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MANCHESTER-POINT ARENA

BAND OF POMO INDIANS

P.O. Box 623 Telephone: (707) 882-2788

Point Arena, GA 85468 Fax: (707) 882-3417

Email: basket~rncn.orq

Website: mpatnbe.org

ORDINANCE NO. 2000-527

AN ORDINANCE OF TEE MANCRESTER BAND OF POMO INDIANS

OF THk~ MANCHESTER-POINT ARENA RANCHERIA, CALIFORNEA,

AUTHORIZING AND REGULATING GAMING ON TEE MANCHESTER

POINT ARENA RANCIIEPJA

The Manchester Band ofPorno Indians of the Manchester Point Arena Rancheria,

California (Tribe), a federally recognized Indian Tribe, as the beneficial owner of the

Manchester Point Arena Rancheria (Reservation), and acting through its Community Council

(Tribal Council) in the exercise of its inherent sovereign power to enact ordinances and

otherwise safeguard and provide for the health, safety and welfare of the Reservation and the

members of the Tribe, hereby enacts this ordinance which shall hereinafter be cited as the

Manchester Gaming Ordinance of 2000 (Ordinance). This Ordin~ince and any regulations

promulgated thereunder shall constitute the entire gaming regulations for the Tribe.

1. Section Jindings and Policy

This Ordinance is adopted by the Tribal Council, pursuant to its authority granted under

Article IV, Section (f) ofthe Tribes Constitution, for the purpose of establishing the terms for

gaining on the Reservation for tribal governmental and charitable purposes, and to develop,

operate, and regulate such gaming consistent with the findings herein and in conformity with the

federal Indian Gaming Regulatory Act (25 U.S.C. § 2701 ~t~eq (IGRA)) and the regulations

promulgated thereunder.

The Tribe finds that:

a. Gaming on its Reservation is a valuable means of generating revenues that are

needed for economic development, to promote tribal self-sufficiency, economic development,

employment, job training, and a strong Tribal government, and to ftind and ensure essential

social programs and services;

b. The Tribe desires to conduct certain forms of gaining to provide needed revenues

to the Tribe, and to regulate and control such gaming in a manner that will protect the

environment, the Reservation, the health, security and general welfare ofthe Tribe, the players,

and the community; and

c. The Tribe desires to own all gaming on tribal lands, and to manage and regulate

such gaming in a manner that will adequately address such special interests and needs of the

Tribe.

Section 2. DefiuiJtip~

Unless specified otherwise, the terms used herein shall have the same meaning as in the

IGRA, including but not limited to references to Net Revenues, Class I, Class H, and

Class III gaming, and except for references to Commissioners, Commission, or Gaming

Commission which shall mean the Manchester Gaming Commission or its Commissioners,
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established and described herein.

a. Applicant means an individual or entity that applies for a tribal gaming license

or state certification.

b. Closely Associated Independent Contractor shall mean any contractor that

shares common ownership, officers or directors with any management principal or person related

thereto.

c. Gaming shall mean an activity in which a person stakes or risks something of

value on the outcome of a contest of chance or a future contingent event, not under his or her

control or influence, upon an agreement or understanding that the person, or someone else, will

receive something of value in the event of a certain outcome, but shall not include bona fide

business transactions.

d. Gaming Activities shall mean any Class I, Class 11, or Class ifi gaming activity

conducted by or under the jurisdiction of the Tribe.

e. Gaming Commission or Tribal Gaming Agency shall mean the Manchester

Gaming Commission, as established herein under tribal law that has the primary responsibility

for canying out the Tribes regulatory responsibilities under IGRA, this Gaming Ordinance, and

any Gaming Compact edopted by the Tribe including, but not limited to, monitoring the Gaming

Activities, investigate wrongdoing, conduct background investigations, issue licenses, adopt

minimum internal control, auditing, and technical standards for conducting gaming and perform

other duties as required for the regulation of Garnizig on the Reservation.

f Gaming Compact or Compact shall mean a tribal-state gaining compact

adopted by the Tribe or compact alternatives as provided under IGRA for the Tribe.

g. Gaming Contractor shall mean any person or entity that supplies gaming

devices or other gaming equipment, personnel, or services (including gaming management or

consulting services) to any gaming activity or enterprise.

h. Gaming Employee shall mean any person who operates, maintains, repairs,

assists in, or is m any way responsible for supervising gaining activities or persons who conduct,

operate, account for, or supervise any gaming activity, is in a category under federal or tribal

gaming Jaw, or an applicable tribal-state gaining compact, requiring licensing, or is a person

whose employment duties require or authorize access to areas of the gaining facility which are

not open to the public. In defining those categories of persons who are required to be licensed

under tribal gaming law, the Tribe shall consider the inclusion of persons who are required to be

licensed pursuant to state gaming law.

i. Gaming Facility shall mean any building or room in which Class II or m

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 such records, and financial institutions), and all rooms, buildings and areas,

including parking lots, walkways and means of ingress and egress associated therewith, provided

nothing herein shall prevent the conduct of Class II gaming (as defined under IGRA) therein.

i. .

Gaining Operation shall mean the business enterprise which offers and operates

gaining activities.
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k. Gaming Resources shall mean any goods or services used in connection with

gaming activities, including, but not limited to, equipment, furniture, gambling devices and

ancillary equipment, implements of gaining activities such as playing cards and dice, fiiniiture

designed primarily for gaining activities, maintenance or security equipment and seivices,

gaming consulting services, and the like; the term shall not include professional accounting or

Legal services.

