Reggie Lewis 

Chairman of Interim Council 

Picayune Rancheria of Chukchansi Indians 

8080 N. Palm Avenue, Suite 207 

Fresno, CA 93711 

RE: Picayune Rancheria of Chukchansi Indians Gaming Ordinance and Resolution 

No. 2015-49. 

Dear Interim Chairman Lewis: 

This letter responds to the Picayune Tribal Gaming Commission's request on July 9, 

2015, on behalf of the Picayune Rancheria of Chukchansi Indians to the National Indian 

Gaming Commission (NIGC) to review and approve the Tribe's amendments to its gaming 

ordinance. The amendments to the gaming ordinance were adopted by Resolution No. 

2015-49 by the Tribal Council of the Picayune Rancheria of Chukchansi Indians. 

Resolution No. 2015-49 revises the Tribe's current gaming ordinance to better meet 

the Tribe's regulatory needs and to reflect changes in the NIGC regulations promulgated 

since 2010. The provisions most significantly amended cover public policy, the tribal 

gaming commission and its structure, use of net revenue, licensing procedures, and 

background investigation processes. 

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

ordinance is approved, as it is consistent with the requirements of the Indian Gaming 

Regulatory Act and NIGC regulations. If you have any questions, please contact staff 

attorney Heather Corson at (202) 63 2-7003. 

Sincerely, 

cc: Philip Hogen, Chairman 

Picayune Tribal Gaming Commission 

(via email: phogen@hogenadams.com) 

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail Stop# 1621 Washington, DC 20240 Tel : 202.632.7003 Fax: 202.632.7066 

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Pau l, MN; Tulsa OK; Oklahoma City, OK 

WWW.NIGC.GOV 
Picayune Rancheria of the 

CHUKCHANSI INDIANS 

8080 N. Palm Avenue, Suit.e 207, Fresno, CA 93711 

Tel • (559) 370-4141 • 

2010 Tribal Council 

RESOLUTION# 21115-...£'f 

Approval of the Amended Tribal Gaming Ordinance 

WHEREAS, the Picayune Rancheria of Chukchansi Indians (the "Tribe") is a sovereign, federally 

recognized Indian Tribe organized under the Constitution of the Tribe which was 

ratified on October 22, 1988 and eic:ercising inherent sovereignty end jurisdiction over 

its lands; and 

WHEREAS, pursuant to Article N, Section 2 of the Constitution of the Picayune Rancheria (the 

''Constitution"), the Tn1'11l Council of the Tribe (the "Tribal Council") is the governing 

body of the Tribe and is duly authorized to eic:ercise governmental authority on behalf 

of the Tribe; and 

WHEREAS, pursuant to Article V(a), (b), (c), (h), (m), (w) and (x) of the Constitution, the Tribal 

Council has the power, authority and duty to "promulgate and enforce bylaws and 

ordinances to carry out its powers," "to promulgate and enforce ordinances governing 

the conduct of the members of the Tribe," "to safeguard the peace, safety, morals, and 

general welfare of the Tribe," "to manage all economic affairs end enterprises of the 

Tribe," "to provide for the establishment of Tribal Courts for all purposes allowed by 

law" and "to exercise such further powers, consistent ~th. the Constitution, as needed 

to carry out the powers list.ed herein," and 

WHEREAS, the Tribe has been involved in a highly contentious intra-tribal disput.e concerning the 

legitimate and lawful composition of the Tribal Council-the governing body of the 

Tribe pursuant to the Tribe's Constitution; and 

WHEREAS, on February 9, 2015, the Interior Board of Indian Appeals ("IBIA") issued 1111 Ord.er 

Making Decision Effective Immediately the February 11, 2014 decision (the 

Decision") of the BIA Pacific Regional Director, Amy Dutschke, identifying the seven 

Tribal Council members - Reggie Lewis, Nancy Ayala, Jennifer Stanley, Chance 

Alberta, Nokomis Hernandez, Morris Reid and Dora Jones - who were the seven Tribal 

Council members installed {seated) immediately before a dispute arose in December 

2011 (the "2010 Tribal Council" and hereinafter the "Tribal Council"); and 

Page 1of 2 
WHEREAS, the Tribal Council under authority of the Tribe's Constitution is empowered to take 

such further action as may be necessary to carry out its duties and responsibilities 

Constitution, Article V (x); and 

WHEREAS, the Tribal Council has determiued that it is in the best interests of the Tribe and its 

members that it approve the Amended Tribal Gaming Ordinance as attached hereto 

and marked as Exhibit A and hereby revoke any amended Tribal Gaming Ordinance 

dated prior to August 4, 2015. 

NOW THEREFORE BE IT RESOLVED, that the Tribal Council has determined that it is in lhe 

best interests of the Tribe and its members that it approve the Amended Tribal 

Gaming Ordinance as attached hereto and marked as Exhibit A and hereby revoke 

any amended Tribal Gaming Ordinance dated prior to August 4, 2015. 

CERTIFICATION 

The Tribal Council of the Picayune Rancheria of the Chukchansi Indians does hereby certify 

that at a duly noticed, called and convened meeting/poll vote on the __ff2_ day of 

A"'~ 1.1:2 r , 2015 do hereby certify that the foregoing resolution was adopted by a 

vote of :!:L for, _Q_ against, _Q_ abstained, _Q_ not voting, and J absent. 

Reggi(:'Lewis, 

~,?~~~ Chairman 

ATTEST: 

Nokomis Hernandez, Secre 

v-e~~ 

Jennifer Stanley, Member 

Page2 of2 
EXHIBIT A 
TRIBAL GAMING ORDINANCE 

OF 

THE PICAYUNE RANCHERIA OF 

THE CHUKCHANSI INDIANS 

Amended as of August 4, 2015 

REGULATION OF CLASS II AND CLASS III GAMING 

A law to authorize, license and regulate the conduct of Class JI and Class III Gaming within the 

jurisdiction of the PICAYUNE RANCHERIA OF THE CHUKCHANSI INDIANS. 
TABLE OF CONTENTS 

Page 

SECTION 1. FINDINGS, INTENT AND POLICY ........................................................... .! 

1.1 Findings ................................................................................................................. l 

1.2 Intent ..................................................................................................................... 1 

1.3 Policy ................................................................................................................... .2 

SECTION 2. DEFINITIONS ................................................................................................ .3 

SECTION 3. GENERAL PROVISIONS ............................................................................ 12 

3.1 Authority ............................................................................................................. 12 

3.2 Title, Repeal of Prior Laws, and Effect ofRepeal ............................................. .12 

3.3 Construction ........................................................................................................ 12 

3.4 Severability ......................................................................................................... 12 

3.5 Effective Date ..................................................................................................... 12 

3.6 Designation of Agent .......................................................................................... 13 

3.7 Use ofNet Gaming Revenues ............................................................................. 13 

3.8 Per Capita Payments ........................................................................................... 13 

SECTION 4. TRIBAL GAMING COMMISSION ............................................................ 13 

4.1 Establishment ...................................................................................................... 13 

4.2 Location and Place of Business .......................................................................... 14 

4.3 Duration .............................................................................................................. 14 

4.4 Attributes ............................................................................................................. 14 

4.5 Recognition as a Political Subdivision of the Tribe ........................................... .14 

4.6 Sovereign Immunity of the Tribal Gaming Commission ................................... 15 

4.7 Waiver of Sovereign Immunity of the Tribal Gaming Commission ................. .15 

4.8 Sovereign Immunity of the Tribe ........................................................................ 16 

4.9 Assets of the Tribal Gaming Commission ......................................................... .16 

1 
TABLE OF CONTENTS 

4.10 Membership on the Board of Commissioners ................................................... .16 

4.11 Term of Office .................................................................................................... 18 

4.12 Ex-Officio Members ........................................................................................... 18 

4.13 Meetings .............................................................................................................. 18 

4.14 Compensation of Board of Commissioners ........................................................ 19 

4.15 Removal of Members or Vacancies .................................................................... 19 

4.16 Conflict oflnterest .............................................................................................. 20 

4.17 Due Process Afforded ......................................................................................... 20 

4.18 Powers of the Board ofCommissioners .............................................................. 21 

4.19 Limitations on the Powers of the Board of Commissioners 

and the Tribal Gaming Commission ................................................................... 25 

4.20 Annual Budget .................................................................................................... 25 

4.21 Tribal Gaming Commission Regulations ............................................................ 25 

4.22 Right of Entrance; Bi-Monthly Inspection ......................................................... 26 

4.23 Investigation ........................................................................................................ 26 

4.24 Due Process; Notice; Hearings; Examiner. ......................................................... 26 

4.25 Monthly Report of Tribal Gaming Commission ................................................ .27 

4.26 Executive Director ............................................................................................. .27 

SECTION 5. GAMING LICENSES .................................................................................. .28 

5 .1 Applicability ...................................................................................................... .28 

5 .2 Application Procedure ........................................................................................ 29 

5.3 Review of License Application .......................................................................... .33 

5.4 Notice of Results of Background Investigations ............................................... .35 

5.5 Granting Gaming Licenses ................................................................................ .35 

5.6 Denying Gaming Licenses ................................................................................. .37 

11 
TABLE OF CONTENTS 

5.7 Authorized Entity for Fingerprint Cards ............................................................. 37 

5.8 Notification and MOU with NIGC ..................................................................... 37 

5.9 Scope and Types of Gaming Employee Licenses ............................................... 38 

5.10 Temporary Licensing .......................................................................................... 38 

5.11 License Issuance, Term and Substance ............................................................... 39 

5.12 License Denial ................................................................................................... .39 

5 .13 Renewals ............................................................................................................ .3 9 

5.14 Wearing and Display ofLicense ......................................................................... 39 

5 .15 License Suspension or Revocation of License ................................................... .40 

5.16 Enterprise License .............................................................................................. .41 

5.17 FacilityLicense .................................................................................................. .42 

5.18 State Gaming Agency Licensing ....................................................................... .42 

5 .19 Miscellaneous Licensing Provisions .................................................................. .4 3 

SECTION 6. BANK ACCOUNTS AND RECORD KEEPING ...................................... .44 

6.1 Bank Account.. ................................................................................................... .44 

6.2 Record Keeping ................................................................................................. .44 

6.3 Audit Requirements ........................................................................................... .44 

6.4 Notices to the Public .......................................................................................... .45 

SECTION 7. GAMING ENTERPRISE RESTRICTIONS AND COMPLIANCE ....... .45 

7.1 Number of Facilities .......................................................................................... .45 

7.2 Gaming Device Restrictions .............................................................................. .45 

7.3 Gaming Device Technical Standards ................................................................. .46 

7.4 Age Restrictions ................................................................................................. .46 

7 .5 Methods of Payment .......................................................................................... .46 

7.6 Compliance requirements .................................................................................. .47 

111 
TABLE OF CONTENTS 

7. 7 Miscellaneous .................................................................................................... .4 7 

SECTION 8. ENFORCEMENT ......................................................................................... .47 

8.1 Jurisdiction ........................................................................................................ ..47 

8.2 Minimum Internal Control Standards ................................................................ .47 

8.3 Prohibited Acts ................................................................................................... .48 

8.4 Criminal Violation .............................................................................................. 50 

8.5 Civil Violation .................................................................................................... 50 

8.6 Cumulative Fines ................................................................................................ 50 

8.7 Purpose of Civil Penalties ................................................................................... 51 

8.8 Civil Action for Penalties .................................................................................... 51 

8.9 Seizure and Forfeiture of Property ...................................................................... 51 

8.10 Reporting of Offenders ....................................................................................... 51 

SECTION 9. GAMING MANAGEMENT ......................................................................... 51 

9.1 Gaming Facility Management. ............................................................................ 51 

9.2 Rules and Regulations for Management.. ........................................................... 52 

9.3 Insurance Requirements ...................................................................................... 53 

9.4 IRS Requirements ............................................................................................... 53 

9.5 Audit Requirements ............................................................................................ 53 

9.6 Annual Reports from Management Contractor ................................................... 53 

9.7 Management Contracts ....................................................................................... 54 

SECTION 10. PROCEDURES FOR RESOLVING DISPUTES BETWEEN 

THE GAMING PUBLIC AND GAMING MANAGEMENT ................... 56 

10.1 General Principles ............................................................................................... 56 

10.2 Initial Dispute Resolution Procedure .................................................................. 56 

10.3 Formal Dispute Resolution Procedure ................................................................ 57 

iv 
SECTION 1. FINDINGS, INTENT AND POLICY 

1.1 Findings: THE PICAYUNE RANCHERIA OF THE CHUKCHANSI INDIANS 

("Tribe" or "Tribal") on behalf of the General Council finds that: 

1.1.1 Tribal regulation and control of Gaming within the jurisdiction of the 

Tribe is essential for the protection of public health and welfare of the 

Tribe and visitors to the Tribal conununity. 

1.1.1 The Tribe has the legal authority to license and regulate any Gaming 

Activity within the jurisdiction of the Tribe. 

1.1.2 Properly licensed and regulated Gaming is in conformance with 

announced Federal policy promoting Indian self-government and Indian 

Tribal economic self-sufficiency. 

1.1.3 It is essential that the Tribal Council regulate Gaming in a manner 

conunensurate with applicable Federal, State and Tribal law and policy. 

1.1.4 The present needs of the Tribe are not adequately addressed by State and 

Federal programs including the need for increased employment, training, 

housing, health care, nutrition, educational opportunities, preservation of 

culture, social services and conununity and economic development. 

1.1.5 Tribal operation and licensing of Gaming is a legitimate means of 

generating revenue to address the aforementioned needs and pursuing the 

Tribe's goals of self-sufficiency and self-determination. 

1.1.6 The State, in recognition of the Tribe's sovereign right and need for 

Gaming, has entered into a Tribal-State Compact with the State of 

California ("Compact") pursuant to the terms and conditions of the Indian 

Gaming Regulatory Act of 1988 P.L. 100-497, 102 Stat. 2426, 25 U.S.C. 

§§2701, et seq. (1988) ("IGRA"). 

1.1. 7 As a result of the foregoing, the adoption of a new and expanded Gaming 

Ordinance is in the best interest of the Tribe and State. 

1.2 Intent: The Tribal Council, on behalf of the Tribe, declares that the intent of this 

Ordinance is to: 

1.2.1 Regulate, control, and oversee Gaming within the jurisdiction of the Tribe. 

1.2.2 State, declare and otherwise clarify that a License related to Gaming is a 

revocable privilege, not a right. 

1.2.3 Ensure that the operation of Tribally regulated Gaming can continue as a 

means of generating Tribal revenue. 

Page 1 of 53 
1.2.4 Ensure that Gaming is conducted fairly and honestly by both Licensees 

and players, and that it remains free from corrupt, incompetent, 

unconscionable and dishonest practices. 

1.2.5 Encourage Tribal economic development and employment opportunities. 

1.2.6 Ensure that all Gaming revenue is used for the benefit of the Tribe and its 

community. 

1.2.7 Ensure that the Tribe agrees to resolution of gaming disputes in a fair and 

impartial forum. 

1.2.8 Ensure that Tribal Gaming laws are strictly and fairly enforced upon 

Persons involved in Gaming Activity within the jurisdiction of the Tribe. 

