Bradley G. Bledsoe Downes, Esq. 

Dorsey & brhitney LLP 

38 Technology Drive 

Irvine, California 9261 8-53 10 

 ear Mr. Downes: 

This letter responds tb the Karuk Tribe of California's request to the National 

Indian Gaming Commissior) (NIGC) to review and approve the Tribe's Gaming 

Ordinance. The Tribal Execdtive Council approved the Ordinance on May 4,2003. This 

letter constitutes such approdal under the Indian Gaming Regulatory Act (IGRA). It is 

important to note that the gan/ling ordinance is approved for gaming only on Indian lands, 

as defined in the IGRA, over iwhich the Tribe has jurisdiction. 

Thank you for submitling the ordinance for review and approval. The NIGC staff 

and I look forward to workiing with you and the Karuk Tribe of California on future 

gaming issues. 

Sincerely yours, 

Philip N. Hogen 

Chairman 

I 

Writer 

I 

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Administrative Office Karuk l'ribal Health Clinic 

63.236 Second .4\1e. P.O. Ros 1 Il I6 64236 Second Ave. P.O. Box 1 0 16 

Happy C~II:~), C.4 06039 Happy Camp, CA 96039 

(530) 403-5.W Fax (5301 $(;I-5.322 (530) 393-2201 Fax (530) 493-5363 

- *- 

RESOLU'I'ION OF THE 

KARUK TRIBE OF CALIFORNIA 

Resolution No: 03-R-36 

Date Approved: May / , ,, , 2003 

RESOLUTION AUTHORIZING THE ADOPTION OF GAMING ORDINANCE; 

REQUEST FOR NlCC REVIEW AND APPROVAI., 

\+'HEREAS; the Karuk Tribe of California ("Tribe"), a federally rccognizcd Indian tribe, adopted 

a Tribal Constitution and Bylaws; 

WHEREAS; pursuant to Article TV of the Constitution, the Tribal Executive Council is the 

governing body of the Tribe; 

WHEREAS; pursuant to Article V of the Constitution, the 'Tribal Executive Council is authorized 

to exercisc the inherent sovereign authority of the Tribe including to adopt ordinances; 

WHEREAS; tile Tribal Executive Council has developed a Gaming Ordinance to authorize, 

permit and otlienvise regulate gaming on the Tribe's Indian lands; 

WHEREAS: said Ordinance is consistent with the Tribe's priorities and is in the best interests of 

the Tribe as it promotes a strong. self-governing, stable society; 

NOW, THEREFORE, BE IT RESO1,VED; that the fbllowing Gaming Ordinance is hereby 

adopted; 

BE 11' FURTHER RESOLVED; that this Ordinance shall supcrscdc any and all former gaming 

ordinances and that any such folmcrly enacted gaming ordinances are hereby repealed and shall bc 

of no further force or effect upon enactment of this Ordinance; 

BE IT FURTHER RESOLVED; that the Tsibal Chairman is hereby further authorized and 

directed to rake such additional steps on behalf of the Tribe as may be required including the 

fowarding of this Ordinance to thc Bureau of Indian Affairs andlot- thc National lndian Gaming 

Commission for regulatory review or approval andlor for confirmatio~l that any regulatory approval 

is not required; 

BE IT FURTHER RESOLVED; that the Tribe hereby designates the SherifPs Department. 

County of Siskiyou, as the local law enforcement agency responsible for taking fingerprints and 
transmitting the fingerprints to the National Indian Gaming Commission; said designation to be 

effective until such time as the Tribe desibmates another law enforcement agency or the Tribal 

Gaming Commission as the local law enforcement agency responsible for such duties; 

BE IT FURTHER LWSOLVED; that the Tribal Chairman is hereby authorized to delegate legal 

colulsel to carry out the directives contained herein; and 

BE IT FURTHER RESOLVED; that the Chairman of the National lndian Gaming Comnission is 

hereby requested to rcview and approve the Gaming Ordinance adopted by the Tribe. 

CERTIFICATION 

I, the undersigned, as Chairman of the Karuk Tribe of California, do hereby certify that the Tribal 

Council, composed of nine @ members, of which 6 were present constituting a quorum at a 

meeting thereof, duly and regularly called, noticed and convened, and held this ( 4-h) day of May 

2003, and that this Resolution was duly adopted by a vote of for and & against, and that 

said Resolution has not been rescinded or amended in any way since its adoption. 

Dated this [4/li day of Mav 2003. 