1. Gaming Resource Suppli& shall means any manu~cturer, distributor, supplier,

vendor, lessor or other purveyor of gaining resources to the gaming operation or gaming facility,

provided the Gaming Cornniission may exclude any such purveyor if the subject equipment or

fUrniture is not specifically designed for, and is distributed generally for use other than, in

connection with gaining activities.

rn. Key Employee shall mean a person who performs one or more of the following

functions; bingo caller, counting room supervisor, chief of security, custodian of gaming

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

gaming devices including those persons with access to cash and accounting records within such

devices. If not otherwise included, any other person whose total cash compensation is in excess

of $50,000 per year, and the four (4) most highly compensated persons in the Gaming Enterprise are included in the definition of key employees. At the discretion of the Gaining Commission,

other positions or persons may be included under and be subject to the requirements for key

employees.

~Indian Gaming Commission (NIGC) shall mean the commission

established under the IGRA.

o. Person shall mean any natural person or entity, including but not limited to

corporations, partnerships and trusts.

p. Primary Management OfficiaP shall mean the person who has management

responsibility for a management contract; any person who has authority to hire and fire

employees or to set up working policy for the Gaming Enterprise; or the chief financial officer or

other person who has financial management responsibility. At the discretion of the Gaming

Commission, other positions or persons may be included under and subject to the requirements

for piimaiy management officials.

q. Related to! shall refer to persons who are related as a ether, mother, sister or

brother.

r. Reservation shall mean all lands within the exterior boundaries of the

Manchester Point Arena Rancheria and any lands, the title to which is held by the United States

of America in trust for the Tribe,

s. State shall mean the State ofCalifornia,

t. State Gaming Agency shall mean the person, agency, board, or commission, or

official which the State duly authorizes to fulfill the functions assigned to it under an applicable

Gaining Compact. If the State fails, under a Gaming Compact provision, to designate an agency

authorized to investigate, approve, and regulate gaming licenses, any function assigned to the

State Gaming Agency shall be assumed by the Tribal Gaming Commission until the State so
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designates such an agency.

u. Tribal Chairperson~ shall mean the chief executive officer for the Tribe duly

elected under the Tribes Constitution to serve as the primary spokesperson for the Tribe.

v. Tribal Council shall mean the governing body of the Tribe, as set forth in the

Tribes Constitution.

w. Tribal Court shall mean any court established by the Tribe to hear disputes or, if

there is none that can exercise jurisdiction, then the Tribal Council.

x. Tribal Member shall mean any duly enrolled member ofthe Tribe.

Section 3. Ownership of Gasuing

The Tribe shall have the sole proprietary interest in and responsibility for the conduct of

any gaming operation facilities and/or enterprise(s) authorized by this Ordinance, except to the

extent the Tribe may contract with and license a person or entity to operate or manage the

enterprise pursuant to the provisions of the ICiRA arid the regulations promulgated thereunder, or

as otherwise permitted by law.

Section 4. Gaming Commission

a. Establishmcnt Gaming Commission There is established by the Tribe a

Commission, acting under delegated authority from the Tribal Council, to be known as the

Manchester Gaming Commission. The Gaming Commission shall be composed of three (3)

persons who would themselves qualif~r for licensing under this Ordinance, and any Gaming

Compact and who are appointed by the Tribal Council.

b. Disguajifications for Offiqe The following persons may not serve as

Commissioners:

(I) Persons employed in or in connection with the management, supervision, or conduct of any gaming activity;

(2) Persons related to any Gaming Contractor, or Gaming Resource Supplier,

including any principal thereof or Closely Associated Independent

Contractor);

(3) Persons who would not be eligible to be officers of the Tribe pursuant to

the Tribes Constitution; and

(4) Members of the Tribal Council.

c. Terms of Office There shall be a Chairperson, Vice-~Chairperson and Secretary

of the Gaming Commission. The Chairperson shall be appointed for an initial term of two (2)

years. The remarning members of the Commission shall be appointed for an initial term of three

(3) years. Thereafter all terms ofthe Commissioners shall be three (3) years.

d. R.emoval from Office Commissioners may only be removed from office before

the expiration of their terms by the Tribal Council for neglect of duty, misconduct,, malfeasance, or other acts that would render such persons unqualified for such duties or for licensure
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hereunder. Commissioners may not be removed for exercising their discretion or judgment or

for how they voted on a particular issue. An affirmative vote of at least four (4) members of the

Tribai Council, taken in an open meeting after a duly noticed hearing at which the member

charged with misconduct shall have the zight to bear and present evidence concerning his/her

removal, shall be reqttired to remove a member of the Commission. At the request of the

member whose removal is at issue, the hearing may be held in executive session. The Tribal

Council also may elect to receive in executive session any evidence public disclosure of which

might compromise any on-~oing law enforcement investigation, land acquisition for the Tribe or

negotiations by the Tribe with a third party.

e. Quorum Two (2) members of the Gaming Commission shall constitute a

quorum.

£ Officers and D~.nies The Gaming Commission shall select, by majority vote, a

Chairman, Vice-Chairman and Secretary. The Chairman shall preside over meetings of the

Gaining Commission and the Vice-Chairman shall preside in the absence of the Chairman. The

Secretary shall record in writing the minutes of all Gaining Commission meetings and all official

actions taken by the Gaining Commission.

g. Voting All actions of the Gaming Commission shall be taken by majority vote.

