of California members followed by a preference for Native people 

from the Grindstone Indian Rancheria of Wintun-Wailaki Indians of 

California and surrounding areas for jobs in the construction and 

operation of any gaming facilities or activities. 

Section 10. Licenses. 

a. Licensing Requirements. It is the declared policy of the 

Tribe that all Gaming Activities be licensed and controlled so as 

to protect the morals, good order and welfare of Tribal Members and 

other persons and to preserve the honesty, fairness and integrity 

of such Gaming Activities. Accordingly, no person shall engage in 
any Class I1 or Class I11 Gaming Activities on Tribal lands without 

an appropriate and valid independent Class I1 or Class 111 license 

issued by the Gaming Commission. Any gaming license which is 

issued, or finding of suitability or approval by the Gaming 

Commission, shall be deemed a privilege subject to suspension or 

revocation. No license shall be issued that would place the Tribe 

in violation of the IGRA and regulations promulgated thereunder 

and, as applicable, provisions of a tribal-state compact, or of any 

applicable law. 

b. Applicant Claim of Privilege. An applicant may refuse 

to disclose information based upon a claim of privilege afforded by 

law in connection with a gaming license application or investigation, but a claim of privilege with respect to any testimony or 

evidence pertaining thereto may constitute sufficient grounds for 

denial, suspension or revocation. 

c. Release of Information. All persons applying for a 

license shall agree to release the information necessary in order 

for the Gaming Commission to achieve its goals under this Ordinance, and to furnish such information to the Bureau of Indian 

Affairs, the NIGC, or such other governmental agency as may be 

required by law. 

d. Types of Licenses. Three classes of licenses (Class A, 

Class B, and Class C) shall be issued to persons and entities 

associated with Gaming Activities. 

(1) Class A Licenses. All investors, Primary 

Management Officials, Key Employees, and Closely Associated 

Independent Contractors shall- obtain a Class A license. The 

Gaming Commission shall conduct or cause to be conducted a 

background investigation to determine if such person has: 

(a) Any criminal record or any reputation, prior activities, habits or associations 

which might pose a threat to the public interest or to the effective regulation of gaming. 

(b) Anything else in his or her background which might create or enhance the 

dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the 

conduct of gaming. 

(2) Class B Licenses. Persons who are not among those 

identified in subsection (1) above, but are to be employed at 

a gaming facility on Tribal lands, shall be required to obtain 
a Class B license from the Gaming Commission. Such persons 

must establish that they have not been convicted of a crime, 

or engaged in any activity, which the Gaming Commission in its 

sole discretion deems would render such person a danger to the 

safety or integrity of the Gaming Activities or the safety or 

property of the Tribe, any Tribal Member, any gaming employee 

or patron, or the public. 

(3) Class C Licenses. Minors (persons under 18 years 

of age) employed at a gaming facility on Tribal lands may be 

issued a Class C license, which will entitle them to work in 

any position for which a Class B license is required for 

adults and not otherwise prohibited by law, provided such 

minors are not deemed by the Gaming Commission to pose any 

threat to the safety or integrity of the Gaming Activities or 

the safety or property of the Tribe, any Tribal Member, any 

gaming employee or patron, or the public. The Class C license 

shall be valid for no more than six (6) months before renewal, 

and shall be revoked upon the minor's reaching the age of 18, 

at which time a Class A or B license, as may be appropriate, 

will be required. Minors shall not be employed in any 

capacity requiring a Class A license and shall not participate 

in the sale or distribution of alcohol. 

e. License Renewal. Class A and Class B licenses shall 

be subject to renewal at least every two (2) years, and may be 

revoked or suspended upon the occurrence of any act which, if known 

during the application process, would have tended to disqualify 

such person for such a license, or for any material omission or 

false statement in an application. 

f. Temporary Licenses. Pending completion of an investigation for a license, temporary licenses of no more than ninety (90) 

days duration may be issued by the Gaming Commission if in its sole 

discretion it deems it appropriate to do so. Such licenses shall 

permit the licensee to engage in such activities and pursuant to 

such terms and conditions as may be specified by the Gaming 

Commission. Such temporary licenses shall expire ninety (90) days 

from date of issuance, upon issuance of a regular license, or at an 

earlier specified expiration date, whichever occurs first. 

g. License Investigations. The Gaming Commission may employ 

all reasonable means, to acquire the information necessary to 

determine whether or not a license should be issued. Applicants 

shall also agree to release the information necessary in order for 

the Gaming Commission to achieve its goals under this section and 

to furnish such information to the Bureau of Indian Affairs, the 

NIGC, or such other agency as may be required by law. 
h. License Fees. Unless specifically waived by the Gaming 