Alvis Johnson, Chairnlan 

Karuk Tribe of California 

@&/ ATTEST: d& 

Carol Day v Tribal Secretary 
KARUK TRIBE OF CALIFORNIA 

TRIBAL GAMING ORDINANCE 

I. Purpose 

The Karuk Tribe of California acting through the Karuk Tribal Council (hereinafter the 

"Tribe"), empowered by the Tribe's Constitution to enact ordinances, hereby enacts this 

ordinance in order to set the terms for Class I1 and Class 111 gaming operations on tribal lands 

pursuant to the provisions of the Indian Gaming Regulatory Act, 25 U.S.C. $ 2701, et seq. 

("IGRA"), and as thereafter amended. 

11. Applicability of Ordinance 

Unless specifically indicated otherwise, all provisions of this Ordinance shall apply to 

both Class I1 Gaming and Class 111 Gaming including, but not limited to, all licensing and 

background investigation procedures. 

111. Gaming Authorized 

Class I1 gaming as defined at 25 U.S.C. $ 2703(7)(A), and by the regulations 

promulgated by the National Indian Gaming Commission at 25 C.F.R. $ 502.3 and Class 111 

gaming as defined at 25 U.S.C. $ 2703(8), and by the regulations promulgated by the National 

Indian Gaming Commission at 25 C.F.R. $ 502.3 (as published in the Federal Register at 57 FR 

12382- 12393, April 9, 1992) is hereby authorized, and as thereafter amended. 

IV. Unauthorized Gaming 

Any person who commits any act of unauthorized Gaming on the Reservation or any 

other Tribal land shall be guilty of a crime and shall be prosecuted in Tribal Court or any other 

court of competent jurisdiction. It is hereby declared that authorized Class I1 Gaming or Class 

I11 Gaming conducted on the Reservation, or on any other Tribal land that fully complies with 

the provisions of this Ordinance, the Rules, the Compact and IGRA shall not be subject to any 

criminal penalties. 

V. Ownership of Gaming 

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

any gaming operation authorized by this ordinance; provided, however, that the Tribe may, in 

accordance with IGRA, enter into a management contract for management of the gaming 

operation. 

VI. Use of Gaming Revenue 

A. Net revenues from gaming shall be used only for the following purposes: to fund tribal 

government operations and programs; provided for the general welfare of the Tribe and its 

members; promote tribal economic development; donate to charitable organizations; or help fund 

operations of local government agencies. 
B. If the Tribe elects to maker per capita payments to tribal members, it shall authorize such 

payments only upon approval of a plan submitted to the United States Secretary of the Interior 

pursuant to the provisions of 25 U.S.C. 5 2710(b)(3). 

VII. Audit 

A. The Tribe shall cause to be conducted annually an independent audit of gaming 

operations and shall submit the resulting audit reports to the National Indian Gaming 

Commission. 

B. All gaming related contracts that result in the purchase of supplies, services, or 

concessions in excess of $25,000.00 annually, except contracts for professional legal and 

accounting services, shall be specifically included within the scope of the audit that is described 

in Subsection VILA. 

VIII. Protection of the Environment and Public Health and Safety 

Gaming facilities shall be constructed, maintained and operated in a manner that 

adequately protects the environment and the public health and safety. 

IX. TribaLState Gaming Compact with the State of California 

All gaming conducted pursuant to this Ordinance shall comply with the provisions the 

Compact, including, but not limited to, any licensing, approval, or monitoring requirements 

contained in the Compact. 

X. Gaming Commission; Establishment, Administration and Powers 

A. Establishment of Commission The Karuk Tribal Gaming Commission is hereby 

established. The Commission shall consist of a minimum of three (3) members up to 

a maximum of seven (7) members appointed by a majority vote of the Council. The 

Council shall by Tribal Resolution set the number of Commission members which 

number may be changed from time to time by appropriate Tribal Council Resolution. 

A Commissioner shall serve for two (2) years and may be removed from office prior 

to the end of the Commissioner's term only for cause and by a unanimous vote of the 

Council after a public hearing, if such hearing is requested by the Commissio~r who 

is subject to removal. The Council may at through the initial appointments establish 

an annually staggered Commission appointment schedule by appointing the first 

Commission for terms of less than or more than two years, for their initial terms only. 

Thereafter, all successive terms of appointment for a Commissioner shall run for two 

(2) years. Vacancies on the Commission shall be filled within thirty (30) days by a 

majority vote of the Council. The Commission shall select annually, from its 

membership, a Commission Chair. 