The Commission Chairperson may vote on any issue.
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h. Meetings Meetings shall be held at least once per month at the Tribes Tribal

Council Chambers or any other location on the Reservation designated from time-to-time by

resolution of the Gaming Commission. Additional meetings shall be held as called by the

Chairperson or by at least two (2) other Conmussioners. Notice of meetings shall be given in

writing to each Commissioner, served by first class mail or personal delivery at least five (5)

business days prior to such meeting, Meetings may be called at any time, by any means, with

unanimous consent of the Commissioners. Notice of all Gaming Commission meetings shall

also be provided to the Secretary of the Tribal Council.

i. Compensation for S~vin~ The Tribal Council shall determine and authorize

the compensation to be paid to Commissioners by adoption from time to time of a resolution

based on a determination of time required to be expended upon Coniniission duties and the

qualifications of the appointed Commissioners.

j. Powers and Duties

The Gaming Commission shall have the primary responsibility for carrying out the

Tribes regulatory responsibilities under applicable law. In order to enforce the requirements of

applicable law, to protect the integrity of the gaining activities, the reputation of the Tribe, and

the gaming operation for honesty and f~irness, and to develop the confidence of patrons, the

Commission shall:

(1) Inspect, examine and monitor Gaming Activities, including the power to

demand access, to and inspect, examine, photocopy and audit all papers, books and

subpena records respecting such Gaining Activities;

(2) Investigate any suspicion of wrongdoing and violations of applicable law

and regulations in connection with any Gaming Activities and require correction of

violations as the Gaming Commission deems necessary including establishing and

imposing fines or other sanctions against licensees or other persons who interfere with or

violate the Tribes gaming regulatory requirements under applicable federal or tribal law

or a Compact;

(3) Conduct, or cause to be conducted, such investigations as may be

necessary to determine in connection with any Gaming Activities, compliance with law

including this Ordinance and any Compact or any contracts, agreements, goods, services,

events, incidents, or other matters related to Gaming Activities;

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

any person in any way connected with any Gaming Activities and issue licenses to, at

minimum, all Key Employees and Primary Management Officials according to

requirements at least as stringent as those in 25 C.F.R, parts 556 and 558 as well as any

employees, mvestors, contractors, or gaming resource suppliers required to be licensed

under the standards set forth in tribal law or a compact;

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

ott the Reservation to attend and testif~ at such hearings, take such testimony, and receive

such evidence as the Gaming Commission deems relevant in fi~fih1ing its duties;

(6) Administer oaths or affirmations to witnesses appearing before the

Gaining Commission;
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(7) Implement and administer a system for investigating, licensing, reviewing,

monitoring license renewal for the Gaming Facility, en~ployees, contractors, Gaming

Resource Suppliers, investors and others connected with Gaming Activities, as described

herein, includmg the issuance of licenses or other certification of gaming facilities,

individuals and entities as required under this Ordinance, any compact and the IGRA

(8) Hear complaints against the Gaming Operation, in accordance with the

procedures established in this Ordinance, or any compact;

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

fUnds therefor, adopt a budget to finance the operations of the Gaming Conunission

including but not limited to the employment of such staff and support services as are

reasonably required to fUlfill its responsibilities under this Ordinance; compensation of

such employees shall be linlited to that which is comparable to compensation paid to

persons performing similar duties in other governmental gaining regulatory agencies;

(10) To the extent required, comply with any monitoring, regulatory and

reporting requirements, and any dispute resolution procedures established under a tnbal

state compact to which the Tribe is a party and other applicable law, including the IGRA

(11) Issue such regulations as it deems appropriate in order to implement the

provisions of this Gaming Ordinance, the IGRA, or any applicable tribal-state gaining

compact, and to promulgate rules and regulations for operation and management and

ensure their effective enforcement in areas including; enforcement of relevant laws and

rules; conduct of hearings and investigations; physical safety of patrons, employees and

other persons in the gaming facility; physical safeguarding of assets; prevention of illegal

activity within the facility or in respect to the gaming operation including employee

procedures and surveillance systems; detention of persons who may be involved in illegal acts for notification of law enforcement authorities; recording of any and all occurrences

within the gaming facility; detection of employee theft, cheating or fraud; listing of

persons barred from the gaming facility; conduct of audits; submission, approval, and

maintenance of Class lfl game rules; maintenance and approval of surveillance systems

consistent with industry standards; cashiers cage maintenance consistent with industry

standards; staffing and supervisory requirements; and technical standards for operation of

gaming terminals and other games consistent with gaming testing laboratory standards.

(12) Establish and impose license fees, sanctions, fines, and conditions, and

renew licenses, deny, suspend or revoke licenses; and issue temporary or conditional

licenses as appropriate under the provisions of this Gaming Ordinance, IGRA, or Gaming

Compact.

(13) Investigate and report violations and compliance failures as required under

this Gaining Ordinance, IGRA, or Gaining Compact.

(14) Investigate and assure compliance with any requirements for tribal

ownership, management and control of gaming facility and gaining operation, as set forth

in tribal or federal law or a Gaining Compact.

(15) Investigate and assure compliance with age restrictions for patrons

including provisions prohibiting minors in the facility and age limits on service of
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alcoholic beverages as provided under applicable law including any Gaming Compact.