Commission, all license applicants shall be required to pay all 

applicable license fees and costs when due, including a reasinable 

deposit for costs incurred in obtaining information in connection 

with the license application. Estimates of licensing costs shall 

be provided to applicants upon reasonable request. Payment for all 

reasonable fees and costs must be received by the Gaming Commission 

prior to issuance of the license. 

i. Appeals. All decisions of the Gaming Commission 

regarding the issuance or revocation of licenses shall be effective 

when issued. An applicant or licensee whose license is denied, 

revoked or suspended may, within thirty (30) days after the date of 

receipt of a written decision of the Gaming Commission, file a 

petition with the Gaming Commission requesting a hearing to 

reconsider the decision, and shall have the right to appeal such 

decision to the Tribal Court in accordance with such rules and 

regulations as may be promulgated by the Tribal Court for that 

purpose . Any Tribal Member who is denied a license by the Gaming 

Commission may, within sixty (60) days of written notice of such 

denial, appeal the denial to the Gaming Commission, which shall 

have the power to reverse its prior decision and order that such 

license be issued, and shall have the right to appeal such decision 

to the Tribal Court, provided that no such license shall be issued 

for more than one (1) year, subject to the renewal procedures set 

forth herein, and provided further that no order of the Gaming 

Commission or Tribal Court that a license be issued shall be valid 

if such issuance would place the Tribe in violation of any tribalstate compact to which the Tribe is a party, or of any applicable 

law. 

j. Background Investigations. 

(1) The Gaming Commission shall request from each 

Primary Management Official and each Key Employee all of the 

information specified in subsections (a) through (n) below. 

Further, each other applicant for a Class A license, except as 

provided otherwise by the Gaming Commission, shall also submit 

the information specified in (a) through (n) below. The 

Gaming Commission reserves the right, at any time, to request 

additional information either prior to, during, or subsequent 

to any background investigation. 

(a) Full name, other names used (oral or written), 

social security number(s), date of birth, place of 

birth, citizenship, gender, all languages (spoken or 

written) ; 
(b) Currently and for at least the previous ten 

(10) years: business and employment positions held, 

ownership interests in those businesses, business and 

residence addresses and drivers license number(s1; 

(c) Names and current addresses of at least three 

(3) personal references, including one personal 

reference who was acquainted with the applicant during 

each period of residence as listed under subsection (b) 

above ; 

(dl Current business and residence telephone 

numbers; 

(el Description of any existing and previous 

business relationships with the gaming industry generally, including ownership interests in those businesses; 

(f) A description of any existing and previous 

business relationships with Indian tribes, including 

ownership interests in those businesses; 

(g) Name and address of any licensing or 

regulatory agency with which the person has ever 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 on-going 

prosecution or a conviction: the charge, the name and 

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

(i) For each misdemeanor conviction or on-going 

misdemeanor prosecution (excluding minor traffic violations) within ten (10) years of the date of the application: the name and address of the court involved, and 

the date and disposition, if any, of the case; 

(j) For each criminal charge (excluding minor 

traffic charges), whether or not there is or was a 

conviction, if such criminal charge is within ten (10) 

years of the date of the applicati.on and is not 

otherwise listed above pursuant to subsections (h) or 

(i) above: the criminal charge, the name and address of 

the court involved and the date and disposition, if any, 

of the case; 
(k) Name and address of any licensing or 

regulatory agency (federal, tribal, state, local or 

foreign) with which the person has filed an application 

for an occupational license or permit, whether or not 

such license or permit was granted; 

(1) Current photographs; 

(m) Any other information the Tribe or Gaming 

Commission deems relevant; and 

(n) Fingerprints consistent with procedures 

adopted by the Gaming Commission according to 25 C.F.R. 

§ 522.2(h). 

(2) The Tribe shall conduct or cause to be conducted an 

investigation, through the Gaming Commission, sufficient to 

make a determination of eligibility as required under this 

Ordinance. In conducting the background investigation, the 

Gaming Commission and its agents shall promise to keep 

confidential the identity of each person interviewed in the 

course of the investigation. 

(3) The Gaming Commission shall arrange for Glenn County 

Sheriff's Department, located in Willows, CA, to take the 

applicant's fingerprints and forward those fingerprints 

directly to the NIGC, to be forwarded to the Federal Bureau of 

Investigation, National Criminal Information Center, for 

review of the applicant's criminal history, and perform or 

arrange to have performed the necessary background 

investigation of the applicant required by this Ordinance. 

Such investigation shall include contacting each reference 

provided in the application and taking all appropriate steps 

necessary to verify the accuracy of the information contained 

in the application. There shall be a written investigation 

report of the findings and conclusions of each investigation. 

