' NATIONAL 

INDIAN 

, GAMING i :' "' COMMISSION APR 1 0 1996 

Delbert Benjamin 

Chairman 

Colusa Indian community Council 

50 Wintun Road Suite D 

Colusa, CA 95932 

Dear Chairman Benjamin: 

This letter responds to your request to review and approve 

the amendment to the tribal gaming ordinance of the Colusa indian 

Community (Tribe). The amendment to the ordinance was adopted by 

the Tribe by Resolution No. 12-11-95-01 on December 11, 1995. 

This letter constitutes such approval under the Indian Gaming 

Regulatory Act (IGRA). 

Under the IGRA and the regulations of the National Indian 

Gaming Commission (NIGC), the Chairman is directed to review 

amendments to ordinances with respect to the requirements of the 

IGRA and the implementing regulations. Thus, the scope of the 

Chairman's review and approval is limited to the requirements of 

the IGRA and the NIGC regulations. 

Thank you for submitting the amendment to the tribal gaming 

ordinance of the Colusa Indian Community. The NIGC staff and I 

continue to look forward to working with you and the Tribe in 

implementing the IGRA. 

Sincerely yours, 

-- -- - -- - - - -- -. - - - - . - -- -. - .- - -- - - . -- . -- -- -- - 1441 L STREET, N.W. 9TH FLOOR. WASHINGTON, D.C. 20005 TEL.: 202-632-7003 FAX: 202-632-7066 . . . " - . ... 
COLUSA INDIAN COMMUNITY COUNCIL 

Colusa Reservation/Cachhil Dehe Rancheria 

50 Wintun Rd. Suite D 

Colusa,Californa 95932 

(916) 458-8231 

RESOLUTION OF THE COLUSA INDIAN COMMUNITY 

Resolution # 12-11-95-01 

WHEREAS; The Cachil Dehe Band of Wintun Indians of the Colusa 

Indian Community is a federally recognized Indian Tribe, and 

WHEREAS; The Colusa Indian Community owns and operates Colusa 

Indian Bingo and Casino, as provided under the Tribe's duly 

enacted gaming ordinance authorizing such activities, and 

WHEREAS; The Indian Gaming Regulatory Act of 1988, provides the 

regulatory authority by which the Tribe can regulate gaming 

activities conducted within the boundaries of it's reservation, 

and 

WHEREAS; The tribe established the Colusa Indian Gaming 

Commission to enforce the Tribe's gaming ordinance; the 

regulatory provisions within the Indian Gaming Regulatory Act; 

any applicable regulations enacted by the National Indian Gaming 

Commission; and terms of any approved Tribal State compact; 

WHEREAS; The Colusa Indian Community has reviewed the amended 

gaming ordinance and regulations for the Colusa Indian Gaming 

operation; 

NOWTHEREFORE BE IT RESOLVED; That the Colusa Indian Community 

Council does hereby adopt the amended gaming ordinance and the 

regulations attached. 

BE IT FURTHER RESOLVED; That the Tribe authorizes the Colusa 

Indian Gaming Commission to enforce all provisions of the Tribe 

and federal regulations or provis.ions of any Tribal/State 

Compact. 

CERTIFICATION 

This resolution has been passed by a vote of hands at a special 

meeting of the Community Council, held December 11, 1995; a 

Quorum was present and voted 8 for1 opposed '6. abstain; and 

that resolution has not been rescindedin any way. 

Date: 12/11/95- 

Attest: 

~homa'k Pina ~edj~reasurer 
CACHIL DEHE BAND OF WINTUN INDIANS 

OF THE 

COLUSA INDIAN COMMUNITY 

GAMING ORDINANCE 

ADOPTED 12/11/1995 

BY 

RESOLUTION 12-11-95-01 
TABLE OF CONTENTS 

PURPOSE_ . ,, ,, , , , , , , , . , , , ,, , , 1 

DEFINITIONS 1 

GAMING AUTHORIZED 2 

IV. OWNERSHIP OF GAMING FACILITIES 

AND/OR ENTERPRISES, ,. 2 

V. USE OF GAMING REVENUE 3 

AUDIT - 3 

VII. PROTECTION OF THE ENVIRONMENT 

AND PUBLIC HEALTH AND SAFETY 3 

VIII. LICENSES FOR KEY EMPLOYEES AND 

PRIMARY MANAGEMENT OFFICIALS 4 

IX. LICENSING OF GAMING PLACES, 

FACILITIES AND LOCATIONS 11 

X. CREATION OF COLUSA 

TRIBAL GAMING COMMISSION 11 

XI. 

XII. 

GAMING SECURITY , ,,, ,, ,, ,, , 14 

AMENDMENTS 14 

XIII. SEVERABILITY 15 

XIV. REPEAL 15 

CERTIFICATION - ,, , 15 
ADOPT RES# 12-11-95-01 

COLUSA INDIAN COMMUNITY OF THE COLUSA INDIAN RESERVATION 

! GAMING ORDINANCE 

I. Purpose 

The Colusa indian Community of the Colusa Indian 

Reservation, as the beneficial owner of the Colusa Indian 

Reservation, and acting pursuant to its Constitution in the 

exercise of its +herent sovereign power to enact ordinances and 

otherwise safeguard and provide for the health, safety and 

welfare of the Colusa Indian Reservation and the members of the 

Colusa Indian Community, hereby ordains and establishes this 

Ordinance for the purpose of authorizing and comprehensively and 

preemptively regulating the terms and conditions under which 

Class I1 and Class I11 gaming may be conducted within the 

boundaries of the Colusa Indian Reservation. 