(16) Issue identification cards or badges to those persons required to be

licensed and require such cards or badges to be worn at all times while in the gaming

facility.

(17) Review and monitor gaming f~ciiities on the Reservation, issue

certifications, and assure gaining facility compliance with any inspection and licensing

requirements under federal or tribal law, and any Gaming Compact.

(18) Carry out any requirements under tribal or federal law or Gaining

Compact for the protection of the health and safety of gaming facility patrons, guests, and

employees, including requirements that gaining facilities meet buildmg and safety codes

duly adopted by the Tribe.

(19) Monitor and direct inspections by qualified building and safety experts to

review and determine compliance with such requirements for gaming facility licensing

and certification.

(20) Cany out such other duties with respect to Gaming Activities on the

Reservation as the Tribe, IGRA, or a Gaming Compact shall direct.

k. Annual Reports On or before April 1st of each year, the Gaming Commission

shall provide to the Tribal Council an Annual Report summarizing its activities during the prior

twelve (12) month period ending on December 31st, and accounting for all receipts and

disbursements. The Tribal Council shall cause copies of the Annual Report to be made available

to Tribal Members at the Tribes annual Community Council meeting.

I. Other Reporting Requirements As required, the Gaming Commission shall

comply with any reporting requirements established under a tribal-state compact to which the

Tribe is a party, and other applicable law, including the IGRA and regulations promulgated

thereunder.

Section 5. Permitted Gaining Activities

a. ~1nauthori.zed Q~ming Prohibited All Gaining Activities on the Reservation (whether

Class I, Ii or Ill) are prohibited except as expressly authorized under this Ordinance.

(1) Class LGa~nin.g Class I Gaming Activities are hereby permitted to the extent

consistent with tribal custom and practice. The Gaming Commission may prohibit and

prevent any conduct which is claimed to be Class I gaining if the Tribal Council finds

that such conduct is not in accordance with tribal customs or practices or violates the

IGRA or any other applicable law.

(2) Class U and class In Gaming Class U and Class III gaming on the

Reservation is hereby authorized, provided the Tribe has the sole proprietary interest in

and responsibility for the conduct of any Gaming Operation, or to the extent the Tribe

may contract with and license a person or entity to own, operate or manage the operation

pursuant to the provisions of the IGRA or as otherwise permitted by law. Nothing herein

shall prohibit the Tribe from engaging the services of non-tribal persons as employees

thereof or engaging any person or entity to provide consulting or other technical

assistance or to assist the Tribe in the management of Gaming Activities pursuant to a
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management agreement entered into under the provisions of the TURk Class Ill gaining

shall Ee conducted in accordance with any applicable\ tribal-state compact between the

Tribe and the State, or any alternative thereto as provided by the IGRA.

Section 6. Gaming Revenues

a. Tribal PropŁrty Except as provided for under the terms of an agreement pursuant to

the provisions of the IGRA or as otherwise permitted by law, all revenues generated from any

Class II or Class ifi (Mining Activities are the property of the tribe. Any profits or Net Revenues

from Gaining Activities shall be deposited into the Tribes general treasury or such other tnbal

account as the Tribe shall determine. Once becoming part of the treasury such fUnds shall lose

any identity as gaming revenues except to the extent necessary to identify them as such in order

to comply with applicable law. No Tribal Member shall be deemed to have any interest in such

profits or Net Revenues, provided that the Tribal Council may adopt rules for disinbuting

gaming proceeds to Tribal Members on a per capita basis provided such plan meets the

requirements of the TCIRA, 25 U.S.C. § 2710 (b)(3). Payments from the general treasury thnds to

Tribal Members under other tribal programs, including those related to health, welfare,

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

b. Use of Net Revenues Net Revenues from Gaming Activities shall not be used for

purposes other than:

(I) To fUnd tribal government operations or programs;

(2) To provide for the general wel&re of the Tribe and its members;

(3) To promote economic development for the Tribe;

(4) To donate to charitable organizations;

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

(6) To make per capita distributions to Tribal Members in accordance with

Section 6(a) above.

Section 7. Operation of (Establishments

a. Gaming Permitted as Licensed Except to the extent authorized by an agreement

pursuant to the provisions of the IGRA or as otherwise permitted by law, Gaming Activities shall

only be conducted in tribally owned, operated and licensed facilities pursuant to the provisions of

this Ordinance. Such activities shall be conducted in accordance with the terms and conditions

of any license issued by the Tribe for such purposes as to each facility before any Gaming

Activities may occur therein. Such licenses shall specil~, the hours of operation, type and scope

of Gaming Activities allowed therein,, permitted uses of the thcility for other activities, rules of

conduct for employees and patrons, regulation of alcoholic beverages, food handling and

entertainment, whether the facility is safe for human occupation, and such other matters as the

Gaming Commission or the Tribal Council may deem necessary to the conduct of Gaming

Activities therein.

b. Protection of Environment arid Public Any construction or maintenance of any

gaming facility, and the operation of gaining therein, shall be conducted in a manner which
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adequately protects the~environment and the public health and safety.

c. Dispute ResolutIon Patrons who have complaints against the gaining

establishment shall have as their sole remedy the right to file a petition for relief with the

Gaming Commission in accordance with such rules or regulations as the Gaming Commission

may prescribe from time to time. For such purposes, disputes with any management contractor

or its employees shall be made to the Gaming Commission, and such shall be the exclusive

remedy for patron complaints. Complaints shall be submitted in writing and, at the discretion of

the Gaming Commission, the petitioner may be allowed to present evidence. The Gaining

Commission will render a decision in a timely fashion and all such decisions will be final when

issued. Any patron having a claim against the gaming establishment or a management contractor

or its employees must submit such claim to the Gaming Commission within thirty (30) days of

its occurrence. All claims by patrons shall be limited to a maximum recovery of $10,000 per

occurrence, and a cumulative limit of $20,000 per patron in any twelve (12) month period.
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Section 8. Audits.