1.3 Policy: 

1.3.1 Tribal Policy of Self-Government: The Tribe is firmly committed to the 

principle of Tribal self-government. Consistent with Federal policy, Net 

Revenues received by the Tribe shall be utilized and expended by the 

Tribal Council by resolution and only for the following purposes: 

(I) To fund Tribal government operations or programs. 

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

(3) To promote Tribal economic development. 

(4) To donate to charitable organizations. 

(5) To help to fund operations of local government agencies, general 

govermnental services, the maintenance of peace and good order, 

the establishment of educational systems and programs, and the 

promotion and regulation of economic activities within the 

sovereign jurisdiction of the Tribe. 

1.3.2 Tribal Gaming Policy: The establishment, promotion and operation of 

Gaming is a desirable economic activity, provided that such Gaming is 

regulated and controlled by the Tribe pursuant to the Compact authorized 

by the IGRA, and that the Net Revenues received by the Tribe from 

Gaming are used exclusively for the benefit of the Tribe. 

1.3.3 Tribal Ownership of Gaming Facilitv: The Tribe shall have sole 

proprietary interest in and responsibility for the conduct of any gaming 

operation authorized by this ordinance, unless the Tribe elects to allow 

individually owned gaming. 

Page 2 of57 
1.3.4 Tribal Class II Gaming Authorized: Class II Gaming is authorized as 

defined in the IGRA and by regulations promulgated by the National 

Indian Gaming Commission ("NIGC"). 

1.3 .5 Tribal Class III Gaming Authorized: Class III Gaming is authorized and 

permitted only with respect to the games identified pursuant to Section 4.1 

of the Compact as approved by the Secretary of the Interior, and played in 

accordance within the definitions and scope of the IGRA and by 

regulations promulgated by the NIGC. 

1.3.6 Tribal Class III Internal Control Standards: The Tribe voluntarily, through 

this Tribal Gaming Ordinance, shall maintain minimum internal control 

standards ("MICS") that equal or exceed those set forth in 25 C.F.R. 542 

(as in effect on October 1, 2006). The Tribe will work with NIGC to 

ensure compliance with MICS regulations. 

SECTION 2. DEFINITIONS 

In this Ordinance, except where otherwise specifically provided or the context otherwise 

requires, the following terms and expressions shall have the following meanings: 

2.1 "Adjusted Gross Revenues" means gross revenues less all cash prizes or the 

aggregate price of merchandise prizes, except in the case of the games of draw 

poker and stud poker. Regarding games of draw poker and stud poker, "adjusted 

gross revenues," means the time buy-ins or tournament fees collected by the 

Licensee. 

2.2 "Applicant" means any Person or entity who has applied for a License under the 

provisions of this Ordinance. 

2.3 "Application" means a request for the issuance of a License for employment at a 

Gaming Facility, or for approval of any act or transaction for which approval is 

required or permitted under the provisions of this Ordinance. 

2.4 "Association" means a representative from California tribes, the California State 

Division of Gambling Control and the California Gambling Control Commission 

as established pursuant to Section 2.2 of the Compact. 

2.5 "Authority" means the Chukchansi Economic Development Authority, a wholly 

owned unincorporated entity and instrumentality of the Tribe. 

Page 3 of57 
2.6 "Bingo" means the game of chance commonly known as bingo (whether or not 

electronic, computer or other technologic aids are used in connection therewith) 

which is played for prizes, including monetary prizes, with cards bearing numbers 

or other designations, in which the holder of each card covers such numbers or 

designations when objects, similarly numbered or designated, are drawn or 

electronically determined, and in which the game is won by the first Person 

covering a previously designated arrangement of numbers or designations on such 

cards, including (if played in the same location) pull-tabs, lotto, punch boards, tipjars, instant bingo and other games similar to bingo. 

2. 7 "Board of Commissioners" means the three-member board established pursuant 

to Section 4.10 of this Ordinance to oversee the Tribal Gaming Commission. 

2.8 "Breakage" means the difference between actual bet amounts paid out to bettors 

and amounts won due to bet payments being rounded up or down. For example, a 

winning bet that should pay $4.25 may actually be paid at $4.20 due to rounding. 

2.9 "Capital Cost" means any disbursement for personal property, the useful life of 

which is expected to extend beyond one year. 

2.10 "Cash" means any currency commonly accepted as legal tender, including but 

not limited to currency, traveler's checks, credit cards, and electronic debit cards. 

2.11 "Casino" means an establishment in which several Gaming activities or 

enterprises are operated. 

2.12 "Charitable Gaming Ticket" means any game piece used in the play of a paper 

pull tab game, or jar ticket game, or raffle. 

2.13 "Cheating" means a Person's operating or playing in any game in a manner in 

violation of the written or commonly understood rules of the game, with the intent 

to create for himself or someone in privity with him an advantage over and above 

the chance of the game. 

2.14 "Class II Gaming" means those Gaming activities defined as Class II Gaming in 

the IGRA. 

2.15 "Class III Gaming" means those Gaming activities defined as Class III Gaming 

in the IGRA. 

2.16 "Commissioner" means a member of the Board of Commissioners established 

pursuant to Section 4.10 of this Ordinance to oversee the Tribal Gaming 

Commission. 

2.17 "Compact" means the Gaming compact between the Tribe and the State, as 

authorized by the Indian Gaming Regulatory Act. 

Page4 of57 
2.18 "Compensation" means all wages salaries, perks, bonuses and all other forms of 

remuueration for services rendered. 

2.19 "Construction Contractor" means any Person who is not an Employee of the 

Enterprise or the Gaming Facility, or a Gaming Vendor, and who, pursuant to a 

Contract with the Enterprise or the Gaming Facility, will build or repair physical 

property of the current Gaming Facility or area that is intended to become 

Gaming Facility. 

2.20 "Contract" means any legally binding agreement made between a Licensee and 

another Person for the purpose of conducting any form of lawful Gaming 

Activity, or providing goods or services to any lawful Gaming Activity or 

operation. 

2.21 "Council" or "Tribal Council" means the governing body of the Tribe. 

2.22 "Determination of Suitability" means a formal finding by the Tribal Gaming 

Commission or State Gaming Agency that the Applicant or Licensee is suitable to 

obtain and/or maintain a License. 

2.23 "Employee" means an individual who is paid by the Enterprise or the Gaming 

Facility, and who (a) operates, maintains, repairs, assists in any Gaming Activity, 

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

persons who conduct, operate, account for, or supervise any such Gaming 

Acivity, (b) is in a category uuder federal or Tribal gaming law requiring 

licensing, ( c) is an employee of the Tribal Gaming Commission with access to 

confidential information, or ( d) is a person whose employment duties require or 

authorize access to areas of the Gaming Facility that are not open to the public. 

2.24 "Enrolled Tribal Member" means an individual who is enrolled with the Tribe, 

and whose name appears on the tribal membership roll. 

2.25 "Enterprise" means the economic entity that is licensed by the Tribal Gaming 

Commission, operates the games, receives the revenues, issues the prizes, and 

pays the expenses. A gaming enterprise may be operated by the Tribe or a 

Management Contractor. 

2.26 [Reserved] 

2.27 "Exclusive License" means a license which precludes the Tribal Gaming 

Commission from issuing to another a license for the same specific form of 

Gaming during the life of the exclusive license. An Applicant must demonstrate 

and the Tribal Gaming Commission must find that the issuance of an Exclusive 

License is in the economic interest and welfare of the Tribe. 

2.28 "Executive Director" is that Person employed to direct and oversee the day-today activities of the Tribal Gaming Commission. The Executive Director shall 

report to the Board of Commissioners. The Executive Director shall oversee all 

Page 5 of57 
departments of the Tribal Gaming Connnission and all other employees of the 

Tribal Gaming Commission. The Executive Director shall act as the 

administrative and operational supervisor for all Tribal Gaming Connnission 

personnel, and shall develop, for approval by the Board of Connnissioners, 

policies and procedures for effective staff connnunications and protocols. The 

Executive Director, consistent with the directives of the Board of Connnissioners, 

shall implement and enforce thls Ordinance, the IGRA, the Tribal MICS, the 

Compact, and the regulations of the Tribal Gaming Connnission. The Executive 

Director shall report to the Board of Connnissioners at their weekly meeting on 

all matters of significance related to the operations of the Tribal Gaming 

Connnission, shall make reconnnendations to the Board of Connnissioners 

regarding amendments to existing regulations and policies and the development of 

new regulations and policies, shall be responsible for the scheduling and 

organization of any hearings before the Board of Connnissioners, and shall 

develop, for approval by the Board of Connnissioners, plans for short term and 

long term staffing and budgeting of the Gaming Connnission, including the 

annual budget required by this Ordinance. The Executive Director shall schedule 

appropriate training and relevant education opportunities for Tribal Gaming 

Commission employees. The Executive Director shall act as the agent for service 

of process for the Tribal Gaming Connnission. The Executive Director, at the 

direction of the Board of Connnissioners, shall act as liaison between the Tribal 

Gaming Commission and other tribal entities. The job description of the 

Executive Director is subject to the approval of the Tribal Council. 

2.29 "Financial Source" as that term is used in 6.4.6 of the Compact and in this 

Ordinance, means every Person with whom the Tribe enters into an agreement or 

Contract for the purpose of extending financing to the Tribe, the proceeds of 

which are used either directly or indirectly to finance the Gaming Facility or 

Enterprise. 

2.30 "Games of Chance" means any game or activity, which falls within the broad 

definition of Gaming or Gaming Activity. 

2.31 "Gaming" or "Gaming Activity" means any activity, operation or game of 

chance in which any valuable consideration may be wagered upon the outcome 

determined by chance, skill, speed, strength or endurance, and in which any 

valuable prize is awarded to the player so wagering. 

2.32 "Gaming Device" means a slot machine, including an electronic, 

electromechanical, electrical, or video device that, for consideration, permits: 

individual play with or against that device or the participation in any electronic, 

electromechanical, electrical, or video system to which that device is connected; 

the playing of games thereon or therewith, including, but not limited to, the 

playing of facsimiles of games of chance or skill; the possible delivery of, or 

entitlement by the player to, a prize or something of value as a result of the 

application of an element of chance; and a method for viewing the outcome, prize 

won, and other information regarding the playing of games thereon or therewith. 

Page 6 of57 
2.33 "Gaming Facility" or "Gaming Establishment" means any building in which 

Class III Gaming Activities or Gaming operations occur, or in which the business 

records, receipts, or other funds of the Gaming operation are maintained (but 

excluding offsite facilities primarily dedicated to storage of those records, and 

financial institutions), and all rooms, buildings, and areas, including hotels, 

ancillary businesses, parking lots and walkways, a principal purpose of which is 

to serve the activities of the Gaming operation, provided that nothing herein 

prevents the conduct of Class II Gaming (as defined under IGRA) therein. 

2.34 [Reserved] 

2.35 "Gaming Vendor" means the same as a "Gaming Resource Supplier" as defined 

by the Compact or any Person or entity who, directly or indirectly, manufactures, 

distributes, supplies, vends, leases or otherwise purveys Class II Gaming or Class 

III Gaming resources to the Gaming Facility, provided that the Tribal Gaming 

Commission may interpret this definition to exclude a purveyor of equipment or 

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

other than in connection of Gaming. 

2.36 "General Manager" means the Person designated by the Tribe as having primary 

management responsibility for the business operations of the Gaming Facility. 

2.37 "Gross Revenues" means all gaming and non-gaming revenues collected or 

received from the lawful Gaming Enterprise. 

2.38 "Immediate Family" means, with respect to the Person under consideration, a 

husband, wife, father, mother, son, daughter, brother, sister, father-in-law, 

mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, 

stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half-brother 

or half-sister. 

2.39 "Indian Gaming Regulatory Act" or "IGRA" means Public Law 100-497, 102 

Stat. 2426, 25 U.S.C. §§2701, et seq. (1988), as amended. 

2.40 "Indian Lands" means: 

2.40.1 Lands within the limits of the Tribe's exterior boundaries, whereby the 

Tribe exercises sovereign jurisdiction over such lands, notwithstanding the 

issuance of any patent and including rights-of-way running through such 

lands; and 

2.40.2 Lands title to which is either held in trust by the United States for the 

benefit of the Tribe or an Enrolled Tribal Member or held by the Tribe 

subject to restriction by the United States against alienation and over 

which the Tribe exercises governmental powers; and 

2.40.3 Lands that may be acquired by the Tribe that meet the requirements of 

25 U.S.C. Section 2719 et seq. 

Page 7 of57 
2.41 "In privity with" means a relationship involving one who acts jointly with 

another or as an accessory before the fact to an act committed by the other or as a 

co-conspirator with the other. 

2.42 "IRS" means the United States Internal Revenue Service. 

2.43 "Key Employee" means: 

2.43.1 A Person who performs one or more of the following functions for the 

Gaming Facility and I or Enterprise: 

(1) Bingo caller; 

(2) Counting room supervisor; 

(3) Chief of security; 

( 4) Custodian of Gaming supplies or cash; 

( 5) Floor manager; 

( 6) Pit boss; 

(7) Dealer; 

(8) Croupier; 

(9) Approver of credit; or 

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

cash and accounting records within such devices. 

2.43.2 If not otherwise included, any other person whose total cash compensation 

is in excess of fifty thousand dollars ($50,000) per year. 

2.43.3 If not otherwise included, the four most highly compensated persons in the 

gaming operation. 

2.44 "License" means the official, legal and revocable permission granted by the 

Tribal Gaming Commission to an Applicant to conduct "Licensed" Gaming 

Activities of the Tribe. 

2.45 "Licensee" means the Employee, Key Employee, Primary Management Official, 

Vendor, Enterprise or Facility that has legitimately obtained a valid License. 

Page 8 of57 
2.46 "Lotto" means a form of Gaming in which the revenues derived from the sale of 

tickets or chances are pooled and those revenues or parts thereof allotted by 

chance to one or more chance takers or ticket purchasers. The amount of cash 

prizes or winnings is determined by the Licensee conducting the "lottery," and a 

progressive pool is permitted. 

2.47 "Management Contract" means any Contract for the management of Class II or 

Class III Gaming within the meaning of IGRA and any Contract entered between 

the Tribe and a Vendor, which authorizes the Vendor to manage any Gaming or 

Gaming Facility, including any Contract defined as a Management Contract under 

IGRA by the NIGC. 

2.48 "Management Contractor" means any Person or entity who has entered into a 

Class II or Class III Gaming Management Contract or is a Vendor who is 

authorized to manage Gaming or Gaming Facility, including any Person who is 

regarded as a Management Contractor within the meaning ofIGRA by the NIGC. 

2.49 "National Indian Gaming Commission" or "NIGC" means the National Indian 

Gaming Commission established by the IGRA. 

2.50 "Net Revenues" means Gross Revenues less amounts paid out as prizes and less 

total Gaming related operating expenses, excluding Management Contractor fees. 