B. Licensing of Commissioners. Applicants for the position of Commissioner must 

meet the requirements of this Ordinance and must first obtain a License from the 

Council prior to assuming office. 

KTOC GamingOrdinance..4-3043.doc 

2 
C. Failure to Meet License Requirements or License Violations. If the Tribal Chair or 

the Council has reason to believe that a Licensed Commissioner fails at any time to 

meet the License requirements under this Ordinance or that the Commissioner has 

violated this Ordinance, the Rules, the Compact, or the lGRA or any other applicable 

law, the Tribal Chair or the Council shall direct an investigation to be conducted and 

may notice the Commissioner for a hearing before the Council. A Commissioner 

shall have all of the rights and obligations given to a Licensee or Applicant therein, 

except that all hearings shall be conducted by and before the Council. 

D. Restrictions on Commissioners. No person shall serve on the Commission if that: 

1. person's other employment or responsibilities conflict or could potentially 

conflict with the duties and responsibilities of a member of the Commission; 

2. person is an employee of the Gaming Operation or the person's other 

employment or responsibilities create an impression or appearance of 

impropriety in the hlfillment of the duties and responsibilities of a member of 

the Commission; or 

3. person is a Judge in any Tribal Court. 

E. No Financial Interest in Gaming. No Commissioner shall have any direct or indirect 

financial interest in any Gaming Operation. For purposes of this section, "indirect 

financial interest shall not include ownership of any mutual funds which holds stock 

in a publicly traded company, but shall include direct ownership of such stock. No 

Commissioner may accept gratuities or any other thing of value from any Licensee or 

Applicant. Commissioners may not gamble in any Gaming Establishment. 

F. Compensation of Commissioners. Commissioners shall be compensated at a rate to 

be established annually by the Council. Commissioners shall be reimbursed for 

actual expenses incurred on Commission business, including necessary travel 

expenses. 

G. Commission Meetings. 

1. Regular Meetings. The Commission shall meet at least once a month at the 

Commission's main office or at any other designated meeting place. 

2. Svecial Meetings. Special meetings shall be convened by the Commission 

Chair asnecessary to carry out the official duties of the Commission. Notice 

of each special meeting shall be given by the Commission Chair by telephone 

or mail to each Commissioner. Notice shall be received at least 24 hours in 

advance of such meeting and shall include the date, time and place of the 

proposed meeting. 

3. Emergency Meetings. An emergency meeting may be called by the Chair of 

the Commission with less than 24 hours notice; provided, however, that the 

Chair of the Commission shall use best efforts to assure that all 

KTOC GamingOrdinancc-4-3043.doc 

3 
Commissioners are notified of such meeting, with as much prior notice as 

possible under the circumstances. 

4. Meetings Open to the Public. All meetings of the Commission shall be open 

to the public; provided, however, that the Commission may, in its discretion, 

close any portion of any meeting to the public when discussing any 

information which the Commission deems confidential pursuant to the 

provisions of this Ordinance. 

H. Commission Offices. The Commission shall maintain an office in a location 

established by the Council. Such office shall serve as the Commission's main 

business office and shall be the site at which Commission records and documents are 

maintained and stored on a permanent basis. No individual except a Commissioner, 

or other authorized employee or agent of the Commission may possess a key to or 

may enter any Commission office without the permission of the Commission. No 

person may access such records except a Commissioner, a person duly authorized by 

the Commission, a Commission, or an attorney for the Commission. Nothing herein 

shall prevent Commission records from being maintained or stored at the offices of 

the Gaming Monitor. 

I. Quorum. A quorum of the Commission shall consist of a majority of the membership 

of the Commission, e.g., if a total of three Commissioners, a quorum would consist of 

two (2) Commissioners. All decisions shall require the concurring votes of at least a 

majority of the members of the Commission present at the meeting, unless particular 

power is delegated to the Chairman pursuant to this Ordinance or the Rules. 

J. Organization of Commission The Commission may organize itself into any 

functional division it deems necessary, and may alter such plan of organization as it 

deems expedient. 