Annual dits Annual outside auditing by a recognized independent accounting finn

shall be conducted of each gaming activity and the results thereof reported to the Tribal Council,

and, to the extent required by law, the Bureau of Indian Affairs and the NIGC or any other entity

as required under any Compact.

Section 9. Contracts

a. Bidding Contracts, except attorney contracts, relating to gaming or any gaming

facility over $25,000 or for more than three (3) years shall be subject to a formal, sealed bidding

process prior to submission to the Tribal Council for approval. All reasonable attempts shall be

made to obtain and consider at least three (3) responsible bids; provided, the Gaming

Commission may waive the requirement for three bids upon good cause shown.

b. Audit All contracts for supplies, services, or concessions for a contract

amount in excess of $25,000 annually (except contracts for professional legal or accounting

services) relating to Class U or Class ifi gaining on the Reservation shall be subject to

independent audits, and such contracts shall so specify.

Section 10. Licenses

a. Licensing Requirements It is the declared policy of the Tribe that all Gaming

Activities be licensed and controlled so as to protect the morals, good order and welfare of Tribal

Members and other persons on the Reservation and to preserve the honesty, fairness and integrity

of such Gaming Activities. Accordingly, no person shall engage in any Class H or Class Ill

Gaining Activities on the Reservation without an appropriate and valid independent Class A or

Class B license issued by the Gaming Commission which meets the standards set forth in this

Ordinance, IGRA, and any applicable Compact. Any gaming license which is issued, or finding

of suitability or approval by the Gaming Commission, shall be deemed a privilege subject to

suspension or revocation. No license shall be issued that would place the Tribe in violation of

the IGRA or the regulations promulgated thereunder or, as applicable, provisions of a tribal-state

compact, or of any applicable law.

b. Burden on The burden of proving an applicants qualifications to

receive any license hereunder is at all times on the applicant. Applicants must accept any risk of

adverse public notice, or other action which may result from the application process and

expressly waive any claim for damages as a result thereof.

c. ApplicantClaim of Privil~e An applicant may claim any privilege afforded by

law in connection with a gaining license application or investigation, but a claim of privilege

with respect to any testimony or evidence pertaining thereto may constitute sut~cient grounds

for denial, suspension or revocation.

d. Releasc o~J.ntbnnatinn All persons applying for a license shall agree to release

the information necessary in order for the Gaming Commission to achieve its goals under this

Ordinance, and to fi~rnish such information to the Bureau of Indian Affairs, the NbC, or such

other governmental agency as may be required by law or any applicable Compact.

e. Types of Licenses Three classes of licenses (Class A, Class B, and Class C) shall

be issued to persons and entities associated with Gaming Activities, and a facility license shall be
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issued to any facility where Gaining Activities are conducted on the Reservation.

(1) Class ALi~nses Before permitting any person to become permanently

associated with the Gaming Activities as an investor, management entity, or other person

owning or controlling ten percent (IO%) or more of any interest m any management

entity, or any Primary Management Official, Key Employee, Closely Associated

Independent Contractor, or other individual or entity with influence over the management

or operation of the gaming, or a Class IT or UI gaming employee, suppher, manufacturer

or distributor, such person shall obtain a Class A license. The Gaxnmg Commission shaJi

conduct or cause to be conducted a background investigation to determine if such person

has:

(a) Any criminal record or any reputation, prior

activities, habits or associations which might pose a threat to the

public interest or to the effective regulation of gaming.

(b) Anything else in their background which might

create or enhance the dangers of unsuitable, unfair, or illegal

practices and methods and activities in the conduct of gaining.

Persons who do not meet the above qualifications shall be denied a Class A

license.

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

subsection (1) above, but are to be employed at a gaining facility on the Reservation in

some other capacity, such as in non-gaming related activities, shall be required to obtain a

Class B license from the Gaming Commission. Such persons must establish that they

have not been convicted of a crime, or engaged in any activity, which the Gaming

Commission, in its sole discretion, deems would render such person a danger to the safety

or integrity of the Gaining Activities or the safety or property of the Tribe, any Trib8i

Member, any gaming employee or patron, or the public.

Persons who do not meet the above minimum qualifications shall be denied a Class B

license.

(3) Class C Licenses Minors (persons under 18 years of age) employed at a

gaming facility on the Reservation may be issued a Class C license, which wifl entitle

them to work in any position for which a Class B license is required for adults and not

otherwise prohibited by law, provided such minors are not deemed by the Gaming

Commission to pose any threat to the safety or integrity of the Gaming Activities or the

safety or property of the Tribe, any Tribal Member, any gaming employee or patron, or

the public. The Class C license shall be valid for no more than six (6) months before

renewal, and shall be revoked upon the minor~s reaching the age of 18, at which time a

Class A or B license, as may be appropriate, will be required. Minors shall not be

employed as dealers or otherwise to operate or supervise the operation of games, or to

serve liquor.