The investigative report shall include (1) the steps taken in 

conducting a background investigation; (2) the results 

obtained; (3) the conclusions reached; and (4) the basis for 

the conclusions. The Gaming Commission shall review the 

findings and conclusions of the report for the purpose of 

determining whether to grant or deny the license applied for. 

k. Eligibility Determination. The Gaming Commission shall 

review a person's prior activities, criminal record, if any, and 

reputation, habits and associations to make a finding concerning 

the eligibility of a Key Employee or Primary Management Official 
for employment in a gaming operation. If the Gaming Commission 

determines that employment of the person poses a threat to the 

public interest or to the effective regulation of gaming, or 

creates or enhances dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of gaming, the 

Gaming Enterprise shall not employ that person in a Key Employee or 

Primary Management Official position or in any other position for 

which a Class A license is required, except as specifically 

established by the Gaming Commission. 

1. Forwarding Licensing Applications and Reports to NIGC. 

(1) On or before the date a Key Employee or Primary 

Management Official is employed by a Gaming Enterprise 

authorized under this Ordinance, the Gaming Commission, acting 

on behalf of the Tribe, shall forward to the NIGC the person's 

completed application for employment containing the information required above under Section 10. of this Ordinance. 

(2) Prior to issuing a license to a Primary Management 

Official or Key Employee, the Gaming Commission, acting on 

behalf of the Tribe, shall forward to the NIGC, together with 

a copy of the eligibility determination made under subsection 

10.1. above, an investigative report on each background 

investigation. The investigative report on each background 

investigation shall be forwarded to the NIGC within sixty (60) 

days after the employee begins work, or within sixty (60) days 

of the approval of this Ordinance by the NIGC. The Gaming Enterprise shall not employ or continue to employ any person as 

a Key Employee or Primary Management Official who does not 

have a license within ninety (90) days of beginning work. 

The investigative report shall include the following information: 

(a) Steps taken in conducting a background 

investigation; 

(b) Results obtained; 

(c) Conclusions reached; and 

(d) The bases for those conclusions. 

(3) The Gaming Commission, acting on behalf of the 

Tribe, shall provide to the NIGC or other agency, any other 

reports and information required by IGRA and regulations 

promulgated thereunder. Further, with respect to Key Employ- 
ees and Primary Management Officials, the Gaming Commission 

shall retain applications for employment and reports (if any) 

of background investigations for inspection by the NIGC for no 

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

employment. 

(4) If a license is not issued to an applicant, the 

Gaming 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 System. 

m. Grantina a Gamina License. 

(1) If, within a thirty (30) day period after the NIGC 

receives a report as required under subsection 10.1. above, 

the NIGC notifies the Tribe that it has no objection to the 

issuance of a license pursuant to the license application 

filed for a Key Employee or Primary Management Official for 

whom the Gaming Commission has provided an application and 

investigative report, the Gaming Commission may issue the 

license. 

(2) The Gaming Commission shall provide any additional 

information requested by the NIGC concerning a Key Employee or 

Primary Management Official who is the subject 6f a report as 

required under this subsection. An NIGC request for additional information shall suspend the thirty (30) day period 

established under this subsection until the NIGC receives the 

additional information. 

(3) If, within the thirty (30) day period established 

under this subsection, the NIGC provides a statement itemizing 

objections to issuance of a license to a Key Employee or 

Primary Management Official, the Gaming Commission shall 

reconsider the application, taking into account such objections. The Gaming Commission retains the right to make the 

final determination whether to issue the license to such 

applicant. 

n. License Suspension. 

(1) If, after issuance of a gaming license, the Tribe 

receives reliable information from the NIGC or other reliable 

source indicating that a Key Employee or a Primary Management 

Official is not eligible for employment under the eligibility 

criteria established in section 10. above, the Gaming Commis- 
sion shall suspend the license and shall notify the licensee 

in writing of the license suspension and proposed revocation. 

(2) The Gaming Commission shall notify the licensee of 

a time and place for a hearing on the proposed revocation of a 

license. 

(3) After the revocation hearing, the Gaming Commission 

shall determine whether to revoke or to reinstate the gaming 

license. For actions taken in response to information 

provided by the NIGC, the Gaming Commission shall notify the 

NIGC of its decision. 

0. Facilities Licenses. A separate license shall be 

required for each place, facility, or location on any land where 

Class I1 and/or Class I11 gaming is to be conducted on Tribal Land. 

Before Class I1 or Class I11 Gaming Activities can be conducted 

therein, the Gaming Commission shall inspect and license each such 

facility in accordance with this Ordinance and any requirements of 

IGRA. 