2.51 "Non-Gaming Vendor" means the same any Person who is not a Gaming 

Vendor who, directly or indirectly, manufactures, distributes, supplies, vends, 

leases or otherwise purveys resources to the Gaming Facility that are not directly 

utilized in Class II or Class III Gaming, including but not limited to providers of 

food, beverages, hotel supplies, and capital-funded purchases such as carpets and 

light fixtures. 

2.52 "Ordinance" means this Tribal Gaming Ordinance of the Picayune Rancheria of 

the Chukchansi Indians, as amended. 

2.53 "Participate" in any Gaming means operating, directing, financing or in any way 

assisting in the establishment or operation of any class of Gaming or any site at 

which such Gaming is being conducted, directly or indirectly, whether at the site 

in Person or off of the Rancheria. 

2.54 "Person" means any individual, partnership, joint venture, corporation, joint 

stock company, company, firm, association, trust, estate, club, business trust, 

municipal corporation, society, receiver, assignee, trustee in bankruptcy, political 

entity and any owner, director, officer or employee of any such entity or any 

group of individuals acting as a unit, whether mutual, cooperative, fraternal, 

nonprofit, or otherwise, the government of the Tribe, any governmental entity of 

the Tribe or any of the above listed forms of business entities that are wholly 

owned or operated by the Tribe; provided, however, that the term does not include 

the Federal Government and any agency thereof. The plural of "Person" is 

"people." 

Page 9 of57 
2.55 "Player" means a Person participating in a game with the hope of winning money 

or other benefit, but does not include a Licensee or any assistant of a Licensee. 

2.56 "Preference" means that Enrolled Tribal Members who meet the minimum 

qualifications for a position with the Tribal Gaming Commission will be offered 

the position before a better-qualified non-Enrolled Tribal Member. Preference 

applies to hiring, promotions, and lay-offs of employees of the Tribal Gaming 

Commission. 

2.57 "Primary Management Official" means: 

2.57.1 The Person having management responsibility for a management 

contract; and 

2.57.2 Any person who has authority: 

(1) To hire and fire employees; or 

(2) To set up working policy for the gaming operation; or 

2.57.3 The chief financial officer or other persons who have financial 

management responsibility. 

2.58 "Progressive Gaming" means any game in which a cash prize which, not being 

won by any player during any game, is retained and further monetarily enhanced 

by the Licensee or eligible organization, and offered as a prize to players in the 

next game. 

2.59 "Pull-tabs, Punchboards and Tip Jars" means a form of Gaming in which 

preprinted cards utilizing symbols or numbers in random order which are 

uncovered by random choice in expectation of cash prizes if prescribed 

combinations of symbols and numbers are revealed. 

2.60 "Qualified Financial Source" means any of the following entities (including 

wholly-owned subsidiaries), acting for its own account or the accounts of other 

entities listed within this definition that in the aggregate owns at least onehundred-million dollars ($100,000,000) of securities of issuers that are not 

affiliated with the entity: 

a) Any federal-regulated or state-regulated bank or savings association or 

other federal- or state-regulated lending institution. 

b) Any company that is organized as an insurance company, the primary and 

predominant business activity of which is the writing of insurance or the 

reinsuring of risks underwritten by insurance companies, and that is 

subject to supervision by the Insurance Commissioner of California, or a 

similar official or agency of another state. 

Page 10 of57 
c) Any investment company registered under the federal Investment 

Company Act of 1940 (15 U.S.C. § 80a-l et seq.). 

d) Any retirement plan established and maintained by the United States, an 

agency or instrumentality thereof, or by a state, its political subdivisions, 

or any agency or instrumentality of a state or its political subdivisions, for 

the benefit of its employees. 

e) Any employee benefit plan within the meaning of Title I of the federal 

Employee Retirement Income Security Act of 1974 (29 U.S.C. § 1001 et 

seq.). 

f) Any securities dealer registered pursuant to the federal Securities 

Exchange Act of 1934 (15 U.S.C. § 78a et seq.). 

g) Any entity, all of the equity owners of which individually meet the criteria 

of this definition. 

2.61 "Raffle" means a form of Gaming in which each player buys a ticket for a 

chance to win a prize with the winner determined by a random method. "Raffle" 

does not include a slot machine. 

2.62 "Rancheria" means lands defined as "Indian Lands" herein. 

2.63 "State" means the State of California. 

2.64 "State Gaming Agency" means the entity of the State pursuant to the Gambling 

Control Act, pursuant to Division 8 of the Business and Professions Code, 

Chapter 5, Sec. 19800 et seq. 

2.65 "State Gaming Facility Compliance Agent" means the Person appointed 

pursuant to Section 6.4.2(d) of the Compact. 

2.66 "Tribal Gaming Commission" means the Tribe's Gaming Commission 

described in Section 4 of this Ordinance. 

2.67 "Tribal Council" means the duly elected Tribal Council of the Tribe. 

2.68 "Tribal Court" means any Court created by the Tribe pursuant to the Tribe's 

Constitution. 

2.69 "Tribe" means the Picayune Rancheria of the Chukchansi Indians, including the 

Authority and any other political subdivision, agency or instrumentality of the 

Tribe. 

2. 70 "Wager" means the initial bet made in any game. 

Page 11 of57 
SECTION 3. GENERAL PROVISIONS 

3.1 Authority: This Ordinance is enacted pursuant to the inherent sovereign powers 

of the Tribe pursuant to Article IV, Section 2, of the Constitution, and pursuant to 

the powers of the Tribal Council pursuant to Article V of the Constitution. 

3.2 Title, Repeal of Prior Laws, and Effect of Repeal: This Ordinance may be 

cited as the Picayune Rancheria of the Chukchansi Indians Gaming Ordinance or 

"Tribal Gaming Ordinance". 

3.2.l All titles, chapters and sections of the Tribal Code, which pertain to 

Gaming and are in effect as of the date that this Ordinance becomes 

operative, are hereby repealed, and all other laws, or parts thereof, 

inconsistent with the provisions of this Ordinance are hereby repealed. 

3.2.2 Repeal of this Ordinance, or any portion thereof, shall not have the effect 

of reviving any prior Law, Ordinance, or Resolution theretofore repealed 

or suspended. 

3.3 Construction: In construing the provisions of this Ordinance, unless the context 

otherwise requires, the following shall apply: 

3 .3 .1 This Ordinance shall be liberally construed to affect its purpose and to 

promote substantial justice. 

3.3.2 Words in the present tense include the future and past tenses. 

3.3.3 Words in the singular number include the plural, and words in the plural 

number include the singular. 

3 .3 .4 Words of the masculine gender or neuter include masculine and feminine 

genders and the neuter. 

3.4 Severability: If any section of this Ordinance is invalidated by a court of 

competent jurisdiction, the remaining sections shall not be affected thereby. 

3.5 Effective Date: This Ordinance and the rules, regulations, provisions, 

requirements, orders, and matters established and adopted hereby shall take effect 

and be in full force and effect after the adoption of this Ordinance by the Tribal 

Council, and either the approval by the Chairman of the NIGC, or ninety (90) 

days after submission of the Ordinance to the NIGC if the Tribe receives no 

response pursuant to the IGRA. 

3.5.l The Tribal Secretary shall certify the adoption of this Ordinance and cause 

the same to be published as required by law. 

Page 12 of 57 
3.6 Designation of Agent: The Chairman of the Picayune Rancheria of the 

Chukchansi Indians shall accept service of any official determination, order, or 

notice of violation issued by the Commission as described in 25 CPR Part 519. 

3.7 Use of Net Gaming Revenues: Net revenues from Tribal gaming shall be used 

only for the following purposes: 

3.7.1 To fund Tribal government operations or programs; 

3.7.2 To provide for the general welfare of the Tribe and its members; 

3.7.3 To promote Tribal economic development; 

3.7.4 To donate to charitable organizations; or 

3. 7.5 To help fund operations of local government agencies. 

3.8 Per Capita Payments 

3.8.1 Net revenues from any [class II and/or class III] gaming activities conducted 

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

members if: 

(1) The Tribe has prepared a plan to allocate revenues to one or more of 

the five uses authorized by section 3.7 of this ordinance; 

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

particularly with respect to the uses described in sections 3. 7.1 and 

3.7.3 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 Tribe 

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

SECTION 4. TRIBAL GAMING COMMISSION 

4.1 Establishment: The Tribal Council hereby charters, creates and establishes the 

Picayune Rancheria of the Chukchansi Indians Tribal Gaming Commission as a 

governmental subdivision of the Tribe. 

4.1.1 The Picayune Rancheria of the Chukchansi Indians Tribal Gaming 

Page 13 of57 
Commission shall be referred to throughout this Ordinance as the Tribal 

Gaming Commission. 

4.2 Location and Place of Business: 

4.2.1 Principal Place of Business. The Tribal Gaming Commission shall 

maintain its principal place of business within the boundaries of the 

Rancheria, which may include being located within the Gaming Facility. 

4.2.2 Other Locations. The Tribal Gaming Commission may, with a majority 

vote of the Tribal Council, establish other offices in such other locations 

as the Tribal Gaming Commission may from time to time determine to be 

in the best interest of the Tribe. 

4.3 Duration: The Tribal Gaming Commission shall have perpetual existence and 

succession in its own name, unless dissolved by the Tribal Council pursuant to 

Tribal law. 

4.4 Attributes: As a governmental subdivision of the Tribe, the Tribal Gaming 

Commission is under the directive and control of the Tribal Council, but it is the 

purpose and intent of the Tribal Council that the operations of the Tribal Gaming 

Commission be conducted on behalf of the Tribe for the sole benefit and interests 

of the Tribe, its members and the residents of the Rancheria. 

4.4.1 Arm of Tribe. In carrying out its purposes under this Ordinance, the 

Tribal Gaming Commission shall function as an arm of the Tribe. 

4.4.2 Tribal Actions. Notwithstanding any authority delegated to the Tribal 

Gaming Commission under this Ordinance, the Tribe reserves to itself the 

right to bring suit against any Person or entity in its own right, on behalf of 

the Tribe or on behalf of the Tribal Gaming Commission, whenever the 

Tribe deems it necessary to protect the sovereignty, rights and interests of 

the Tribe or the Tribal Gaming Commission. 

4.5 Recognition as a Political Subdivision of the Tribe: The Tribe, on behalf of the 

Tribal Gaming Commission, shall take all necessary steps to acquire recognition 

of the Tribal Gaming Commission as a political subdivision of the Tribe, 

recognized by all branches of the United States Government as having been 

delegated the right to exercise one or more substantial governmental functions of 

the Tribe. 

Page 14 of 57 
4.6 Sovereign Immunity of the Tribal Gaming Commission: 

4.6.1 Authoritv. The Tribal Gaming Commission is clothed by Federal and 

Tribal law with all the privileges and immunities of the Tribe, except as 

specifically limited by this Ordinance, including sovereign immunity from 

suit in the State, Federal or Tribal Court. 

4.6.2 No Waiver. Nothing in this Ordinance shall be deemed or construed to be 

a waiver of sovereign immunity of the Tribal Gaming Commission from 

suit, which shall only be waived pursuant to subsection 4.7 below. 

4.6.3 No Consent to Jurisdiction. Nothing in this Ordinance shall be deemed or 

construed to be a consent of the Tribal Gaming Commission to the 

jurisdiction of the United States or of any state or of any other tribe with 

regard to the business or affairs of the Tribal Gaming Commission. 

4.6.4 Actions by Tribal Council. Notwithstanding any other provision herein, as 

an entity of the Tribe, the Tribal Gaming Commission's immunity from 

suit shall at all times be deemed waived for actions initiated by the Tribal 

Council of the Tribe. 

4.7 Waiver of Sovereign Immunity of the Tribal Gaming Commission: The 

sovereign immunity of the Tribal Gaming Commission may be waived only by 

express resolutions of both the Board of Commissioners and the Tribal Council 

and after consultation by the Tribal Gaming Commission with its attorneys. 

4.7.1 Resolution Effecting Waiver. All waivers of sovereign immunity must be 

preserved with the resolutions of the Board of Commissioners and the 

Tribal Council. 

4.7.2 Policy on Waiver. Waivers of sovereign immunity are disfavored and 

shall be granted only when necessary to secure a substantial advantage or 

benefit to the Tribal Gaming Commission. 

4.7.3 Limited Nature of Waiver. The Tribal Gaming Commission shall have 

neither the authority nor the ability to enter into any waiver of sovereign 

immunity except as to the Tribal Gaming Commission as set forth in this 

Ordinance. Waivers of sovereign immunity shall not be general but shall 

be specific and limited as to duration, grantee, transaction, property or 

funds, if any, of the Tribal Gaming Commission subject thereto, court 

having jurisdiction pursuant thereto and law applicable thereto. All 

waivers of immunity issued by the Tribal Gaming Commission shall 

expressly state that the waiver does not extend to the Tribe or any entity of 

the Tribe other than the Tribal Gaming Commission. 

4.7.4 Limited Effect of Waiver. No express waiver of sovereign immunity 

issued in accordance with this section shall be deemed a consent to the 

Page 15 of 57 
levy of any judgment, lien or attachment upon property of the Tribal 

Gaming Connnission other than property specifically pledged or assigned, 

or a consent to suit in respect of any land within the exterior boundaries of 

the Rancheria or a consent to the alienation, attachment or encumbrance of 

any such land. 

4.8 Sovereign Immunity of the Tribe: All inherent sovereign rights of the Tribe as 

a Federally-recognized Indian Tribe, with respect to the existence and activities of 

the Tribal Council, are hereby expressly reserved, including sovereign innnunity 

from suit in any state, Federal or Tribal court. 

4.9 Assets of the Tribal Gaming Commission: The Tribal Gaming Commission 

shall have only those assets specifically assigned to it by the Tribal Council or 

acquired in its name by the Tribe or by it on its own behalf. No activity of the 

Tribal Gaming Connnission or any indebtedness incurred by it shall implicate or 

in any way involve any assets of tribal members or the Tribe not assigned in 

writing to the Tribal Gaming Connnission. 

4.10 Membership on the Board of Commissioners: 

4.10.1 Number of Commissioners. The Board of Connnissioners shall be 

comprised of three (3) part-time Tribal Gaming Connnissioners. 

4.10.2 Organization. The Board of Connnissioners will consist of a Chairperson, 

Vice-Chairperson and Secretary/Treasurer who are the officers of the 

Board of Connnissioners. 

( 1) The Chairperson shall preside over meetings of the Board of 

Connnissioners. 

(2) The Vice-Chairperson shall act as the Chairperson in the absence 

of the Chairperson and also may serve as Treasurer. 

(3) The Secretary shall be responsible for ensuring all Tribal Gaming 

Connnission meeting minutes are properly recorded and 

maintained and also may serve as Treasurer. 

( 4) The Treasurer shall be responsible for ensuring that the annual 

budget of the Tribal Gaming Connnission is submitted by the 

Executive Director to the Board of Connnissioners for timely 

approval, in order for the annual budget to be presented to the 

Tribal Council pursuant to this Ordinance. 

(5) The officers shall attend meetings of the Board of Connnissioners 

and perform duties, in addition to those described above, 

appropriate and necessary to the efficient conduct of business of 

the Board of Connnissioners. 