K. Commission Record-Keeping, The Commission or Gaming Monitor shall maintain 

complete records regarding the following: 

1. Applications, financial statements, fingerprints, contracts, Licenses, 

suspension and cancellation notices and correspondences of all Applicants, 

including Management Entities or Controlling Shareholders, Key Employees, 

Primary Management Officials, Gaming Establishments and Gaming Device 

Suppliers; 

2. Commission Licenses; 

3. Meeting minutes from all Commission meetings; 

4. Compact compliance; 

5. Reports relating to customer disputes, complaints or other issues that affect 

the integrity of the Gaming Operation; 

KTOC GamingOrdinance.4-3043.doc 

4 
6. Commission budget and expenditures; 

7. Council communications and correspondences; 

8. Gaming Device list pursuant to this Ordinance; and 

9. Any other records or documents the Commission or Gaming Monitor deems 

necessary or appropriate. 

L. Confidentiality. The Commission shall preserve as confidential all information 

provided by Applicants and Licensees, provided that the Commission may, in its 

discretion, advise the NIGC, or the authorized representatives of any federally 

recogliized Indian tribe regarding the denial revocationor withdrawal of any 

Application or License, or of any disciplinary action taken regarding any License or 

Licensee. 

M. Reports. The Commission shall make monthly reports to the Council within thirty 

(30) days after the end of each month. Such Reports shall contain the following 

information: 

1. number and types of Licenses issued during the previous 30-day period; 

2. information regarding License denials, suspensions or revocations; 

3. report of any events of noncompliance, breach or violations of this 

Ordinance, the Rules, the Compact, IGRA, License or any other law or 

regulation; provided, however, that these reports are not the subject of or 

relating to a pending investigation of the Commission or the Gaming Monitor, 

or hearing before the Commission; 

4. a report of Commission -expenditures for the prior 30-day period; 

5. a summary of any Commission travel and training; 

6. the number of and purpose for any special Commission meeting(s); and 

7. all other information which the Commission deems relevant in order to keep 

the Council informed and current on all Gaming regulatory matters. 

8. Nothing in this Section shall authorize or permit the Commission or Gaming 

Monitor to provide the Council with any information pertaining to a pending 

investigation ofthe Commission or Gaming Monitor, or hearing before the 

Commission. Except as provided in otherwise in this Ordinance, all such 

information shall be kept confidential. The Commission may find that any 

willful or negligent breach of this provision presents due cause for removal of 

the person from office or employment. The Gaming Disputes Court shall 

have the authority to impose civil penalties of up to $5,000 (FIVE 

THOUSAND DOLLARS) for each violation. Claims of such disclosure may 

KTOC GarningOrdinance-4-3043.doc 

5 
be presented by the Monitor, the Commission or the Licensee or Applicant 

affected, provided that any such claim shall be presented to the Gaming 

Disputes Court within 60 days of the act complained of, or within 60 days the 

disclosure becomes known, whichever is later. 

N. Budget. The Commission shall establish a budget for its operations, including, but 

not limited to, a budget for the Gaming Monitor, shall acquire such furnishings, 

equipment, supplies, stationery, books and other items as it deems necessary or 

desirable to carry out its functions, and incur such other expenses, within the limit of 

finds available to it, as it deems necessary. Such Commission budget shall be subject 

to approval by the Council and, once approved by the Council, shall be finded From 

the Tribe's general revenues. Within the limits of its Council approved budget, the 

Comnlission shall employ and fix the salaries of, or contract for the services of, such 

professional, technical and operational personnel and consultants as the execution of 

the Commission's duties may require. The Commission budget may, at the Council's 

discretion, be reviewed and modified by the Council every four (4) months. Any 

surplus remaining in the Commission's budget at the end of any budget year shall be 

refunded to the Council. 

0. Powers. The Commission shall exercise all powers necessary to effectuate the 

purposes of this Ordinance and all other powers provided for in this Ordinance. In 

all decisions, the Commission shall act to promote and emure the integrity, security, 

honesty and fairness of the operation and administration of all Gaming. The 

Commission shall have the power to: 

1. promulgate Rules pursuant to this Ordinance, for the operation of games and 

the control of internal fiscal affairs of Gaming Operations and the conduct of 

all business before the Commission; 

2. grant, conditionally grant or deny any application for License; 

3. limit, cancel, revoke, terminate, condition, modify, suspend, or restrict any 

License 

4. make findings of suitability or unsuitability; 

5. impose civil penalties of up to $5,000 (FIVE THOUSAND DOLLARS) or 

sanctions for each violation of this Ordinance or the Rules upon any Applicant 

or Licensee; 

6. require the Licensee or Applicant to make restitution for the actual or 

consequential damages of any violation of this Ordinance or the Rules; 

7. conduct, or cause to be conducted, background investigations on all 

Applicants and Licensees; 

8. hold administrative licensing hearings under this Ordinance; 

KTOC GamingOrd1nancc.~-30-03.doc 

6 
9. bring or respond to actions pursuant to this Ordinance or the Rules before the 

Gaming Disputes Court. 