Section 11. Application Forms. 

a. Each application form for a Key Employee or a Primary 

Management Official, as well as for all other Class A license 

applicants, unless otherwise specifically exempted by the Gaming 

Commission, shall contain the notices set forth in subsections (1) 

and (2) below: 

(1) Privacy Ordinance Notice: 

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. S2701 et 

w. The purpose of the requested information is to determine the eligibility of individuals to be employed in a gaming 

operation. The information will be used by National Indian 

Gaming Commission members and staff who have need for the 

information in the performance of their official duties. The 

information may be disclosed to appropriate federal, tribal, 

state, local, or foreign law enforcement and regulatory 

agencies when relevant to civil, criminal or regulatory 

investigations or prosecutions or when pursuant to a requirement by a Tribe or the National Indian Gaming Commission in 

connection with the hiring or firing of an employee, the 

issuance or revocation of a gaming license, or investigations 
of activities while associated with a Tribe or a gaming 

operation. Failure to consent to the disclosures indicated in 

this notice will result in a Tribe's being unable to hire you 

in a Primary Management Official or Key Employee position. 

The disclosure of your Social Security Number (SSN) is 

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

errors in processing your application. 

(2) Notice Regarding False Statements. 

A false statement on any part of your application may be 

grounds for not hiring you, or for firing you after you begin 

work. Also, you may be punished by fine or imprisonment. 

(U.S. Code, title 18, § 1001) 

b. Any existing Key Employee or Primary Management 

Official, or any other Class A licensee unless otherwise 

specifically exempted by the Gaming Commission, that has not 

completed an application form containing the language set forth in 

Section llal and (2) above, shall be notified that they must 

either : 

(1) Complete a new application form that contains the 

Privacy Ordinance Notice and the Notice Regarding False 

Statements; or 

(2) Sign a statement that contains the Privacy 

Ordinance Notice and consent to the routine uses described in 

that notice, and sign a statement that contains the Notice 

Regarding False Statements. 

Section 12. Class I11 Gaming; Tribal-State Compacts. 

The standards of operation and management for Class I11 games 

shall be those set forth in a Compact. The Tribe may adopt 

standards of operation and management for Class I11 games that are 

no less stringent than, or not otherwise inconsistent with, a 

Compact. All negotiations for such compacts shall be conducted 

through the Tribal Council, with the advice and suggestion of the 

Gaming Commission, and shall be finalized in accordance with tribal 

law. 

Section 13. Interest in Management Contracts by Tribal Officials. 

No elected official of the Tribe, including the Gaming 

Commission or any other committee or agency of the Tribe, shall 

have a financial interest in or management responsibility for, any 
management agreement entered into pursuant to IGRA, nor shall such 

elected official serve on the board of directors or hold (directly 

or indirectly) ten percent (10%) or more of the issued and 

outstanding stock of any corporation, or ten percent (10%) or more 

of the beneficial interest in any partnership, trust, or other 

entity, having a financial interest in, or management responsibility for, such contract. 

Section 14. Service of Process. 

The Tribe designates as its agent for the service of any 

- official determination, order, or notice of violation, the 

Chairperson of the Tribe. 

Section 15. Tribal Gaming Corporation. 

Nothing in this Ordinance shall prevent the Tribe, through its 

Tribal Council, from delegating the authority to conduct Gaming to 

one or more tribal commissions or corporations, so long as the 

tribal Gaming Enterprises to which such authority is delegated 

agree to meet all criteria and requirements established under this 

Ordinance. 

Section 16. Repeal of Prior Gaming Ordinance; Effective Date. 

This Ordinance and the regulations promulgated thereunder 

shall constitute the entire gaming regulations of the Tribe. All 

prior gaming acts and ordinances of the Tribe are repealed, and 

this Ordinance shall become effective upon its approval by the 

NIGC. 

Section 17. Severability. 

If any provision or application of this Ordinance is determined by review to be invalid, such determination shall not be held 

to render such provision inapplicable to other persons or circumstances, nor shall such determination render invalid any other 

provision of this Ordinance. 

Section 18. Amendments . 

All provisions of this Ordinance are subject to revision, 

repeal, or amendment by the Tribal Council at any time. Regulations promulgated by the Gaming Commission under this Ordinance are 

subject to revision, repeal or amendment by the Gaming Commission 

at any time. 
The foregoing Ordinance was adopted at a regular meeting of 

the General Council with a quorum present held on the 27th day of 

Agust, 2000, by the following vote: 

AYES : 

NOES : 

ABSTAIN: 0 

~rindstodd~ndian Rancheria I 

ATTESTED : 

- 

Terri L. Burrows, Secretary/Treasurer 

Grindstone Indian Rancheria 

TRIBAL SEAL