Page 16 of 57 
( 6) The Board of Commissioners shall keep minutes of meetings and 

provide a copy to the Tribal Council upon the approval of such 

minutes by the Board of Commissioners. 

4.10.3 Qualifications for Board of Commissioners Positions 

(1) Preference shall be given to Enrolled Tribal Members. 

(2) Commissioners must pass the scrutiny of a Key Employee License 

background check, and the additional requirements set forth at 

4.10.5 below. 

(3) Members of the Board of Commissioners shall have expertise, 

experience, education or a combination thereof in the following 

areas: gaming, finance, management, legal, business, governmental 

regulation, and Tribal policy and law. 

(4) Members of the Board of Commissioners shall be at least twentyfive (25) years of age. 

4.10.4 Date of Appointment. Regular terms for members of the Board of 

Commissioners shall normally begin and end on the fourth Monday of the 

month of February during a duly convened Tribal Council meeting, or as 

soon as practically possible thereafter depending on the schedule and 

availability of the Tribal Council. The Tribal Council shall appoint 

members of the Board of Commissioners as soon as practically possible 

following any vacancy in accordance with the Ordinance including 

Section 4.15.6 below. Appointments to the Board of Commissioners shall 

be made by written resolution adopted at a meeting of the Tribal Council. 

4.10.5 Background Check. Prior to the time that any member of the Board of 

Commissioners takes office, the Tribe shall perform or arrange to have 

performed a Key Employee License background check on each 

prospective member. No Person shall serve as a Commissioner if: 

(1) His/Her prior activities, criminal record, if any, or reputation, 

habits or associations: 

(i) Pose a threat to the public interest; or 

(ii) Threaten the effective regulation and control of Gaming; or 

(iii) Enhance the dangers of unsuitable, unfair, or illegal 

practices, methods, or activities in the conduct of Gaming; 

or 

Page 17 of57 
(2) He/She has been convicted of or entered a plea of nolo contendere 

to a felony of any jurisdiction or to a misdemeanor involving 

dishonesty or moral turpitude in any jurisdiction; or 

(3) He/She has a direct monetary or financial interest in the conduct of 

any Gaming Enterprise or is in privity with a Management 

Contractor; or 

(4) He/She is presently a member of the Tribal Council. 

4.11 Term of Office: Commissioners shall be appointed for a four ( 4) year term of 

office, in staggered terms as set forth below, subject to nonmaterial deviation 

based on the actual date in February of each year on which the Tribal Council 

convenes to make Commissioner and other appointments. Commissioners may 

be reappointed by the Tribal Council prior to the expiration of their current term. 

4.11.1 Appointment of the Board of Commissioners. The terms of 

Commissioners are staggered based on the appointments made by the 

Tribal Council following the December 6, 2007 adoption of this 

Ordinance. Terms of Commissioners shall begin and end on the fourth 

Monday in the month of February, as described in Section 4.10.4, above. 

Commissioners shall be appointed by resolution, and their appointment 

shall be confirmed by a letter from the Tribal Council. 

4.11.2 [Reserved] 

4.11.3 Appointment of Officers. The Tribal Council shall appoint from among 

the Commissioners a Chairperson every year in February at the time of the 

annual Commissioner appointments, subject to reappointment at the 

discretion of the Tribal Council. Thereafter the Commissioners shall 

select from among themselves the Vice-Chairperson, Secretary, and 

Treasurer. 

4.12 Ex-Officio Members: At the direction of the Tribal Council, any member of the 

Tribal Council, Tribe, Bureau of Indian Affairs employee, or any other Person 

may be designated to participate, without vote, in Board of Commissioner 

meetings. 

4.13 Meetings: 

4.13.l Regular Meetings. The Board of Commissioners shall meet not less 

frequently than one day per month, on a designated day of the week to be 

established annually by the Board of Commissioners during the first Board 

of Commissioners meeting in following the new appointments. Such 

regular meeting day may be varied by Commissioner vote for the purpose 

of accommodating holidays or as necessitated by circumstances which in 

the reasonable business judgment of the Commissioners require such 

Page 18 of57 
variance. Nothing in this Ordinance shall prohibit the Commission from 

authorizing off-site meetings. 

4.13 .2 Special Meetings. Special meetings may be called at the request of the 

Tribal Council or by the written request of two members of the Board of 

Commissioners, provided that (i) each Commissioner is provided at least 

seventy-two (72) hours notice of the special meeting by direct contact and 

by posting of the notice at the Tribal Gaming Commission offices, or (ii) 

all members of the Commission are present (or present by telephone if so 

authorized). 

4.13.3 Meetings with Tribal Council. The Tribal Council shall establish a time 

for a monthly meeting between the Board of Commissioners and the 

Tribal Council. All meetings with the Tribal Council shall be considered 

special meetings of the Board of Commissioners. The Tribal Council may 

also schedule emergency meetings with the Board of Commissioners 

without regard to the notice requirements of Section 4.13.2. 

4.13.4 Quorum. A quorum for all meetings shall consist of two (2) 

Commissioners. The Chairperson shall count towards the quorum. 

Members present by Skype, internet technology, telephone or other remote 

communication technology shall count towards a quorum. Should a 

member leave or should the remote communication technology be 

disconnected during a meeting whereby the number of members falls 

below the quorum of two (2), then the quorum is lost and no further 

business shall be conducted until the quorum is re-established. 

4.13.5 Voting. All questions arising in connection with the actions of the Board 

of Commissioners shall be decided by majority vote of those present at the 

meeting. The Chairperson shall not vote except to break a tie. Members 

present by telephone, if so authorized, shall not be entitled to vote. 

4.14 Compensation of Board of Commissioners: The compensation of 

Commissioners shall be established by the Tribal Council annually at the time of 

the Tribal Council's approval of the annual budget. If no action is taken by the 

Tribal Council, the compensation for Commissioners shall remain the same as the 

previous year. 

4.15 Removal of Members or Vacancies: 

4.15.1 Removal. A Commissioner may be removed by the Council for the 

following reasons: serious inefficiency, neglect of duty, malfeasance, 

misfeasance, nonfeasance, misconduct in office, or for any conduct which 

threatens the honesty and integrity of the Tribal Gaming Commission or 

otherwise violates the letter or intent of this Ordinance or other applicable 

Tribal or other law. 

Page 19 of57 
4.15.2 Due Process. Except as provided below, no Commissioner may be 

removed without notice and an opportunity for a hearing before the 

Council, and then only after the Commissioner has been given written 

notice of the specific charges at least ten ( 10) days prior to such hearing. 

At any such hearing, the Commissioner shall have the opportunity to be 

heard in Person or by counsel and to present witnesses on his/her behalf. 

4.15.3 Temporary Suspension. If the Council determines that immediate 

suspension of a Commissioner is necessary to protect the interests of the 

Tribe, the Council may hold a hearing with the Commissioner to suspend 

the Commissioner temporarily, and the question of permanent removal 

shall be determined thereafter pursuant to Tribal Gaming Commission 

hearing procedures pursuant to 4.15.2 herein. 

4.15.4 Written Record. A written record of all removal proceedings together 

with the charges and findings thereon shall be kept by the Tribal 

Secretary. 

4.15.5 Removal Final. The decision of the Tribal Council upon the removal ofa 

Commissioner shall be final. 

4.15.6 Vacancies. If any Commissioner shall die, resign, decline an appointment, 

be removed or for any reason be unable to serve as a Commissioner during 

the term of the Commissioner's appointment, the Council shall declare 

said Commissioner position vacant and shall appoint another Person to fill 

the vacant position within ninety (90) days of the vacancy. The term of 

office of any Person appointed to fill a vacancy shall be in accordance 

with Section 4.11 of this Ordinance. Said appointed Commissioner shall 

be appointed for the balance of any unexpired term and shall meet the 

qualifications established by this Ordinance. 

4.15.7 Temporary Appointments. If necessary, the Tribal Council may appoint 

one or more temporary Commissioners, if any vacancy or vacancies 

prohibit establishment of a quorum. Temporary appointments shall be for 

no longer than ninety (90) days. Temporary appointments need not 

complete a background check prior to serving, although the background 

check still must be conducted pursuant to 4.10.5 herein. 

4.16 Conflict of Interest: No Person shall serve as a Commissioner if he/she or any 

member of his/her Immediate Family has an ownership, partnership or other 

direct financial interest, other than a regular salary interest, in any Gaming 

Enterprise, or if he/she has any other personal or legal relationship which places 

him/her in a conflict of interest. 

4.17 Due Process Afforded: The Board of Commissioners and its members shall take 

no action to carry out its duties that fails to afford due process and protection of 

the Tribal and federal Constitutional rights of the parties and persons involved. 

Page 20 of57 
4.18 Powers of the Board of Commissioners: In furtherance, but not in limitation, of 

the Tribal Gaming Commission's purposes and responsibilities, and subject to any 

restrictions contained in this Ordinance or other applicable law, the Board of 

Commissioners shall have, and is authorized to exercise by majority vote, the 

following powers in addition to all powers already conferred by this Ordinance: 

4.18.l To enforce this Ordinance, the IGRA, the Tribal MICS, the Compact, and 

the regulations of the Tribal Gaming Conunission over all Gaming within 

the jurisdiction of the Tribe, provided that none of the Board of 

Commissioners, any individual Commissioner nor any employee of the 

Tribal Gaming Commission shall make management decisions as to the 

day-to-day operations of the Gaming Enterprise. 

4.18.2 To direct the investigation of any reported violations of this Ordinance, the 

Compact, or any other applicable law regarding Gaming within the 

jurisdiction of the Tribe. 

4.18.3 To act as liaison with the NIGC, the California Division of Gambling 

Control and the California Gambling Control Commission. 

4.18.4 To publish and distribute copies of this Ordinance and Tribal Gaming 

Commission regulations or policies and any Tribal Council, Board of 

Commissioners or Tribal Court decisions regarding Gaming matters. 

4.18.5 To work directly, and only, with the Tribal Council with regard to any 

Gaming issues, including policy issues arising at or with the State and 

Federal government. 

4.18.6 To make or cause to be made reasonable inspections or investigations 

through the Executive Director as it deems necessary to ensure compliance 

with this Ordinance. In undertaking such investigations, the Board of 

Commissioners may request the assistance of the Enterprise or Gaming 

Facility employees, Federal and local law enforcement officials, legal 

counsel and other appropriate third parties. 

4.18.7 To arrange for training of members of the Board of Commissioners, within 

the training budget approved by the Tribal Council in the armual budget. 

4.18.8 Upon prior explicit resolution and approval of the Tribal Council, to 

employ such advisors as it may deem necessary. Advisors may include, 

but are not limited to, lawyers, accountants, law enforcement specialists 

and Gaming professionals. 

4.18.9 To promulgate rules and regulations to implement and further the 

provisions of this Ordinance; provided such rules or regulations are 

approved by Tribal Council resolution or ordinance. 

4.18. l 0 To accept, review, approve or disapprove any Application for a License. 

Page 21of57 
4.18.11 To consult with and make recommendations to the Tribal Council 

regarding changes in Tribal Gaming laws and policies. 

4.18.12 To examine under oath, either orally or in writing, in hearings or 

otherwise, any Person or agent, officer or employee of any Person, or 

any other witness with respect to any matters related to this Ordinance, 

and according to the requirements of this Ordinance, including 

enforcement of Tribal Gaming laws, regulations, and policies, and to 

compel by subpoena the attendance of witnesses and the production of 

any books, records, and papers with respect thereto. 

4.18.13 To direct, through the Executive Director, an examination or 

investigation, according to the requirements of this Ordinance, of the 

place of business, equipment, facilities, tangible Personal property and 

the books, records, papers, vouchers, accounts, documents and financial 

statements of any Gaming operating, or suspected to be operating, 

within the jurisdiction of the Tribe. 

4.18.14 To delegate to an individual member of the Board of Commissioners, to 

an employee of the Tribal Gaming Commission, to an individual 

member of the Tribal Council, or to Tribal staff, such of its functions as 

may be necessary to administer this Ordinance efficiently; provided, that 

the Board of Commissioners may not re-delegate its power to exercise 

any of the substantial governmental functions of the Tribe or its power 

to promulgate rules and regulations; and provided further that the Board 

of Commissioners may not delegate to any Person the power to 

permanently revoke a License. 

4.18.15 To issue fines and sanctions to the Gaming Facility, gaming licensees or 

other persons who interfere with or violate the Tribe's gaming 

regulatory requirements and obligations under IGRA, the Tribal Gaming 

Ordinance or the Gaming Compact, and to report significant violations 

of the Compact to the State Gaming Agency. 

4.18.16 To use the seal of the Tribal Gaming Commission or the seal of the 

Tribe with the approval of the Tribal Council. 

4.18.17 To negotiate or settle any dispute to which it is a party relating to the 

Tribal Gaming Commission's authorized activities, in consultation with 

the Tribal Council. 

4.18.18 To purchase insurance from any stock or mutual company for any 

property or against any risk or hazard, in accordance with the approved 

annual budget. 

4.18.19 With prior approval of the Tribal Council, to make application and 

accept grants and other awards from private and governmental sources 

Page 22 of57 
to carry out or further the purposes of the Tribal Gaming Commission or 

of the Tribe. 

4.18.20 To require the filing of any records, forms, and reports and all other 

information desired by the Tribal Council or required by this Ordinance. 

4.18.21 To provide for an internal system of record keeping and storage of said 

records with adequate safeguards for preserving confidentiality as 

deemed necessary by the Board of Commissioners for retaining records, 

forms and reports for at least three (3) years. 

4.18.22 To adopt a schedule of fees to be charged for Licenses and background 

investigations, subject to the approval of the Tribal Council, and 

pursuant to the Tribal power to tax. Additionally, the Board of 

Commissioners may waive any fee charged for Licenses or background 

investigations, upon prior consultation with, and written approval of the 

Tribal Council that such a waiver of fees is in the best interest of the 

Tribe. 

4.18.23 To adopt a schedule of fees for services rendered relating to transcripts 

and the furnishing or certifying of copies of proceedings, files, and 

records. 

4.18.24 To conduct or arrange for background investigations of all Applicants. 

4.18.25 To discipline any Licensee or Person participating in Gaming after 

affording the individual due process and conducting an investigation that 

results in a showing of a reasonable likelihood of noncompliance with 

this Ordinance by said Licensee or Person participating in Gaming, by 

ordering immediate compliance with this Ordinance and give notice of 

the potential for temporary suspension of said License. If necessary and 

appropriate and after providing adequate notice to said Licensee or 

Person participating in Gaming, to thereafter issue an order of temporary 

suspension of any License issued under this Ordinance and in accord 

with the procedures set forth in this Ordinance. 

(1) In exigent circumstances wherein the health or safety of any 

individual Licensee, patron, Tribal Member, or other is at risk, or 

where significant financial damage or harm to the integrity of 

Gaming would be likely to occur in the absence of immediate 

action, to discipline any Licensee or Person participating in 

Gaming by ordering immediate compliance with this Ordinance, 

and to simultaneously issue an order of immediate temporary 

suspension of any License issued under this Ordinance and in 

accord with the procedures set forth in this Ordinance. In such a 

case, thereafter to hold a noticed hearing and conduct a complete 

investigation of said circumstances and Licensee or Person 

Page 23 of57 
participating in Gaming. Upon completion of the investigation, 

which shall be conducted and completed within a reasonable time, 

to issue such findings and orders as appropriate based upon the 

results of the investigation. 