P. Promulgation of Gaming Rules. The Commission may promulgate Rules governing 

the conduct of all games authorized by the Compact or IGRA, including Rules 

governing all equipment, (e.g. lottery terminals, computers computer programs, chips, 

cards, pull tabs, pull tab dispensers), used in such games. The Rules of each 

authorized game offered shall be posted in a conspicuous 1ocation.in every licensed 

Gaming Establishment. 

Q. Promulgation of Auditing and Internal Control Rules The Commission may 

promulgate Rules governing the control of internal fiscal affairs of Gaming 

Operations. 

XI. GAMING MONITOR 

A. Appointment of Gaming Monitor. Subject to approval by the Council, the 

Commission shall hire a Gaming Monitor who shall be responsible for the day to day 

monitoring of Gaming on the Tribe's Reservation and to whom the Commission may 

delegate any of its duties under this Ordinance except for: 

1. the conduct of hearings, the decision of matters at issue at such hearing, the 

issuance, denial, limitation, supervision or revocation of Licenses; 

2. the imposition of fines and the setting of the Gaming Monitor's duties and 

compensation. 

The Commission shall take such action as it deems necessary and appropriate to satisfy 

itself as to the qualifications of the Gaming Monitor before appointing the Gaming Monitor and 

shall oversee the Gaming Monitor's activities on an ongoing basis. Preference will be given to 

Gaming Monitor applicants with experience in legal, gaming and/or accounting matters. No 

Person who has been convicted of a felony of any kind or any misdemeanor which is gaming 

related or involves, fraud, misrepresentation or bribery may serve as a Gaming Monitor. Other 

than the interest that may be held by virtue of Tribal membership, the restraints on financial 

interest in any Gaming Operation set forth in this Ordinance shall also apply to the Gaming 

Monitor. 

B. Gaming Monitor's Contract. The Gaming Monitor shall be hired on a contract basis 

for a period of at least one year. The terms of the Gaming Monitor's employment 

contract including, but not limited to, compensation and benefits, shall be negotiated 

with the Commission and approved by the Council. 

C. Termination of Gaming Monitor. The Gaming Monitor's employment contract shall 

terminate immediately, and without the necessity of a vote or finding by the Council 

or the Commission, upon the Gaming Monitor's conviction in any court of competent 

jurisdiction, including the Tribal Court, for a felony of any kind or any misdemeanor 

which is gaming related or involves, fraud, misrepresentation or bribery or for any 

breach or failure to perform the duties of the Gaming Monitor. If the Commission, 

KTOC Gaming0rdinance.-4-30-03.doc 

7 
the Council or any court determines that the Gaming Monitor has violated, or assisted 

in violations of, any part of this Ordinance, the Commission or the Council (by a 

majority vote of a quorum) may immediately terminate the Gaming Monitor's 

employment contract. 

D. Duties of the Gaming Monitor The Gaming Monitor shall, subject to the approval of 

the Commission, perbrm all duties, exercise all powers, assume and discharge all 

responsibilities, and cany out and effect all purposes of this Ordinance and the 

Compact, subject to the restrictions contained in this Ordinance. In all decisions, the 

Gaming Monitor shall act to promote and ensure integrity, security, honesty, and 

fairness of the operation and administration of all Gaming. The duties of the Gaming 

Monitor shall include, but are not limited to: 

1. corresponding with the NIGC and taking necessary actions to ensure 

continuing compliance with the rules and regulations of the NIGC. 

Specifically, the Gaming Monitor shall confirm that an annual outside audit of 

authorized Gaming is performed within the time required by IGRA, and will 

provide a copy of such outside adit to the NIGC in a timely manner; 

2. conducting, or ensuring that adequate and confidential background 

investigations are conducted, on all Management Entities or Controlling 

Shareholders, Gaming Device Suppliers, and Primary Management Officials 

and Key Employees of any Gaming Operation, and that oversight of such 

Persons is conducted on an ongoing basis; 

ensuring that all applications and background investigations called for by this 

Ordinance are properly completed and that no Person is employed in any 

Gaming Operation if that Person's prior activities, criminal record, reputation, 

habits or associations pose a threat to the public interest or to the effective 

regulation of Gaming, or create or enhance the dangers of unsuitable, unfair, 

or illegal practices and methods and activities in the conduct of Gaming. The 

GamingMonitor shall ensure that the NIGC receives the results of any 

background checks conducted on Primary Management Officials and Key 

Employees of any Gaming Operations; 

4. reviewing all records, documents or other evidence and information necessary 

and pertinent to the enforcement of any provision of this Ordinance, the Rules, 

the Compact, or IGRA; 

5. recommending to the Commission whether a License should be granted, 

denied, revoked or canceled and whether sanctions should be imposed on any 

Person pursuant to the provisions of this Ordinance; and 

6. performing any and all other duties as may be required by the Compact, this 

Ordinance, the Commission, the Rules, or IGRA, subject to any applicable 

restrictions contained therein. 