(4) Facility Licenses Any tribal gaming facility shall be inspected, licensed,

certified, and monitored as applicable under the requirements of this Ordinance, IGRA.,

and any applicable Compact.
JAN292003 02:3TPM FROMMANPA TRIBAL CIIAC 1328 P.024/033 FT32

f. License Renewal Class A and Class B licenses shall be subject to renewal at

least every two (2) years, and may be revoked or suspended upon the occurrence of any act

which, if known during the application process, would have tended to disquahf~ such person for

such a license.

g. Temporary Licenses Pending completion of an investigation for a license,

temporary licenses of ninety (90) days duration may be issued by the Gaming Commission if in

its sole discretion it deems it appropriate to do so. Such licenses shall permit the hcensee to

engage in such activities and pursuant to such terms and conditions as maybe specified by the

Gaming Commission. Unless renewed for good cause, such temporary bcenses shall expire

ninety (90) days from date of issuance, upon issuance of a regular license, or until an earlier

specified expiration date, whichever occurs first.

h. License Investigations The Gaming Commission may employ all reasonable

means, including the engagement of outside services and investigators and the holding of

hearings, to acquire the information necessary to determine whether or not a license should be

issued. Applicants shall also agree to release the information necessary in order for the Gaming

Commission to achieve its goals under this section and to furnish such information to the Bureau.

of Indian Affairs, the NIGC, or such other agency as may be required by law.

i. License Fees Unless specifically waived by the Gaming Commission, all license

applicants shall be required to pay all applicable license fees and costs when due, including a

reasonable deposit for costs incurred in obtaining information in connection with the license

application. Estimates of licensing costs shall be provided to applicants upon reasonable request.

Payment for all reasonable fees and costs must be received by the Gaming Commission prior to

issuance of the license.

j. Standards All persons engaged by or associated with any Gaming Activity on the

Reservation shall conduct themselves with honesty, integrity, and with such decorum and

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

Activities involved. Any failure to abide by such standards, or any violation of any rule,

ordinance, custom or tradition of the Tribe, the Reservation or the Gaming Activity, or the terms

or conditions of the license, may be grounds for immediate suspension or revocation of any

license issued hereunder.

k. Appeals All decisions of the Gaming Commission regarding the issuance or

revocation of licenses shall be effective when issued. An applicant or licensee whose license is

denied, revoked or suspended may, within thirty (30) days after the date of receipt of a written

decision of the Gaming Commission, file a petition with the Gaming Commission requesting a

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

Court in accordance with such rules and regulations as may be promulgated by the Tribal Court

for that purpose. Any Tribal Member who is denied a license by the Gaming Commission may,

within sixty (60) days of written notice of such denial, appeal the denial to the Gaming

Commission, which shall have the power to reverse its prior decision and order that such license

be issued, and shall have the right to appeal such decision to the Tribal Court, provided that no

such license shall be issued for more than one (1) year, subject to the renewal procedures set

forth herein, and provided ftirther that no order of the Gaming Commission or Tribal Court that a

license be issued shall be valid if such issuance would place the Tribe in violation of any tribalstate compact to which the Tribe is a party, or of any applicable law. The Tribal Court in

reviewing decisions of the Gaining Commission shall not reverse a Gaining Commission

decision unless the court finds that the decision is arbitrary or capricious or clearly contrary to
~Al~292003 02:3TPM FRO~AMANPA TRIBAL CIMC 1328 P.025/033 FT32

the law.

Background Investigations

(1) The Gaming Commission shall request from each Primary Management

Omcial Key Employee and other Class A license applicants all of the inforrn~tion

specified in subsections (a) throu~h (n) below. The Gaming Commission reserves the

right, at any time, to request additional information either prior to, during, or subsequent

to any background investigation.

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

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

or written);

(b) Currently and for at least the previous ten (10) years: business and

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

residence addresses and drivers license number(s);

(C) Names and current addresses of at least three (3) personal

references, including one personal reference who was acquainted with the

applicant during each period of residence as listed under subsection (b) above,

(d) Current business and residence telephone numbers;

(e) Description of any existing and previous business relationships

with the gaming industry generally, including ownership interests in those

businesses;

(E) A description of any existing and previous business relationships

with Indian tribes, including ownership interests in those businesses;

(g) Name and address of any licensing or regulatory agency with

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

gaming, whether or not such license or permit was granted;

(h) For each felony for which there is an on-going prosecution or a

conviction; the charge, the name and address of the court involved, and the date

and disposition, if any, of the case;

(i) For each misdemeanor conviction or on-going misdemeanor

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

of the application: the name and address of the court involved, and the date and

disposition, if any, of the case;

(j) For each criminal charge (excluding minor traffic charges),

whether or not there is or was a conviction, if such criminal charge is within ten

(10) years of the date of the application and is not otherwise listed above pursuant

to subsections (h) or (i) above: the criminal charge, the name and address of the

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

(k) Name and address of any licensing or regulatory agency (federal,
JAN292003 02:3TPM FROMMANPA TRIBAL CIMC 1328 P.026/033 F732

tribal, state, local or foreign) with which the person has filed an application for an

occupational license or permit, whether or not such license or permit was granted;

(1) Current photographs;

(m) Any other information the Tribe or Gaming Commission deems

relevant; and

(n) Fingerprints consistent with procedures adopted by the Gaining

Commission according to 25 C.P.R. § 522.2(h).