4.18.26 To issue an order of temporary closure ofa Gaming Facility in the event 

the Board of Commissioners determines that immediate closure is 

necessary to protect public safety and Gaming assets pursuant to the due 

process and hearings required by Section 4.24 herein. 

4.18.27 To become self-regulating whenever the Tribe becomes eligible for a 

certificate of self-regulation under the IGRA. 

4.18.28 To file with the State Gaming Agency a request to be heard on any 

denial of a Determination of Suitability. 

4.18.29 To ask for the assistance of the State Gaming Agency to carry out the 

Class III provisions of this Ordinance and to reimburse the State Gaming 

Agency for any costs that it incurs in the provision of this service. 

4.18.30 To assist the Enterprise in taking all steps necessary and appropriate to 

insure the physical safety of all Tribal Gaming Enterprises, their 

Licensees, patrons and employees. 

4.18.31 To enact and adhere to its own internal controls including a Conflict of 

Interest Policy governing Commissioners and Tribal Gaming 

Commission staff, which internal controls shall become effective upon 

approval by the Tribal Council. 

4.18.32 Policies and Procedures. The Board of Commissioners shall develop, 

with the assistance of the Executive Director, policies and procedures 

consistent with this Ordinance which shall govern the conduct of 

meetings and hearings of the Board of Commissioners, which policies 

and procedures shall become effective upon approval by the Tribal 

Council, provided that, not withstanding any provision of this Ordinance 

to the contrary, if the Tribal Council fails to take any action on the 

proposed policies and procedures within ninety (90) days of their 

submission to the Tribal Council, the policies and procedures shall be 

deemed approved by the Tribal Council. 

4.18.33 To hire, oversee, and direct an Executive Director, and to remove the 

Executive Director with cause pursuant Section 4.24 and 4.26 of this 

Ordinance. 

Page 24 of57 
4.19 Limitations on the Powers of the Board of Commissioners and the Tribal 

Gaming Commission: 

4.19.1 The Tribal Gaming Commission shall not require members of the Tribal 

Council to obtain a License from the Tribal Gaming Commission. 

4.19.2 The Tribal Gaming Commission shall not regulate the Tribe or any entities 

of the Tribe outside the activities of Gaming. 

4.19.3 The Tribal Gaming Commission shall not regulate Net Revenues of 

Gaming once Net Revenues have been distributed to the Tribe or to an 

entity of the Tribe utilizing funds for non-Gaming activities. 

4.19.4 The Board of Commissioners shall not oversee the day-to-day activities of 

the Tribal Gaming Commission departments, which is the role of the 

Executive Director. 

4.19.5 The Board of Commissioners only has the authority to act as the Board of 

Commissioners during a duly called meeting of the Board of 

Commissioners. Commissioners have no authority to act on behalf of the 

Board of Commissioners without the express authority of the Board of 

Commissioners. 

4.19.6 All personnel and procurement policies, all policies and procedures 

relating to the regulation of Gaming, and all regulations of the Tribal 

Gaming Commission, whether new or amended, are not valid until 

approved by the Tribal Council. 

4.20 Annual Budget: The Tribal Gaming Commission shall prepare au annual 

operating budget for all Tribal Gaming Commission activities and present it to the 

Tribal Council by October 15 of the year preceding the budget year. The fiscal 

year for the Tribal Gaming Commission shall begin on January 1 and end on 

December 31. The annual budget shall include the proposed licensing fees 

(including the Facility License fee) for the year. The annual budget shall not be 

effective until approved by the Tribal Council. The Tribal Council shall approve 

the budget no later than January 1 of the budget year. 

4.21 Tribal Gaming Commission Regulations: 

4.21.1 Tribal Gaming Commission regulations necessary to carry out the orderly 

performance of its duties and powers shall include, but shall not be limited 

to, the following: 

(1) The Minimum Internal Control Standards ("MICS") as adopted by 

the Board of Commissioners; 

Page 25 of57 
(2) Interpretation and application of this Ordinance, as may be 

necessary to enforce the Tribal Gaming Commission's duties and 

exercise its powers; 

(3) A regulatory system for overseeing Gaming, including accounting, 

contracting, management and supervision; 

( 4) The findings of any reports or other information required by or 

necessary to implement this Ordinance; and 

(5) The conduct of inspections, investigations, hearings, enforcement 

actions and other powers of the Tribal Gaming Commission 

authorized by this Ordinance. 

4.21.2 No regulation of the Tribal Gaming Commission shall be of any force or 

effect unless it is adopted by the Board of Commissioners by written 

resolution and subsequently approved by a resolution of the Tribal Council 

and both resolutions are filed for the record in the office of the Tribal 

Secretary. 

4.22 Right of Entrance; Bi-Monthly Inspection: The duly authorized employees of 

the Tribal Gaming Commission, during regular business hours, may reasonably 

enter upon any premises of any Gaming Facility for the purpose of making 

inspections and examining the accounts, books, papers and documents of any 

such Gaming Facility. 

4.22.1 Aid to Entry. The Gaming Facility staff shall facilitate such inspection or 

examinations by giving every reasonable aid to the duly authorized 

employees of the Tribal Gaming Commission. 

4.22.2 Frequency of Inspection. A duly authorized employee of the Tribal 

Gaming Commission shall visit each Gaming Facility at least once every 

two weeks during normal business hours for the purpose of monitoring its 

operation. Such visits shall be unannounced. 

4.23 Investigation: The Tribal Gaming Commission, upon complaint or upon its own 

initiative or whenever it may deem it necessary in the performance of its duties or 

the exercise of its powers, may investigate and examine the operation and 

premises of any Person or Licensee within its jurisdiction. In conducting such 

investigation, the Tribal Gaming Commission shall make no order or final 

decisions without affording any affected party due process, notice and a hearing. 

4.24 Due Process; Notice; Hearings; Examiner: The Board of Commissioners shall 

provide due process and provide notice and a hearing if it is to utilize any of its 

enforcement capabilities in the administration of its powers and duties hereunder. 

4.24.1 No Hearing, Voluntary Resolution. Whenever it shall appear to the 

satisfaction of the Board of Commissioners that all of the interested parties 

Page 26 of57 
involved in any proposed hearing have agreed concerning the matter at 

hand, the Board of Commissioners may dismiss the issue without a 

hearing. 

4.24.2 Notice of Hearing. The Board of Commissioners shall, within 5 business 

days after (a) the discovery of an event or circumstances giving rise to 

concern, or (b) the receipt of a completed Tribal Gaming Commission 

investigation report, provide a written notice to the affected party(ies) 

setting forth, with specificity, the issue(s) to be resolved. 

4.24.3 Hearing. The Board of Commissioners shall, within 14 business days 

after the notice of hearing pursuant to 4.24.2, provide the affected parties 

the right to present oral or written testimony from all people interested 

therein as determined by the Board of Commissioners. 

4.24.4 Examiner. The Board of Commissioners shall act as Examiner for the 

purpose of holding any hearing, or the Board of Commissioners may 

appoint a Person qualified in the law or possessing knowledge or expertise 

in the subject matter of the hearing to act as Examiner for the purpose of 

holding any hearing. Any such appointment shall constitute a delegation 

to such examiner of the powers of the Board of Commissioners under this 

Ordinance with respect to any such hearing. 

4.24.5 Decision. The Examiner shall render a written opinion within 10 business 

days following the completion of the hearing. 

4.24.6 A decision of the Examiner shall be final. 

4.25 Monthly Report of Tribal Gaming Commission: The Tribal Gaming 

Commission shall provide a monthly report to the Tribal Council surmnarizing 

Tribal Gaming Commission official actions, activities, investigative reports and 

reports received from the Tribe's Gaming Facility(ies) as it deems necessary to 

keep the Tribal Council fully informed as to the status of the Tribal Gaming 

Commission's activities. 

4.26 Executive Director 

4.26.l Hiring. The Executive Director shall be selected by the Board of 

Commissioners and employed by the Tribal Gaming Commission. 

4.26.2 Removal. The Executive Director may only be terminated by the Board of 

Commissioners with the approval of the Tribal Council. 

Page 27 of 57 
SECTION 5. GAMING LICENSES 

5.1 Applicability: 

5.1.1 Every Employee, Key Employee, Primary Management Official, Gaming 

Enterprise, and Gaming Facility that aids, participates in or is related to 

Gaming is required to have a current and valid License as issued by the 

Tribal Gaming Commission. 

5.1.2 The Tribe will perform background investigations and issue licenses to 

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 .1.3 Every Gaming Vendor that provides or receives, or is likely to provide or 

receive materials or services valued at Twenty-five Thousand Dollars or 

more in any twelve (12) month period from the Enterprise or Gaming 

Facility is required to have a current and valid License as issued by the 

Tribal Gaming Commission. 

5.1.4 Every Non-Gaming Vendor and Construction Contractor that provides or 

receives, or is likely to provide or receive materials or services valued at 

Twenty-five Thousand Dollars or more in any twelve (12) month period 

from the Enterprise is required to have a current and valid License as 

issued by the Tribal Gaming Commission, unless the Tribal Gaming 

Commission has exempted the Non-Gaming Vendor or Construction 

Contractor from the licensing requirements herein. 

5.1.5 Any Financial Source is required to have a current and valid License 

issued by the Tribal Gaming Commission, provided that any Financial 

Source presently extending financing shall be Licensed within Ninety (90) 

days of execution of this Ordinance. 

5 .1.6 Any person or entity submitting an application for a Qualified Financial 

Source license, in accordance with the regulations of the Tribal Gaming 

Commission, shall be exempt from paying any application or background 

fees or any other fee associated with or related to the Tribal Gaming 

Commission's processing of such Qualified Financial Source license 

application. Notwithstanding the foregoing, a Qualified Financial Source 

shall remain responsible for paying any penalty imposed by the Tribal 

Gaming Commission pursuant to Section 8 of this Ordinance. 

(1) Exemptions: The following lenders, regardless of their 

relationship to the Tribe, and regardless of whether they would 

otherwise be considered a Financial Source, are exempt from the 

Financial Source licensing requirements of this section: federally 

or state regulated banks; federally or state regulated savings and 

loan institutions; any other federally or state regulated lending 

institution including commercial lenders licensed under Division 9, 

Page 28 of57 
Article 3, § 22000 et seq. of the California Finance Code; any 

agency of the federal, State or local government; or any investor 

who extends financing, directly or indirectly, to the Tribe in an 

amount less than 10% of the aggregate amount of outstanding 

indebtedness (whether by loans, securities such as bonds or 

otherwise) of the Tribe. 

5.2 Application Procedure: 

5.2.1 Submission to Tribal Gaming Commission. An Applicant seeking a 

License shall submit an Application to the Tribal Gaming Commission on 

such form as the Tribal Gaming Commission may require. 

5.2.2 Privacy Act and False Statement. The following notices shall be placed 

on the Tribe's license application form for a key employee or a primary 

management official before it is filled out by an applicant: 

(1) Privacy Act 

In compliance with the Privacy Act of 197 4, 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 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 NIGC 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 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. 

(2) False Statement 

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

denying a license or the suspension or revocation of a license. Also, you 

may be punished by fine or imprisonment (U.S. Code, title 18, section 

1001). 

Page 29 of57 
5.2.3 Submission to State Gaming Agency. The Applicant shall also submit an 

application for a Determination of Suitability along with required releases 

to the State Gaming Agency. 

5.2.4 Key Employee and Primary Management Official Gaming Applications. 

The Application for a Key Employee and Primary Management Official 

Gaming License shall contain the following information: 

(1) The full name (and other names ever used), address, current 

business and residence telephone numbers, age, birth date and 

place, citizenship, gender, and social security number or business 

identification number of the Applicant. 

(2) If the Applicant has resided at his current address for less than five 

years, his previous addresses for the five years prior to the 

application, his previous business addresses for the five years prior 

to the application, and his driver's license numbers for the five 

years. 

(3) To the best of his/her knowledge, a description of the job, task, or 

service the Applicant will provide, if hired, and the department or 

location where Applicant will be employed. 

(4) The names and addresses of the Applicant's Immediate Family. 

(5) The Applicant's criminal and civil record, if any, and an 

explanation of any crimes, other than infractions, for which he has 

been convicted or to which he has entered a plea of nolo 

contendere, and civil suits he has lost. 

( 6) A disclosure of any and all judgments rendered against the 

Applicant. 

(7) The names, addresses and telephone numbers of three references 

who are not related to, nor reside with, the Applicant, including at 

least one reference who was acquainted with the Applicant during 

each period of residence for the previous five years. 

(8) A list of the Applicant's current and previous business and 

employment positions over the preceding five (5) years, ownership 

interests held in those businesses and his present business 

affiliations. 

(9) The identity of any ownership interest m any past business 

ventures. 

Page 30 of 57 
(10) The disclosure of any existing and previous business relationships 

with Indian tribes, including ownership interests in those 

businesses. 

(11) The disclosure of any existing and previous business relationships 

with the gaming industry, including ownership interests in those 

businesses. 

(12) A sworn statement whether the Applicant or any member of his/her 

Immediate Family has a past or current financial interest in any 

Gaming-related enterprise anywhere. 

(13) The name and address of any licensing or regulatory agency for all 

Gaming-related licenses the Applicant has ever applied for, 

whether or not they were granted such license. 

( 14) The name and address of any licensing or regulatory agency for all 

professional, occupational or business licenses the Applicant has 

ever applied for, whether or not they were granted such license. 

(15) A statement of all languages written or spoken. 

(16) Written permission giving the Tribal Gaming Commission, any 

authorized State or local law enforcement agency, the State 

Gaming Agency and NI GC or its designees the right to access and 

review the Applicant's background, including his criminal record. 

(17) A complete disclosure of any pending or anticipated civil or 

criminal action against the Applicant. 

(18) 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. 

(19) For each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations), within 10 years of 

the date of the Application, the name and address of the court 

involved and the date and disposition. 

(20) For each criminal charge (excluding minor traffic charges), 

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

within 10 years of the date of the Application and not otherwise 

disclosed, including the name and address of the court involved 

and the date of disposition. 

Page 31 of 57 
(21) A sworn statement that if the License applied for is issued, the 

Applicant will submit to the jurisdiction of the Tribe and the Tribal 

Court. 

(22) A sworn statement that the Applicant will abide by all applicable 

Tribal and Federal laws, regulations and policies. 

(23) A photograph of the Applicant taken within the past year. 

(24) Fingerprints. 

(25) Driver's license or government-issued photo identification. 

(26) Social Security card. 

(27) A written statement that the information contained in the 

Application is true and correct to the best of Applicant's 

knowledge. 

(28) The name and address of any licensing or regulatory agency with 

which the person has filed an application for an occupational 

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

granted. 

5.2.5 Gaming and Non-Gaming Application. The Application for a Gaming and 

Non-Gaming License shall include the following information: 

(1) Driver's license or other government-issued photo identification. 

(2) Social Security Card. 