E. Right of Inspection The Gaming Monitor and the Commission have the authority to: 

KTOC Gaming0rdinance.P-3043.doc 

8 
1. inspect and examine all premises wherein Gaming is conducted, or Gaming 

Devices or equipment are manufactured, sold or distributed; and 

2. inspect all equipment and supplies in, upon or about any Gaming 

Establishment, andlor inspect any premises, equipment or supplies wherever 

located, which may be or have been used in connection with Gaming. 

F. Certification of Gaming Devices. All Gaming Devices purchased, leased or 

otherwise acquired by the Tribe must meet the technical equipment standards of the 

Compact. The Commission or Gaming Monitor shall maintain a complete list of all 

Gaming Devices (whether or not such devices are in use) located at any Gaming 

Establishment. 

XII. Licenses for Key Employees and Primary Management Officials 

The Tribe shall ensure that the policies and procedures set out in this section are 

implemented with respect to key employees and primary management officials employed at any 

gaming enterprise operated on Indian lands: 

A. Definitions re Licensing, 

For the purposes of this section, the following definitions apply: 

1. Key Employee means 

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

bingo caller; 

counting room supervisor; 

chief of security; 

custodian of gaming supplies or cash; 

floor manager; 

pit boss; 

dealer; 

croupier; 

approver of credit; or 

custodian of gambling devices including persons with access to cash 

and accounting records within such devices; 

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

is in excess of $50,000 per year; or 

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

gaming operation. 

2. Primary Management Official Means 

a) the person having management responsibility for a management contract; 

KTOC GamingOrdinance-.4-3043.doc 

9 
b) any person who has authority; 

(1) to hire and fire employees; or 

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

c) the chief financial officer or other person who has financial management 

responsibility. 

B. Application Forms 

I. The following notices shall be placed on the application from for a key employee 

or primary management official before that form is filled out by an applicant. 

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

solicitation of the information on this form is authorized by 25 U.S.C. 9 2701, et seq. 

The purpose of the requested information is to determine the eligibility of individuals to 

be employed in gaming operation. The information will be used by National Indian 

Gaming Commission members and staff who have need for the information in the 

performance of their official duties. The information may be disclosed to appropriate 

federal, tribal, state, local or foreign law enforcement and regulatory agencies when 

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

a requirement by a tribe or the National Indian Gaming Commission in connection with 

the hiring or firing of an employee, the issuance or revocation of a gaming license, or 

investigations of activities while associated with a tribe or a gaming operation. Failure to 

consent to the disclosures indicated in this notice will result in a tribe's being unable to 

hire you in a primary management official or key employee position. 

The disclosure of an employee's Social Security Number (SSN) is voluntary. However, 

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

2. Existing key employees and primary management officials shall be notified in 

writing that they shall either: 

a) complete a new application form that contains a Privacy Act notice; or 

b) sign a statement that contains the Privacy Act notice and consent to the 

routine uses described in that notice. 

3. The following notice shall be placed on the application form for a key employee 

or a primary official before that form is filled out by an applicant. 

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

forfiring you afier you begin work. Also, you may be punished by fine or 

imprisonment. 

(18 United States Code $1001) 

KTOC GamingOrdinance-4-3043.doc 
4. The Tribe shall notify in writing existing key employees and primary 

management officials that they shall either: 

a) complete a new application form that contains a notice regarding false 

statements; or 

b) sign a statement that contains the notice regarding false statements. 