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

the Gaining Coniniission, sufficient to make a determination of ehgibihty as required

under this Ordinance. In conducting the background investigation, the Gaming

Commission and its agents shall promise to keep confidential the identity of each person

interviewed in the course ofthe investigation.

(3) The Gaining Commission shall arrange for a city or county law enforcement

agency, located in Mendocino County, for the State of California, other appropriate law

enforcement agency or properly authorized Gaming Commissioner to take the applicants

fingerprints and forward those fingerprints directly to the NIGC, to be forwarded to the

Federal Bureau of Investigation, National Criminal Information Center, for review of the

applicants criminal history, and perform or arrange to have performed the necessary

background investigation of the applicant required by this Ordinance. Such investigation

shall include contacting each reference provided in the application and taking all

appropriate steps necessary to verify the accuracy of the information contained in the

application. There shall be a written investigation report of the findings and conclusions

of each investigation. The investigative report shall include (1) the steps taken in

conducting a background investigation, (2) the results obtained; (3) the conclusions

reached; and (4) the basis for the conclusions. The Gaming Commission shall review the

findings and conclusions of the report for the purpose of determining whether to grant or

deny the license applied for.

k. Eligibility Deterrnir~ati~n The Gaming Commission shall review a persons prior

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

concerning the eligibility of a Key Employee or Primary Management Official or any other

applicant for a Class A or B license for employment in a gaining operatioa If the Gaming

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

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

practices and methods and activities in the conduct of gaming, the Gaming Enterprise shall not

employ that person in a Key Employee pr Primary Management Official position or in any other

position for which a Class A or B license is required, except as specifically established by the

Gaming Commission.

1. Forwarding Licensing ApI~Jications and Reports.to NIGC

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

other applicant for a Class A license is employed by a Gaming Enterprise authorized

under this Oixtinance, the Gaining Commission, acting on behalf of the Tribe, shall

forward to the NIGC the perspns completed application for employment containing the

information required above under Section 10(1) of this Ordinance.
JAN292003 02:38PM FROMMANPA TRIBAL CIMC T328 P.02T/033 FT32

(2) Prior to issuing a license to a Primary Management Oi~cial Key

Employee, or other applicant for a Class A license the Gaming Commission, acttng on

behalf of the Tribe, shall forward to the NTEGC, together with a copy of the eligibility

determination made under subsection 10(k) above, an investigative report approved by

the Commission on each background investigation. The mvestigative report on each

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

employee begins work, or within sixty (60) days of the approval of this Ordinance by the

NIGC. The Gaining Operation shall not employ or continue to employ any person as a

Key Employee, Priniary Management Official or Class A licensee who does not have a

license within ninety (90) days of begiiming work.

The investigative report shall include the following information:

(a) Steps taken in conducting a background investigation;

(b) Results obtained;

(c) Conclusions reached; and

(d) The bases for those conclusions.

(3) The Gaming Commission, acting on behalf of the Tribe, shall provide to

the NIOC or other agency, any other reports and information required by the IGRA and

regulations promulgated thereunder. Further, with respect to Key Employees, Primary

Management Officials, and other Class A licensees, the Gaining Commission shall retain

applications for employment and reports (if any) of background investigations for

inspection by the NIGC for no less than three (3) years from the date of termination of

employment.

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

notit~ the NIGC and may forward copies of its eligibility determination and investigative

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

System.

mit Granting a Gaming License

(1) 1f within a thirty (30) day period after the NIGC receives a report as

required under subsection 10(1) above, the NIGC notifies the Tribe that it has no

objection to the issuance of a license pursuant to the license application filed for a Key

Employee, Primary Management Official, and other Class A applicants for whom the

Gaining Commission has provided an application and investigative report, the Gaming

Commission may issue the license.

(2) The Gaming Commission shall provide any additional information

requested by the NIGC concerning a Key Employee, Primary Management Official or

other Class A applicant who is the subject of a report as required under this subsection.

An NIGC request for additional information shall suspend the thirty (30) day period

established under this subsection until the NIGC receives the additional ixiforxnation..

(3) If, within the thirty (30) day period established under this subsection, the
JAN292003 02:38PM FROMMANPA TRIBAL CII~ T328 P.028/033 FT32

NIGC provides a statement itemizing objections to issuance of a license to a Key

Employee, Primary Management Official or other Class A applicant, the Gaming

Commission shall reconsider the application., taking into account such objections. The

Gaming Commission retains the right to make the final determination whether to issue

the license to such applicant. n. ~ense Suspenaj~n

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

information from the NIGC or other reliable source indicating that a Key Employee,

Primary Management Official or other Class A or B licensee is not eligible for

employment under the eligibility criteria established in section 10(k) above, the Gaming

Commission shall suspend the license and shall notify the licensee in writing of the

license suspension and proposed revocation.

(2) The Gaming Commission shall notify the licensee of a time and place for

a hearing on the proposed revocation of a license.