(3) Fingerprints, provided that fingerprints for Non-Gaming 

employees are only required at the discretion of the Tribal Gaming 

Commission. 

Page 32 of 57 
5.2.6 In addition to the relevant information requested in 5.2.4, business entities, 

including Gaming Vendors, and Non-Gaming Vendors and Construction 

Contractors who have not been exempted, shall also submit the following 

for (a) each of its officers and directors; (b) each of its principle 

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 

members, if a limited liability company; ( e) each of its shareholders who 

own more than 10 percent (I 0%) of the shares of the corporation, if a 

corporation; and (f) each person or entity that, alone or in combination 

with others, has provided financing in connection with Gaming authorized 

under the Compact: 

(1) A list of all Gaming-related licenses the individual Applicant has 

ever applied for, whether or not they were granted such license. 

(2) Written permission from the individual Applicant giving the Tribal 

Gaming Commission, any authorized State or local law 

enforcement agency, the State Gaming Agency and NIGC or its 

designees the right to access and review the Applicant's 

background, including his criminal record. 

(3) A complete disclosure of any pending or anticipated civil or 

criminal action against the individual Applicant. 

( 4) A sworn statement that if the License applied for by the entity is 

issued, the individual Applicant will submit to the jurisdiction of 

the Tribe and the Tribal Court. 

( 5) A sworn statement that the individual Applicant will abide by all 

applicable Tribal and Federal laws, regulations and policies. 

( 6) A written statement that the information contained in the 

individual's Application and the Application of the related 

business entity is true and correct to the best of Applicant's 

knowledge. 

5.3 Review of License Application: The Tribal Gaming Commission shall 

perform a background investigation for each primary management official, key 

employee and each Tribal Gaming License Application of the gaming operation 

sufficient to make a determination of eligibility as required under this 

Ordinance. The Tribe shall request fingerprints from each primary management 

official and key employee. The Tribal Gaming Commission's review and 

background investigation shall include, but is not limited to the following: 

5 .3 .I Each Applicant shall submit to fingerprinting to be conducted by the 

Page 33 of57 
Tribal Gaming Commission. 

5.3.2 The Tribal Gaming Commission shall diligently review the information 

provided in the Tribal Gaming License Application, including, but not 

limited to, contacting and investigating all resources identified in the 

Tribal Gaming License Application. An authorized Tribal Gaming 

Commission designee identified by the Tribal Gaming Commission, shall 

review an Applicant's prior activities, criminal record (if any), reputation, 

habits, and associations in order to make an eligibility determination for 

Key Employees and Primary Management Officials. For purposes of 

conducting a criminal history check on each Key Employee and Primary 

Management Official (in addition to the check of the criminal history 

records information maintained by the Federal Bureau of Investigation, as 

described below), and the processing, transmission and reporting of 

information and findings relating to such criminal history checks, the 

Tribal Gaming Commission may contract for such services on an asneeded basis with any public or private agency it deems qualified. The 

Tribal Gaming Commission and its agents shall keep confidential the 

identity of each person interviewed during an applicant's background 

investigation. 

5.3.3 The Tribal Gaming Commission shall provide a written report as to 

findings and conclusions of the foregoing background investigation, 

including, but not limited to: 

(I) Steps taken in conducting diligence; 

(2) Results of the conducted diligence; 

(3) Conclusions from review of conducted diligence; and 

( 4) The basis for those conclusions. 

Page 34 of57 
5.4 Notice of Results of Background Investigations 

5.4.1 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. 

5.4.1.1 The notice of results must be submitted to the NIGC no later than 

60 days after the applicant begins working for the Tribe. 

5.4.2 The notice ofresults shall include the following information: 

5.4.2.1 The applicant's name, date of birth, and social security number; 

5.4.2.2 The date on which the applicant began, or will begin, working as a 

primary management official or key employee; 

5.4.2.3 A summary of the information presented in the investigative 

report, including: 

5.4.2.3.1 licenses that have previously been denied; 

5.4.2.3.2 gaming licenses that have been revoked, even if 

subsequently reinstated; 

5.4.2.3.3 every known criminal charge brought against the 

applicant within the last 10 years of the date of the 

application; and 

5.4.2.3.4 every felony offense of which the applicant has been 

convicted or any ongoing prosecution; and 

5.4.2.3.5 A copy of the eligibility determination made 

5.5 Granting Gaming Licenses 

5.5.1 All primary management officials and key employees of the gammg 

operation must have a gaming license issued by the Tribe. 

5.5.2 The Tribal Gaming Commission is responsible for granting and issuing 

gaming licenses to primary management officials and key employees. 

5.5.3 The Tribal Gaming 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. 

5.5.4 The Tribal Gaming Commission shall notify the NIGC of the issuance of a 

license to a primary management official or key employee within 30 days 

of issuance. 

Page 35 of 57 
5.5.5 The Tribe 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 

5.5.6 The Tribal Gaming 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. 

5.5.6.1 The Tribal Gaming Commission shall take the NIGC's objections 

into account when reconsidering a license application. 

5.5.7 The Tribe will make the final decision whether to issue a license to an 

applicant for a primary management official or key employee position. 

5.5.8 If the Tribal Gaming 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 in accordance with this ordinance. 

5.5.9 If, after a license is issued to a primary management official or a key 

employee, the Tribe receives notice from the NIGC that the primary 

management official or key employee is not eligible for employment, the 

Tribal Gaming Commission shall do the following: 

5.5.9.1 Immediately suspend the license; 

5.5.9.2 Provide the licensee with written notice of the suspens10n and 

proposed revocation; and 

5.5.9.3 Provide the licensee with notice of a time and place for a hearing 

on the proposed revocation of the license. 

5.5.10 The right to a revocation hearing vests only when a license is granted 

under an ordinance approved by the NIGC Chair. 

5.5.11 Following a revocation hearing, the Tribe shall decide whether to revoke 

or reinstate the license at issue. 

5.5.12 The Tribe shall notify the NIGC of its decision to revoke or reinstate a 

license within 45 days of receiving notification from the NIGC that a 

primary management official or key employee is not eligible for 

employment. 

Page 36 of57 
5.5.13 The Tribal Gaming Commission shall transmit the Applicant's 

Application, file, and eligibility determination report to the NIGC and the 

California State Division of Gambling Control. 

5 .5 .14 The Tribal Gaming Commission shall maintain the Applicant's file, 

including applications, background investigation reports, and eligibility 

determination reports, for inspection by the NIGC for no less than three 

(3) years from the date of termination of employment. 

5.6 Denying Gaming Licenses 

5.6.l The Tribal Gaming Commission shall not license a primary management 

official or key employee if an authorized Tribal official determines, in 

applying the standards in Section 21 for making a license eligibility 

determination, that licensing the person: 

5.6.1.1 Poses a threat to the public interest; 

5.6.1.2 Poses a threat to the effective regulation of gaming; or 

5.6.1.3 Creates or enhances the dangers of unsuitable, unfair or illegal 

practices, methods and/or activities in the conduct of gaming. 

5.6.2 When the Tribal Gaming Commission does not issue a license to an 

applicant for a primary management official or key employee position, or 

revokes a previously issued license after reconsideration, it shall: 

5.6.2.1 Notify the NIGC; and 

5.6.2.2 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. 

5. 7 Authorized Entity for Fingerprint Cards: For the limited purposes of 

compliance with CFR 25, part 522.2 (h), the Tribal Gaming Commission is the 

Tribe's designated law enforcement agency for the purposes of taking and 

submitting applicant fingerprints. . 

5.8 Notification and MOU with NIGC: If the Tribal Gaming Commission 

chooses to utilize the NIGC pursuant to Section 5.4 above, the Tribal Gaming 

Commission, with consent of the Tribal Council, shall notify the NIGC of the 

forwarding of Tribal Gaming License applications to NIGC. Before obtaining 

and processing fingerprints or fingerprint cards for background investigation 

purposes, the Tribal Gaming Commission shall enter into a Memorandum of 

Understanding ("MOU") with the NIGC providing that any and all criminal 

results obtained from the fingerprint cards for background investigation purposes 

shall be viewed by Tribal government officials only. 

Page 37 of 57 
5.9 Scope and Types of Gaming Employee Licenses: 

5.9.I Key Employee Gaming License. A Key Employee Gaming License is for 

those employees of the Enterprise or Gaming Facility that are Key 

Employees and Primary Management Officials as defined by this 

Ordinance. A Key Employee Gaming License issued pursuant to this 

section shall be effective for any Key Employee or Primary Management 

Official position within the jurisdiction of the Tribal Gaming Commission. 

5.9.2 Gaming Emolovee License. A Gaming Employee License is for 

employees of the Enterprise or Gaming Facility who work in Gaming, 

finance (including shipping and receiving), and information technology, or 

who work in areas where Gaming is occurring as designated by the Tribal 

Gaming Commission. A Gaming Employee License issued pursuant to 

this section shall be effective for any Gaming Employee position within 

the jurisdiction of the Tribal Gaming Commission. Gaming Employee 

Licenses will not require the same level of background scrutiny and 

standards required for Key Gaming Employee Licenses. 

5.9.3 Non-Gaming Employee License. A Non-Gaming Employee License is for 

employees of the Enterprise or Gaming Facility who do not work in 

Gaming, and who are not regularly in areas where Gaming is occurring, 

including restaurant and hotel employees who are not Key Employees or 

Primary Management Officials. Non-Gaming Employee Licenses will not 

require the same level of background scrutiny and standards as are 

required for Gaming Employee Licenses. 

5.9.4 Transferring Licenses. A Licensee shall apply to have his/her License 

changed from one type of License to another by Application to the Tribal 

Gaming Commission. 

5.10 Temporary Licensing: Notwithstanding anything herein to the contrary, if the 

Applicant has completed a License Application, the Tribal Gaming Commission 

may immediately issue a temporary License if: 

5.10.l The Tribal Gaming Commission has conducted a preliminary, local, 

background investigation; and 

5.10.2 Based on the preliminary investigation, the information does not indicate 

that the Applicant has a criminal history. 

5.10.3 Temporary licenses may last no longer than 90 days from the date of 

issuance. 

5.10.4 Upon completion of a background investigation and a determination of 

eligibility for any Key Employee, a report shall be sent by the Tribal 

Gaming Commission to the NIGC within 60 days after the employee 

begins work. 

Page 38 of 57 
5.11 License Issuance, Term and Substance: 

5.11.1 Issuance. Upon completion of the necessary background investigation, 

and after the Tribe has complied with the 30-day NIGC review 

requirements found in 25 C.F.R. §558.3 and §558.4, the Tribal Gaming 

Commission may issue a License on a conditional or unconditional basis. 

If the NIGC objects to an Applicant, the Tribe shall reconsider the 

Application, taking into account the reasons for the objections noted by 

NIGC. However, the Tribe shall have the final word on whether to license 

an Applicant. Nothing herein creates a property right in the License. 

5.11.2 Term. Any License issued pursuant to this section shall be effective for a 

period of two (2) years from the date of issuance. 

5 .11.3 License Substance. The License shall state on its face the name of the 

Applicant, the Tribal Logo, the name of his/her employer , and the license 

number. It shall also include a photograph of Licensee. 

5.12 License Denial: Any Application for a License shall be denied if the Tribal 

Gaming Commission, after an adequate review, determines the Application is 

incomplete or deficient, or that the employment of the Applicant poses a threat to 

the Tribe, the public interest, or the effective regulation of gaming, or creates or 

enhances the danger of unsuitable, unfair or illegal practices and methods and 

activities in the conduct of gaming. If the foregoing determinations about the 

Applicant are made, no management contractor or Tribal gaming operation shall 

employ the Applicant. 

5.13 Renewals: A Licensee shall petition to have the License renewed by applying 

to the Tribal Gaming Commission for a renewal at least ninety (90) days before 

the License expires. Applicants may be required to provide updated material as 

requested. 

5.14 Wearing and Display of License: Licensees are required to wear, in plain 

view at all times while on duty, their License issued by the Tribal Gaming 

Commission. The License must display information including, but not limited to, 

a photograph of the Licensee and an identification number that is adequate to 

enable agents of the Tribal Gaming Commission to readily identify the person and 

determine the validity and date of expiration of his or her License. Licensees are 

not required to wear their License when not on duty and in the areas of the 

Gaming Facility open to the public. 

Page 39 of 57 
5.15 License Suspension or Revocation of License: 

5.15.1 Temporary Suspension or Revocation. The Tribal Gaming Commission 

may suspend or revoke a License, after notice and an opportnnity for a 

hearing pursuant to Section 4.24 herein, for any of the following reasons: 

(1) The Licensee withheld pertinent information on the Application; 

(2) The Licensee made false statements on the Application; 

(3) The Licensee participated in Gaming that was not authorized by 

any Gaming License or regulatory approvals, and therefore 

deemed illegal; 

( 4) The Licensee attempted to bribe a Tribal Council member, 

Commissioner or other Person, m an attempt to avoid or 

circumvent Tribal law; 

(5) The Licensee offered and/or gave, either directly or through a third 

party, something of value to a Tribal Gaming Commission 

member; 

(6) The Licensee knowingly promoted, played or participated in any 

Gaming operated in violation of the laws of the Tribe, Federal law, 

or the laws of the jurisdiction in which such activities occurred; 

(7) The Licensee is knowingly involved in the falsification of books or 

records which relate to a transaction connected with the operation 

of Gaming; 

(8) The Licensee violated this Ordinance or the rules and regulations 

of the Tribal Gaming Commission; 

(9) The Licensee has been convicted or has entered a plea of nolo 

contendere to any cnme involving Gaming, fraud, theft, or 

embezzlement; 

(10) The Licensee has refused to comply with any lawful order, inquiry 

or directive of the Tribal Gaming Commission, the Tribal Council, 

the Federal Govermnent or any court of competent jurisdiction; 

and 

(11) The Licensee has been convicted of, or entered a plea of nolo 

contendere to, a crime involving the sale of illegal narcotics or 

controlled substances. 

5 .15 .2 Procedure for Suspension or Revocation 

Page 40 of 57 
(1) Upon reasonable cause that a violation of this Ordinance has 

occurred, the Tribal Gaming Commission or its designee may 

either: 

(i) undertake an investigation of the Licensee; or 

(ii) serve upon such Licensee an order to show cause pursuant 

to Section 4.24 as to why the Licensee's License should not 

be suspended or revoked, or why the Licensee should not 

be enjoined from conducting Gaming. 

(2) Additionally, if the NIGC notifies the Tribe that it has received 

reliable information indicating that a Key Employee or Primary 

Management Official is not eligible for employment under 25 

C.F.R. §558.2, the Tribal Gaming Commission shall suspend such 

license and notify the Licensee in writing that his/her License has 

been suspended and may be revoked. Such notice shall state the 

reason for the suspension and/or order, and the time and place for 

the hearing before the Tribal Gaming Commission pursuant to 

Section 4.24 herein. 

(3) The Licensee shall have an opportunity to present testimony and 

cross-examine opposing witnesses, and to present any other 

evidence as to why a revocation order or suspension should not be 

issued. 