C. Background Investigations 

1. The Tribe shall request from each primary management official and from each 

key employee all of the following information: 

(a) full name, other names used (oral or written), social security nurnber(s), birth 

date, place of birth, citizenship, gender, all languages (spoken or written); 

(b) currently and for the previous 5 years: business and employment positions 

held, ownership interest in those business, business and residence address, and drivers license 

numbers; 

(c) the names and current addresses of at least three personal references, 

including one personal reference who was acquainted with the applicant during period of 

residence listed under paragraph (I)@) of this section; 

(d) business and residence telephone numbers; 

(e) a description of any existing and previous business relationships with Indian 

tribes, including ownership interests in those businesses; 

(0 a description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those business; 

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

person has filed an application for a license or permit related to gaming, whether or not such 

license or permit was granted; 

(h) for each felony for which there is an ongoing prosecution or a conviction, the 

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

(i) for each misdemeanor conviction or ongoing misdemeanor prosecution 

(excluding minor traffic violations), within 10 years of the date of the application, the name and 

address of the court involved and the date and disposition; 

(j) for each criminal charge (excluding minor traffic charges), whether or not 

there is a conviction, if such criminal charge is within 10 years of the date of the application and 

is not otherwise listed pursuant to paragraph (l)(h) or (l)(i) of this subsection, the criminal 

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

KTOC GamingOrd1nancc.~4-3043.doc 
(k) 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; 

(1) a current photograph; 

(m) any other information the Tribe deems relevant; and 

(n) fingerprints consistent with procedures adopted by the Tribe according to, and 

consistent with, 25 C.F.R. $ 522.2(h). 

2. The Tribe shall conduct an investigation sufficient to make a determination under 

Subsection X1I.D. In conducting a background investigation, the Tribe or its agent shall promise 

to keep confidential the identity of each person interviewed in the course of the investigation. 

D. Eligibility Determination 

The Tribe shall review a person's prior activities, criminal record, if any, and reputation, 

habits and associations to make a finding concerning the eligibility of a key employee or primary 

management official for employment in a gaming operation. If the Tribe determines that 

employment of the person poses a threat to the public interest or to the effective regulation of 

gaming, or creates or enhances dangers of unsuitable, unfair, or illegal practices and methods and 

activities in the conduct of gaming, a tribal gaming operation shall not employ that person in a 

key employee or primary management official position. 

E. Procedures for Forwarding Applications and Reports for Key Employees and 

Primary Management Officials to the National Indian Gaming Commission 

1. When a key employee or primary management official begins work at a gaming 

operation authorized by this ordinance, the Tribe shall forward to the National Indian Gaming 

Commission a completed application for employment and conduct the background investigation 

and make the determination referred to in Subsection X1I.D. 

2. The Tribe shall forward the report referred to in Subsection XI1.F to the National 

Indian Gaming Commission within 60 days after an employee begins work or within 60 days of 

the approval ofthis ordinance by the Chairman of the National Indian Gaming Commission. 

3. The gaming operation shall not employ as a key employee or primary 

management official a person who does not have a license after 90 days. 

F. Report to the National Indian Gaming Co mmission 

1. Pursuant to the procedures set out in Subsection XII.E, the Tribe shall prepare and 

forward to the National Indian Gaming Commission an investigative report on each background 

investigation. An investigative report shall include all of the fo Ilowing: 

(a) steps taken in conducting a background investigation; 

KTOC Gaming0rdinance.-4-3043.doc 
(b) results obtained; 

(c) conclusions reached; and 

(d) the basis for those conclusions 

2. Tlle Tribe shall submit, with the report, a copy of the eligibility determination 

made under Subsection XI1.D. 

3. If a license is not issued to an applicant, the Tribe: 

(a) shall notify the National Indian Gaming Commission; and 

(b) may forward copies of its eligibility determination and investigative report (if 

any) to the National 1ndid Gaming Commission for inclusion in the Indian Gaming Individuals 

Records System. 

4. With respect to key employees and primary management officials, the Tribe shall 

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

inspection by the Chairman of the NatPnal Indian Gaming Commission or his or her designee 

for no less than three (3) years from the date of termination of employment. 

G. Granting a Gaming License 

1. If, within a 30 day period after the National Indian Gaming Commission receives 

a report, the National Indian Gaming Commission notifies the tribe that it has no objection to the 

issuance of a license pursuant to a license application filed by a key employee or primary 

management official for whom the tribe has provided an application and investigative report to 

the National Indian Gaming Commission, the Tribe may issue a license to such applicant. 

2. The Tribe shall respond to a request for additional information from the Chairman 

of the National Indian Gaming Commission concerning a key employee or a primary 

management official who is the subject of a report. Such a request shall suspend the 30 day 

period under paragraph VII.G(l) until the Chairman of the National Indian Gaming Commission 

receives the additional infohation. 