(3) After the revocation hearing, the Gaming Commission shall determine

whether to revoke or to reinstate the gaming license. For actions taken in response to

information provided by the NIGC, the Gaining Commission shall notify the NIGC of its

decision.

o. Facilities Licenses A separate license shall be required for each place, facility, or

location on any land where Class LI andlor Class 111 gaining is to be conducted on the

Reservation. Before Gaining Activities can be conducted therein, the Gaming Commission shall

inspect and license each such facility in accordance with this Ordinance, the IGRA or any

applicable Compact.

Q~ass lIt Licenses Subject to Gaming Compact Requirements All licenses for

employment in, providing goods or services to, or other involvement with Class III gaming

activities on the Reservation shall be subject to and governed by the provisions and process

established in any applicable Gaming Compact. In addition to the NICiC and Gaming

Commission background investigation and licensing processes established herein, all such Class

A and/or B licenses including Class III gaming facility licenses, shall be subject to all

requirements agreed to by the Tribe and the State under any such Gaming Compact.

Section 11. Application 1.orms

a. gach application form for a Key Employee or a Primary Management Official, as

well as for all other Class A license applicants, unless otherwise specifically exempted by the

Gaming Commission, shall contain the notices set forth in subsections (1) and (2) below:

(1) Privacy Act Notice

In compliance with the Privacy Act of 1974, the following information is

provided: Solicitation of the information on this form is authorized by 25 U.S.C. §270 1

~ ~q. The purpose of the requested information is to determine the eligibility of

individuals to be employed in a gaming operation. The information will be used by

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

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

to appropriate federal, tribal, state, local, or foreign law enforcement and regulatory
JAN292003 02:38PM FROMM,kNPA TRIBAL CIMC T328 P.029/033 F732

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

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

connection with the hiring or firing of sit employee1 the issuance or revocation of a

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

operation. Failure to consent to the disclosures indicated in this notice will result in a

Tribes being unable to hire you in a Primary Management Official or Kley Employee

position.

The disàlosure of your Social Security Number (SSN) is voluntary. However,

failure to supply a SSN may result in errors in processing your application.

(2) Notice Regarding False Statements

A false statement on any part of your application may be grounds for not hiring

~rou, or for firing you after you begin work Also, you may be punished by fine or

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

b. Any existing Key Employee or Primaiy Management Official, or any other Class

A licensee unless otherwise specifically exempted by the Gaming Commission, that has not

completed an application form containing the language set forth in Section 1 1.a(l) and (2) above,

shall be notified that they must either:

(1) Complete a new application form that contains the Privacy Ordinance

Notice and the Notice Regarding False Statements; or

(2) Sign a statement that contains the Privacy Ordinance Notice and consent

to the routine uses described in that notice, and sign a statement that contains the Notice

Regarding False Statements.

Section 12. Class UT Gaming: Tribal-State Compacta

In addition to the provisions set forth above, all Class III gaining engaged in on the

Reservation shall be conducted in accordance with any applicable tribal-state compact obtained

in accordance with the IGR.A. All negotiations for such compacts shall be conducted through the

Tribal Council, with the advice and suggestion of the Gaining Commission, and shall be

finalized in accordance with tribal law. To the extent any provision of a tribal-state compact is

inconsistent with the provisions of this Ordinance, such compact shall prevail and shall be

deemed incorporated by reference herein.
JAN292003 02:39PM FROMMANPA TRIBAL CIMC 1328 P.030/033 F732

Section 13. Interest in Management Contracts by Tribal Officials

No elected official of the Tribe, including the Gaming Commission or any other

committee or agency of the Tribe, shall have a financial interest in or management responsibility

for, any management agreement entered into pursuant to the IGRA, nor shall such elected

official serve on the board of directors or hold (directly or indirectly) ten percent (10%) or more

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

beneficial interest in any partnership, trust, or other entity, in any such corporation, partnership,

trust or other entity, having a financial interest in, or management responsibthty for, such

contract.

Section 14. Service of Process

The Tribe designates as its agent for the service of any official determination, order, or

notice of violation, the Chairperson of the Tribe.

Section 15. Tribal (laming Corporation

Nothing in this Ordinance shall prevent the Tribe, through its Tribal Council, from

delegating the authority to conduct Gaming to one or more tribal corporations, so long as the

tribal Gaming Operation to which such authority is delegated agree to meet all criteria and

requirements established under this Ordinance.

Section 16. Repeal of Pri~r Gaming Ordinance: Effective Date

This Ordinance and the regulations promulgated thereunder shall constitute the entire

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

and this Ordinance shall become effective upon its approval by the NIGC.

Section 17. Severability

If any provision or application of this Ordinance is determined by review to be invalid,

such determination shall not be held to render such provision inapplicable to other persons or

circumstances, nor shall such determination render invalid any other provision of this Ordinance.

Section 18. Amendments

All provisions of this Or~thi~nce are subject to revision, repeal, or amendment by the

Tribal Council at any time. Regulations promulgated by the Gaming Commission under this

Ordinance are subject to revision, repeal or amendment by the Gaming Commission at any time.

CERILFICAflON

T foregoing Ordin~iice was adopted at a duly called meeting of the Tribal Council held

on the ~j_ day of June, 2000, by the following vote:

AYES: 98

NOES: 4

ABSTAIN: 13

ABSENT: 0
JAN292003 02:39PM FROIIMANPA TRIBAL CIMC 1328 P.031/033 F732

J s bropeza, Tribal Chairman

ATTESTED:

~1~i~L4~l~

Brenda Andef~Øii, Secretary