( 4) The hearing shall be set for not less than two (2) business days or 

more than ten (10) business days from the date of the notice. The 

hearing shall be governed in all respects in accordance with Tribal 

law and Tribal Gaming Commission regulations. Any revocation 

or suspension decision of the Tribal Gaming Commission after 

hearing shall be final. The Tribe shall notify NIGC of its decision. 

5.16 Enterprise License: The Gaming Enterprise authorized by the Compact and 

this Ordinance shall be licensed by the Tribal Gaming Commission. The Tribal 

Gaming Commission shall automatically issue a License if the following 

threshold criteria are met: 

5.16.1 The Gaming is located on lands taken into trust after October 17, 1988, as 

a settlement of a claim. 

5.16.2 The Gaming is authorized pursuant to this Ordinance, the Compact and the 

IGRA. 

5.16.3 The Gaming is authorized by a Tribal Council resolution. 

Page41 of57 
5.16.4 The Tribe has the sole proprietary interest and the Management Contract, 

if applicable, is consistent with Tribal and Federal law and is properly 

approved by the Chairman of the NIGC. 

5.17 Facility License: The Gaming Facility authorized by the Compact and this 

Ordinance shall be licensed by the Tribal Gaming Commission. 

5.17.l The Tribal Gaming Commission shall issue a separate license to each place, 

facility or location on Indian lands where class II and/or class III] gaming is 

conducted under this ordinance, if the following criteria are met: 

(1) The Tribal Gaming Commission has determined, based on the 

reports of qualified inspectors and a review by the Board of 

Commissioners of all relevant contracts and operational policies 

and procedures, including safety manuals and intergovernmental 

agreements relating to environmental protection, health, safety and 

emergency services, that the Gaming Facility has been constructed 

and shall be maintained and operated in a manner that adequately 

protects the environment and the public health and safety. 

(2) The construction, expansion or modification of the Facility shall 

meet the Tribal Building Ordinance. 

(3) The construction, expansion or modification of the Facility shall 

meet the standards of the federal American with Disabilities Act as 

incorporated into the Tribal Building Ordinance. 

( 4) Upon the inspection of the health and safety of the building, and 

upon the inspection that all Gaming controls that are necessary to 

insure the integrity of the Gaming are in place, the Tribal Gaming 

Commission shall issue to the Facility a Certificate of Occupancy, 

which shall be reissued upon similar inspections every two years. 

5.17.2 Upon the issuance of a Facility License, the Tribal Gaming Commission 

shall forward the License to the State Gaming Agency within ten (10) days 

of issuance. 

5.17.3 The Facility License shall be posted in a conspicuous and public place in 

the Facility at all times. 

5.18 State Gaming Agency Licensing: 

5.18.1 Except as provided in Sections 5.15.2 and 5.15.3 below, the Tribe will not 

employ or affiliate with any Person whose application to the State Gaming 

Agency for a determination of suitability has been denied. 

Page 42 of 57 
5.18.2 Notwithstanding Section 5.15.1, the Tribe may employ a Person who has 

been denied for a determination of suitability by the State Gaming Agency 

if: 

(I) The Person holds a valid and current Tribal License; 

(2) The denial by the State Gaming Agency is based on reasons that 

antedate the filing of the Person's initial application to the State 

Gaming Agency; 

(3) The Person is not an Employee of another Gaming Enterprise; 

( 4) The Person has been in continuous employ for at least three years 

by the Tribe prior to the effective date of the Compact. 

5.18.3 Notwithstanding Section 5.15.1, the Tribe may employ a Person who has 

been denied for a determination of suitability by the State Gaming Agency 

if: 

(1) The Person is an Enrolled Member of the Tribe; 

(2) The Person holds a valid and current Tribal License; 

(3) The denial by the State Gaming Agency is based on reasons that 

antedate the filing of the Person's initial application to the State 

Gaming Agency; 

( 4) The Person is not an Employee of another Gaming Enterprise; 

5.19 Miscellaneous Licensing Provisions: 

5.19.1 No License shall be sold, lent, assigned or otherwise transferred. 

5.19.2 Each Gaming Facility shall have a copy of this Ordinance and applicable 

regulations readily available for inspection by any Person. 

5.19.3 Each Gaming Facility shall have a copy of this Ordinance and applicable 

regulations readily available for inspection by any Person. 

5.19.4 Each Gaming Facility shall have a copy of this Ordinance and applicable 

regulations readily available for inspection by any Person. 

5.19.5 The Tribe shall monthly provide the State Gaming Agency with the name, 

badge identification number, and job descriptions of all non-key Gaming 

Employees. 

Page 43 of57 
SECTION 6. BANK ACCOUNTS AND RECORD KEEPING 

6.1 Bank Account: The Tribe and/or the Authority, as applicable, shall open a 

separate bank account for the Enterprise and all receipts of each Gaming Activity 

shall be deposited in the account. 

6.2 Record Keeping: Accounting records of the Gaming, Enterprise, and Facility 

shall be kept on a double entry system of accounting, maintaining detailed 

supporting and subsidiary records. The Tribe shall maintain the following records 

for not less than three (3) years: 

6.2.1 Revenues, expenses, assets, liabilities and equity for each location at 

which Class II and Class III Gaming is conducted. 

6.2.2 Daily cash transactions for Gaming, including but not limited to 

transactions relating to each Gaming table, game drop box and game room 

bank. 

6.2.3 All markers, IOU's, returned checks, hold checks or other similar credit 

instruments. 

6.2.4 Individual and statistical game records to reflect statistical drop and 

statistical win for electronic, computer, or other technologically assisted 

games. 

6.2.5 Contracts, correspondence and other transaction documents relating to all 

Gaming Vendors. 

6.2.6 Records of all customer complaints and Tribal Gaming enforcement 

activities. 

6.2. 7 All Gaming related audits prepared by or on behalf of the Tribe or one of 

its subdivisions. 

6.3 Audit Requirements: 

6.3.1 The Enterprise shall provide a copy of an annual independent audit to the 

Tribal Gaming Commission, the Tribal Council, the State Gaming 

Agency, and the National Indian Gaming Commission. 

6.3.2 Each contract between the Tribe and another Person for supplies, services 

(other than legal and accounting services) or concessions for a contract 

amount in excess of Twenty-five Thousand Dollars ($25,000) annually 

shall be subject to an independent audit. Such audit shall be solely limited 

to a monthly printout from the accounts payable of the Gaming Operations 

Page 44 of57 
of the checks rendered. A copy of such audit will be provided to the 

Tribal Gaming Commission, the Tribal Council, State Gaming Agency 

and the National Indian Gaming Commission. 

6.4 Notices to the Public: 

6.4.1 The Gaming Facility shall have a copy of this Ordinance readily available 

for inspection by any Person at each Gaming Facility. 

6.4.2 The Gaming Facility shall post in a conspicuous location near each game 

an explanation of the rules of play of every game operated or shall 

otherwise provide the public with such an explanation. 

SECTION 7. GAMING ENTERPRISE RESTRICTIONS AND COMPLIANCE 

7.1 Number of Facilities: 

7.1.1 The Tribe may establish and operate not more than two Gaming Facilities, 

and only on those lands on which Gaming may lawfully be conducted 

under IGRA. 

7.1.2 The Tribe may combine and operate in each Gaming Facility any forms 

and kinds of Gaming permitted under the Compact, IGRA and this 

Ordinance. 

7.2 Gaming Device Restrictions: 

7.2.1 Number of Class III Gaming Devices. The Tribe may offer no more than 

the number of Class III Gaming Devices allowed pursuant to the Compact. 

7.2.2 Transfer of the Right to Operate Gaming Devices. The Tribe may enter 

into an agreement with one or more compacted California Indian tribes for 

the purpose of transferring the right to operate Gaming Devices. Any 

agreements entered into between the Tribe and another Indian tribe shall 

be regulated by the Tribal Gaming Commission. The total number of 

Gaming Devices operated by the Tribe shall not exceed the number of 

Gaming Devices permitted in the Compact. 

7.2.3 Transferabilitv of Devices. The Gaming Enterprise, or any Licensee, is 

prohibited from selling, renting or lending Gaming Devices to any Person 

without prior written approval of the Tribal Gaming Commission. 

7.2.4 Transportation of Devices. Transportation of a Gaming Device to or from 

the Gaming Facility within California is permissible only if: 

The Tribal Gaming Commission has issued a permit to transport 

theDevice; and 

Page 45 of 57 
The Tribal Gaming Commission has provided at least ten (10) days notice 

to the Madera County Sheriff and the California State Division of 

Gambling Control; and 

The final destination of the Device is a gaming facility of any tribe in 

California with a Compact; or 

The final destination is in a state or country whereby the Device 1s 

otherwise legal; or 

The final destination is located in California for the purpose of testing, 

repair or storage by a Person that is licensed by the State Gaming 

Agency. 

7.3 Gaming Device Technical Standards: The teclmical standards for Gaming 

Devices shall adhere to the standards of an approved independent testing facility 

that is properly licensed by the Tribal Gaming Commission. 

7.4 Age Restrictions: 

7.4.1 No Person under the age of Eighteen (18) shall be employed by the 

Gaming Facility, Management Contractor or the Tribal Gaming 

Commission. 

7.4.2 No Person under Eighteen (18) years of age shall be employed in the 

service of alcoholic beverages at the Gaming Facility. 

7.4.3 No Person under the age of Twenty-one (21) shall be permitted in any area 

where Gaming is occurring and alcoholic beverages are being consunJed. 

7.4.4 No Person under the age of Twenty-one (21) shall be permitted to place 

any wager, directly or indirectly, in any Gaming Activity. 

7.4.5 No Person under the age of Twenty-one (21) shall be permitted in any 

room in which Gaming is being conducted unless the person is en-route to 

a non-gaming area of the Gaming Facility. 

7.5 Methods of Payment: 

7.5.1 Gaming chips of value may be sold and redeemed by the Enterprise and 

only for full value. 

7.5.2 Consideration to participate in Gaming shall be cash only. No other form 

of consideration shall be allowed unless the Tribal Gaming Commission 

gives prior written approval. 

Page 46 of57 
7.6 Compliance requirements: 

7.6. l Evidence of win or loss incurred by a Player must, upon request, be 

provided in such form as will be acceptable to the Internal Revenue 

Service. 

7.6.2 The Enterprise shall pay all fees and file all reports required by law within 

the time prescribed. 

7.6.3 The Enterprise shall respond immediately to all inquiries, subpoenas, or 

orders of the Tribal Gaming Commission, the State Gaming Agency, the 

Tribal Council, or the NIGC. 

7 .6.4 The Enterprise shall make its premises and books and records available for 

inspection during normal business hours by the Tribal Gaming 

Commission, the State Gaming Agency, the National Indian Gaming 

Commission and members of the Tribal Council or their designee. 

7.7 Miscellaneous: 

7. 7 .1 The Enterprise shall provide adequate security to protect the public before, 

during, and after Gaming. 

7.7.2 The Enterprise may not discriminate on the basis of sex, race, color, or 

creed in its employment practices related to Gaming. 

SECTION 8. ENFORCEMENT 

8.1 Jurisdiction: Except as provided in this Ordinance or the Compact, the Tribal 

Gaming Commission shall have jurisdiction over all violations of this Ordinance. 

8.2 Minimal Internal Control Standards: 

8.2.1 Applicable Standards. The Tribal Gaming Commission shall comply with 

25 CFR Part 542 by formally adopting and making applicable to the 

Tribe's Gaming operation(s) internal control standards that: 

(1) Provide a level of regulatory control that equals or exceeds that set 

forth in 25 CFR part 542, as published or as revised by mutual 

agreement between the National Indian Gaming Commission and 

the Picayune Rancheria of the Chnkchansi Indians; 

(2) Contain standards for currency transactions reporting that comply 

with 31 CFR Part 103; and 

Page 47 of57 
(3) Establish internal standards for Class II and Class III games that 

are not addressed in the MICS, if any. 

8.2.2 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 8.2.1, an independent certified public accountant 

(CPA) shall be engaged annually to perform "Agreed-Upon Procedures" 

in the manner provided for in 25 CFR 542.3(f). 

8.2.3 Compliance. The Tribal Gaming Commission and the NIGC shall 

monitor and enforce compliance with the internal control standards 

adopted pursuant to paragraph A, in the manner provided for in 25 CFR 

542.3(g). In addition, the National Indian Gaming Commission shall, for 

the purposes of enforcing compliance with the internal control standards, 

have the power to: 

(1) Monitor all Class II and Class III Gaming on a continuing 

basis; 

(2) Inspect and examine all premises on which Class II or 

Class III Gaming is conducted; 

(3) 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 on a 

continuing basis or any other matters necessary to ensure 

and enforce compliance with the MICS. 

8.2.4 Enforcement. Any failure to adopt internal control standards pursuant to 

Section 8.2.1, to perform Agreed-Upon Procedures pursuant to Section 

8.2.2, to prevent or obstruct the exercise of any of the Commission's 

power under Section 8.3.3, or to comply with the internal control 

standards once adopted is a violation of this Ordinance. The Chairman of 

the National Indian Gaming Commission shall have the authority to 

remedy violations of this ordinance under 25 U.S.C. 2713 and its 

implementing regulations, and the Tribe shall have all rights and remedies 

available thereunder. 

8.3 Prohibited Acts: In addition to other civil and criminal offenses provided for in 

this Ordinance, the following acts are prohibited by any Person and subject any 

violator to the civil or criminal penalties specified herein: 

8.3.l Participating in any Gaming, which is not authorized by this Ordinance. 

8.3.2 Knowingly making a false statement in connection with any Contract to 

participate in any Gaming Activity. 

Page48 of57 
8.3.3 Attempting to bribe any Person participating in any Gaming Activity. 

8.3.4 Offering or accepting a loan, financing or other thing of value between a 

member of the Board of Commissioners or employee of the Tribal 

Gaming Commission and any Person participating in any Gaming 

Activity. 

8.3 .5 Promoting or participating in any illegal Gaming Activity. 

8.3.6 Failing to keep sufficient books and records to substantiate receipts, 

disbursements and expenses incurred or paid from any Gaming Activity 

authorized pursuant to this Ordinance. 

8.3.7 Falsifying any books or records that relate to any transaction connected 

with any Gaming Activity pursuant to this Ordinance. 

8.3.8 Conducting or participating in any Gaming Activity, which results m 

Cheating. 

8.3 .9 Allowing participation in Gaming Activity by or with an intoxicated or 

disorderly Player. 

8.3 .10 Allowing or participating in the sale of liquor when such sale is prohibited 

by Tribal law. 

8.3 .11 Accepting consideration other than money, or chips for participation in 

any Gaming Activity. 

8.3.12 Using bogus or counterfeit chips or Charitable Gaming Tickets, or to 

substitute or use any cards, Charitable Gaming Tickets or Gaming 

equipment that has been marked or tampered with. 

8.3.13 Employing or possessing any Cheating device or to facilitate Cheating in 

any Gaming Activity. 

8.3.14 Willfully using any fraudulent scheme or technique to change the odds of 

any Game of Chance. 

8.3.15 Soliciting, directly or indirectly, or using inside information on the nature 

or status of any Gaming Activity for the benefit of an individual. 