3. If, within the 30 day period described above, the National Indian Gaming 

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

to a key employee or to a primary management official for whom the Tribe has provided an 

application and investigative report to the National Indian Gaming Commission, the Tribe shall 

reconsider the application, taking into account the objections itemized by the National Indian 

Gaming Commission. The Tribe shall make the final decision whether to issue a license to such 

applicant. 

H. License Suspension 

1. If, after the issuance of a gaming license, the Tribe receives from the National 

Indian Gaming Commission reliable information indicating that a key employee or a primary 

KTOC GarningOrdinance..4-30-03.doc 

13 
management official is not eligible for employment under Subsection XII.D, the Tribe shall 

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

revocation. 

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

proposed revocation of a license. 

3. After a revocation hearing, the Tribe shall decide to revoke or to reinstate a 

gaming license. The Tribe shall notify the National Indian Gaming Commission of its decision. 

XIII. License Locations 

A. The Tribe shal! issue a separate license to each place, facility, or location on Indian 

lands where Class 11 or Class 111 gaming is conducted under this Ordinance if the 

place, facility, or location: 

1. is a sound physical structure with adequate and safe plumbing, electrical, 

heating, cooling and ventilation systems in place and operational; 

2. has been inspected and approved for safety by a building and fire inspector 

designated by the Commission; 

3. is adequate in all respects to accommodate the Gaming intended to be carried 

out within the structure; 

4. is equipped with security and surveillance equipment meeting or exceeding 

provisions set forth in the TribaLState Compact and the Ordinance; 

5. meets all requirements of applicable federal, tribal and state law; and 

6. has paid all applicable License fees and costs. 

XIV. Customer Dispute Resolution Procedure 

With respect to Class I1 and Class 111 gaming, the general manager of the tribal gaming 

operation shall attempt to resolve on an informal basis any customer complaints relating to 

payment of prizes or services and report any such resolution to the governing body of the 

enterprise. If the complaint cannot be resolved at the general manager level, the customer shall 

be informed that helshe has the right to present his or her complaint to the governing body of the 

gaming enterprise, whose decision shall be final. 

XV. Agent for Service 

The Chairperson of the Tribal Council is hereby appointed as the agent for service of 

process. The Chairperson's address is: Administrative Office, 64236 Second Avenue, Post 

Office Box 101 6, Happy Camp, California 96039. 

KTOC Garn1ng0rd1nance.P-3043.doc 
XVI. Law Enforcement; Finger printing and Criminal Background Checks 

The Tribe and the Commission shall establish a relationship with the Sheriffs 

Department, County of Siskiyou, or City of Yreka Police Department, or other appropriate law 

enforcement agency, to take finger prints and conduct appropriate criminal background checks of 

Applicants and Licensees, as appropriate. Nothing herein shall prohibit the Commission from 

accessing CLETS as provided by the Compact. 

XVII. Amendments 

All provisions of this Ordinance are subject to amendment by the Council. All Rules 

promulgated by the Commission are subject to proper revision, repeal, or amendment by the 

Commission. All amendments to this Ordinance shall be effective upon the date of passage by 

the Council. 

XVIII. Severability 

If any provision any of this Ordinance, or any portion of any provision to this Ordinance, is 

found to be invalid by any court of competent jurisdiction, the full remainder of such 

provision(s) shall not be affected. 

XIX. Words and Terms 

A. Tense, number and gender. In interpreting the provisions of this Ordinance, except 

when otherwise plainly declared or clearly apparent from the context: 

1) words in the present tense shall include the future tense; 

2) words in masculine, feminine and neuter genders shall include all genders; 

and 

3) words in the singular shall include the plural, and words in the plural shall 

include the singular. 

XX. Repeal 

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

are hereby repealed. 

XXI. Amendments 

All provisions of this Ordinance are subject to amendment by the Council. All Rules 

promulgated by the Commission are subject to proper revision, repeal, or amendment by the 

Commission. All amendments to this Ordinance shall be effective upon the date of passage by 

the Council, subject to review and approval by the NIGC. 

KTOC Gaming Ordinance-4-3043.doc 
XXII. Sovereign Immunity 

Except as provided herein, nothing in this Ordinance shall be construed as a waiver of the 

sovereign immunity of the Karuk Tribe of California or any of its officers, employees, or entities. 

XXIII. Effective Date 

This Ordinance shall be effective on the date of adoption by the Tribal Council subject to 

approval by the National Indian Gaming Commission. 

KTOC CiamingOrd~nance-4-3043.doc