8.3.16 Tampering with a Gaming Device, attempting to conspire to manipulate 

the outcome or the payoff of a Gaming Device, or otherwise unlawfully 

tampering with or interfering with the proper functioning of the machine. 

Page 49 of57 
8.3.17 Alter or counterfeiting a Gaming license. 

8.3.18 Aiding, abetting, or conspiring with another Person knowingly or 

knowingly to cause any Person to violate any provision of this Ordinance 

or any rules and regulations adopted hereunder. 

8.3.19 Operating, using or making available to the public any illegal Gaming 

Device, apparatus, material or equipment. 

8.3.20 Selling, holding out for sale or transporting into or out of the jurisdiction 

of the Tribe any illegal Gaming Device, apparatus, material or equipment. 

8.3.21 Assisting or allowing a Person who is under the age of Twenty-one (21) to 

participate in a Gaming activity. 

8.3.22 Possessing any illegal narcotics or controlled substances on any licensed 

Gaming site. 

8 .3 .23 Stealing or attempting to steal funds or other items of value from any 

Gaming Facility or from the Tribal Gaming Commission. 

8.3.24 Employing any Person at a licensed Gaming Facility whom the Licensee 

knows has been convicted of a Gaming crime or a crime of fraud. 

8.4 Criminal Violation: Any Indian who violates or fails to comply with any 

provision of this Ordinance, or who fails or neglects to comply with any order, 

decision of the Tribal Gaming Commission, shall be charged and given due 

process pursuant to Section 4.24 herein. If such Indian is found to be guilty of a 

crime, he may be required to pay a fine not to exceed Five Thousand Dollars 

($5,000). Each day during which any such violation or failure to comply 

continues shall constitute a separate violation of this Ordinance. 

8.5 Civil Violation: Any non-Indian who violates or fails to comply with any 

provision of this Ordinance, or who fails or neglects to comply with any final 

order of the Tribal Gaming Commission, shall be charged and given due process 

pursuant to Section 4.24 herein. If the non-Indian is found liable, he may pay a 

civil fine not to exceed Five Thousand Dollars ($5,000) for each violation thereof. 

Each day during which any such violation or failure to comply continues shall 

constitute a separate violation of this Ordinance. The amount of any such civil 

fine may be recovered in a civil action in an appropriate court of civil jurisdiction. 

8.6 Cumulative Fines: All civil fines accruing under this Ordinance shall be 

cumulative and a suit for the recovery of one fine shall not bar or affect the 

recovery of any other fine, or judgment, penalty, forfeiture or damages, nor bar 

the power of the Tribal Court to punish for contempt, nor bar any criminal 

Page 50 of57 
prosecution against any officer, director, agent, or employee of any Licensee, or 

any other Person. 

8. 7 Purpose of Civil Penalties: The civil fines imposed under this Ordinance are 

intended to be remedial and not punitive and are designed to compensate the 

Tribe for the damage done to the peace, security, economy and general welfare of 

the Tribe and the Rancheria, and to compensate the Tribe for costs incurred by the 

Tribe in enforcing this Ordinance. The civil fines under this Ordinance are also 

intended to encourage all people into complying with this Ordinance and Tribal 

Gaming Commission regulations and not to punish such people for violation of 

such laws and regulations. 

8.8 Civil Action for Penalties: In enforcing the civil infraction provisions of this 

Ordinance, the Tribal Gaming Commission shall proceed, in the name of the 

Tribe, against a Person for violation of such provision by civil complaint in any 

court of competent jurisdiction, or, if applicable, only in such other forums as the 

Tribe has agreed to by contract. The Tribal Gaming Commission in such action 

shall have the burden of showing, by the preponderance of the evidence, that such 

Person violated the applicable provision ofthis Ordinance. 

8.9 Seizure and Forfeiture of Property: Property utilized in violation of this 

Ordinance shall be subject to seizure and forfeiture by order of the Board of 

Commissioners pursuant to such procedures and rules, as the Board of 

Commissioners shall promulgate. 

8.10 Reporting of Offenders: The Tribal Gaming Commission, upon final conviction 

of any Person under this subsection, shall report the name of the Person convicted 

to the Tribal Council, State Gaming Board and NIGC. 

SECTION 9. GAMING MANAGEMENT 

9.1 Gaming Facility Management: 

9.1.1 The Management Contractor, or the Tribe if no Management Contractor 

exists, shall identify in writing a Person who shall serve as General 

Manager of the Gaming Enterprise. The General Manager appointed shall 

undergo a background check by the Tribal Gaming Commission and shall 

obtain a License before commencing work. 

9.1.2 The General Manager shall have access to any area within the Gaming 

Facility, excluding areas defined or designated as Tribal Gaming 

Commission space, unless authorization is granted by the Tribal Gaming 

Commission. 

9.1.3 The General Manager shall present a written monthly report to the Tribal 

Gaming Commission which estimates the number of patrons served, the 

amount of income generated, the numbers of employees working at the 

Page 51 of57 
establishment, a detailed description of any patron complaints and other 

problems experienced at the establishment, a written statement of any 

changes in Primary Management Officials and all bills which are thirty 

(30) days or more past due. 

9.1.4 The General Manager shall present additional reports to the Tribal Gaming 

Commission as requested. 

9.2 Rules and Regulations for Management: The Tribal Gaming Commission 

shall, with the input and suggestions of Primary Management Officials, 

promulgate rules and regulations or specifications governing the following 

subjects: 

9.2.1 The enforcement of all relevant laws and rules with respect to the Gaming 

Operation and the Facility; 

9 .2.2 Ensuring the physical safety of Enterprise patrons and Employees; 

9.2.3 The physical safeguarding of assets transported to, within, and from the 

Gaming Facility; 

9 .2.4 The prevention of illegal activity from occurring within the Gaming 

Facility including employee procedures and surveillance; 

9.2.5 The recording of occurrences that deviate from normal operating policies 

including the following procedure for reporting incidents: 

(1) Specify that security personnel record all incidents, regardless of 

immateriality; 

(2) Require the assignment of a sequential number to each report; 

(3) Provide for permanent reporting in indelible ink in a bound 

notebook; 

( 4) Require that each report include the following: 

(i) The record number. 

(ii) The date. 

(iii) The time. 

(iv) The location of the incident. 

(v) A detailed description of the incident. 

(vi) The persons involved in the incident. 

(vii) The security personnel assigned to the incident. 

9.2.6 The establishment of employee procedures designed to permit detection of 

any irregularities, theft, cheating, fraud, or other form of stealing; 

Page 52 of 57 
9.2.7 Maintenance ofa list of persons barred from the Gaming Facility; 

9.2.8 In accordance with section 8.4.1 of the Compact, except as provided in 

subdivision 8.4.1 ( d) of the Compact, no State Gaming Agency regulation 

shall be effective with respect to the Enterprise unless it has first been 

approved by the Association, and further, the Tribe has had an opportunity 

to review and comment on the proposed regulations. 

9.3 Insurance Requirements: Pursuant to the Tribal/State Compact, the 

Management Contractor shall ensure that the Enterprise shall carry a minimum of 

Five Million Dollars ($5,000,000.00) liability insurance to protect the public in 

the event of an accident. 

9.4 IRS Requirements: The General Manager shall be responsible for seeing that 

Gaming Activity is managed in accordance with Tribal and Federal law and that 

such Gaming Activity complies with all IRS reporting requirements. 

9.5 Audit Requirements: 

9.5.1 Annual Enterprise Audit. The Tribal Gaming Commission and the 

General Manager of the Enterprise shall obtain an annual independent 

audit of such Enterprise by a certified public accountant using the 

accounting standards for audits of casinos of the American Institute of 

Certified Public Accountants. 

9.5.2 Contract Audits. Each contract between the Management Contractor and 

another Person for supplies, services (other than legal and accounting 

services) or concessions for a contract amount in excess of Twenty-five 

Thousand Dollars ($25,000) annually shall be subject to an independent 

audit. For the purposes of the previous sentence, the term "services" does 

not include contracts the purpose of which is to extend financing to the 

Management Contractor, the Tribe, or the Enterprise. 

9.5.3 Copies. A copy of all such audits shall be provided to the Tribal Gaming 

Commission, the Tribal Council, State Gaming Agency and the NIGC. 

9.6 Annual Reports from Management Contractor: Management Contractor, if 

any, shall file an annual report with the Tribal Gaming Commission and the Tribal 

Council between the 15th and the last day of the 12th month duration of each such 

License period. The report shall include, at a minimum, the following 

information: 

9.6.1 The name, address and telephone number of the Licensee; 

Page 53 of57 
9.6.2 The names, addresses and titles of all of its current managers of the 

Licensee; 

9.6.3 A description of the Gaming operated and Gross Revenue; 

9.6.4 The name and address of the Person who will be designated as Primary 

Management Official, or new Key Employees over the next License Term; 

9.6.5 Written proof that the Licensee has paid to the National Indian Gaming 

Commission such fees as Federal and Tribal law may require it to pay; 

9.6.6 A sworn statement that the Licensee has complied with the IRS including 

written notice of customer winning; 

9.6.7 The number of full-time equivalent people, on an annualized basis, 

employed by the operation during the past twelve (12) months, together 

with a projection of the number of full-time equivalent people who are 

expected to be employed during the next license period; 

9.6.8 A sworn statement that the Licensee will continue to comply with all 

Tribal and Federal laws applicable to Gaming; 

9.6.9 The name, address and signature of the agent who will accept service of 

process on behalf of the Licensee, who must reside on the Rancheria; 

9.6.10 If the Licensee is a corporation, a copy of any amendment to its articles of 

incorporation, properly certified by the incorporating government, unless a 

current copy has already been filed with the Tribal Gaming Commission; 

9.6.11 If the Licensee is a limited liability company, a copy of any amendment to 

its operating agreement or its articles of organization, properly certified by 

the state in which the company is organized, unless a current copy has 

previously been filed with the Tribal Gaming Commission. 

9.7 Management Contracts: 

9.7.1 Each Management Contract is subject to the prior approval of the National 

Indian Gaming Commission. 

9. 7 .2 Each Management Contract shall be approved by the Tribal Council. In 

making its selection, the Tribal Council shall review the following: 

(1) Background information on the proposed Management Contractor 

including: its name, its address, the names and addresses of each 

Person or entity having a direct financial interest or management 

responsibility for the proposed management contractor, and (i) in 

Page 54 of57 
the case of a corporation the names and addresses of each member 

of its board of directors and all stockholders who hold directly or 

indirectly ten percent (10%) or more of its issued or outstanding 

stock; and (ii) in the case of a limited liability company, the names 

and addresses of each member and each manager. 

(2) A description of any previous experience that each Person listed in 

subsection above has had with other Gaming contracts with Indian 

Tribes or with the Gaming industry generally, including the name 

and address of any tribal government or licensing agency with 

which such Person has had a contract relating to Gaming. 

(3) A complete financial statement of each Person listed in subsection 

9.7.2(1). 

( 4) The Tribal Council shall undertake any additional steps it can to 

determine the character and reputation of each proposed 

management contractor. 

(5) If the Tribal Council, after reviewing the above-described 

information, still desires to enter into a management contract with 

the proposed management contractor, such management contract 

shall be placed in writing and submitted to legal counsel for review 

before the Council approves it. 

9.7.3 Any Management Contract approved by the Tribal Council must contain 

at a minimum the following with respect to the Gaming Enterprise to 

which the contract is applicable: 

(1) A provision requiring a monthly financial accounting of the 

Gaming Enterprise's income and expenses. Such reports shall be 

prepared by an independent auditor who is mutually acceptable to 

the Tribe and the Management Contractor. 

(2) A provision guaranteeing the Tribe a m1mmum guaranteed 

payment that shall always take precedence over the Management 

Contractor's right to recoup development and construction costs. 

(3) An agreed upon ceiling for the Management Contractor's 

development and construction costs. 

( 4) A provision that the contract shall not exceed seven (7) years or 

30% of Net Revenues. 

( 5) A provision for termination of the Contract and the grounds for 

termination. 

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9.7.4 If the Council is satisfied with the information it receives it shall submit its 

proposed contract along with all of the above-described information to the 

Tribal Gaming Commission, State Gaming Agency and to the Chairman 

of the NIGC for Licensure approval. 

SECTION 10. PROCEDURES FOR RESOLVING DISPUTES BETWEEN THE 

GAMING PUBLIC AND GAMING MANAGEMENT 

10.1 General Principles: The Tribe values its customers and intends, at all times, to 

see that questions, concerns, issues, and/or disputes raised by the gaming public 

are addressed in a fair and order! y manner. 

10.2 Initial Dispute Resolution Procedure: 

10.2.l Members of the gaming public who, in the course of their otherwise 

lawful and proper use of the Tribe's gaming facilities, have questions or 

concerns about the condition or operation of any part of the Gaming 

Facility, or who otherwise believe themselves to be aggrieved by some 

aspect of the condition or operation of any part of the Gaming Facility, 

shall direct their questions, concerns, or disputes (hereinafter collectively 

"disputes") in the first instance to gaming management at the Gaming 

Facility, either orally or in writing. 

10.2.2 Concerns or disputes shall be raised as soon as reasonably possible after 

the events giving rise to the dispute occur; however, no dispute may be 

raised more than ten (10) calendar days after said events take place. 

(1) Gaming management shall develop formal written administrative 

procedures for the processing of patron complaints and disputes, 

which procedures shall be finalized only after Tribal review and 

approval. The final procedures shall include the following 

minimal requirements: Upon learning about a dispute, gaming 

management shall expediently and informally gather sufficient 

facts to make an initial determination about the dispute (i.e. 

whether the dispute has any merit, whether further investigation is 

required, whether to take any corrective action, etc.). Gaming 

management shall conduct an investigation, if appropriate and 

inform the complainant, either orally or in writing, about its initial 

determination as soon as is reasonably practicable. At that time, if 

the complainant indicates that he or she has additional concerns or 

is not satisfied, gaming management shall schedule an informal 

hearing, if practical and appropriate, and thereafter inform the 

complainant of its final determination and inform the complainant 

that if they are dissatisfied with the final determination they may 

file an appeal with the Tribal Gaming Commission. 

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10.3 Formal Dispute Resolution Procedure: 

10.3.l Complainants who have followed the initial dispute resolution procedure, 

and who are unsatisfied with gaming management's initial determination, 

may appeal that determination in writing to the Tribal Gaming 

Commission no later than five ( 5) days after being informed about the 

initial determination. 

10.3.2 The Tribal Gaming Commission may investigate the dispute in any 

manner it chooses. The Board of Commissioners shall offer the 

complainant a fair opportunity to be heard in person or through counsel 

about the dispute, either before or after it makes its own inquiries. The 

complainant's opportunity to be heard shall take place within thirty (30) 

days after the Tribal Gaming Commission receives the complainant's 

written appeal. 

I 0.3 .3 After investigating (if it chooses to do so), and within thirty (30) days after 

affording the complainant an opportunity to be heard, the Board of 

Commissioners shall issue a written opinion on the complainant's appeal, 

and shall mail a copy of the opinion to the complainant at his/her last 

known address. The decision of the Board of Commissioners shall be 

final. 

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