A. "Colusa Indian Community Council" or "Community 

Council" means the governing body of the Colusa Indian Community, 

consisting of all qualified voters of the Band, as established 

and defined by ~rticle II1,Sl of the Colusa Indian Community's 

Constitution. 

B. "Business Committee" means the Committee composed of 

the Chairman, Vice-Chairman and Secretary- Treasurer of the 

Community Council as defined in Article I11 ,S7 of the Colusa 

Indian Community's Constitution. 

C. "Gaming" or "gambling" means the offering of any games 

authorized by the Colusa Tribal Gaming Ordinance, except card 

games played in private homes in which no person makes money for 

operating the game other than as a player, and traditional Indian 

games as defined in the Colusa Tribal Gaming Ordinance. 

D. "Gaming operation" means each economic entity that 

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

pays the expenses of the games. 

E. "License" means a written approval of the Colusa Gaming 

Commission authorizing a specific facility, individual or entity 

to engage in certain gaming activities which may also require 

approval from the federal government. 
F. "Permit" means a written approval of the Colusa Gaming 

Commission authorizing a specific individual to engage in certain 

gaming activities that do not require a separate approval from 

the federal government. 

G. "Employee" has the same meaning as the term is used by 

the United States Internal Revenue Service. "Key employee" has 

the same meaningas the term is defined in the regulations of the 

National Indian Gaming Commission as those regulations may be 

amended from time to time, and as stated in this Ordinance. 

H. "~ational Indian Gaming Commission" or "NIGC" means the 

federal gaming regulatory body created by the Indian Gaming 

Regulatory Act (Public Law 100-497, 25 U.S.C. S2701 Cseq.), and 

as that Act may hereafter be amended. 

I. "Colusa Tribal Gaming Commission" means the Tribal 

gaming regulator* body created by this Ordinance, and except to 

the extent to whkh the Community Council has reserved authority 

to itself or to the Business Committee, to which the Community 

Council has delegated the responsibility and authority to enforce 

this Ordinance. 

111. Gamins ~ythdrized 

A. Class I1 gaming as defined in the Indian Gaming 

Regulatory Act, P.L. 100-447 25 U.S.C. Section 2703(7)(A) 

("1GRA")and by regulations lawfully promulgated by the National 

Indian Gaming Commission("NIGC"), that now or hereafter may be in 

effect, is hereby authorized. 

B. Class I11 gaming as defined in IGRA, 25 U.S.C. Section 

2703(8) and by regulations promulgated by the NIGC, that now or 

hereafter may be in effect, is hereby authorized, provided such 

gaming is also authorized by and consistent with a Tribal-State 

Compact that hasbeen approved by the Secretary of the Interior 

and is in effect, or otherwise has been authorized by the 

Secretary of the Interior or federal law. 

IV. Ownership of Ge-ffailities and/or Enterprises 

The Colusa Indian Community of the Colusa Indian Reservation 

shall have the sole proprietary interest in and responsibility 

for the conduct of any gaming facilities and/or enterprise(s) 

authorized by this ordinance. 
V. We of saming.. Revenue 

A. Except as specifically authorized pursuant to 

Subsection B of this Section, net revenues form Class I1 and 

Class I11 gaming on the Colusa Indian Reservation shall be used 

only for the fol$owing purposes: 

1) to fund Colusa Indian Reservation Tribal government 

operations and programs; 

2) provide for the general welfare of the Colusa Indian 

Community of the Colusa Indian Reservation; and its 

members ; 

3) promote Colusa Indian Reservation economic development; 

4) donate to charitable organizations; or 

5) help fund operations of local government agencies. 

B. If the Colusa Indian Community Council elects to make 

per capita payments to Colusa Indian Community members, it shall 

authorize such payments only in conformity with a plan submitted 

to and approved by the Secretary of the Interior pursuant to 25 

U.S.C. S2710 (b)(3). 

VI. Audit 

A. The ~oxusa Indian Community Council Business Committee, 

acting on behalf of the Community Council hereby is authorized 

and directed to cause to be conducted at least annually an 

independent audit of all gaming operations and shall submit the 

resulting audit reports to the National Indian Gaming Commission, 

and to such other agencies as may be required by the terms and 

conditions of any Class I11 compact or other document authorizing 

Class I11 gaming on the Colusa Indian Reservation. 

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 A above. 

VII. Protection of the Environment and Public Health and Safety 

Class I1 and Class I11 gaming facilities on the Colusa 

Indian Reservation shall be constructed, maintained and operated 

in a manner thatadequately protects the environment and the 

public health and safety, with the Colusa Indian Community 

Council Business 'Committee having primary responsibility for 
assessing the environmental impact of all construction and gaming 

operations, and taking such measures as it determines may be 

reasonably necessary to mitigate any adverse environmental 

impacts as it may identify. 

VIII. License-s _.for Key Emvlo~ees and Primary Manag-erne*.. 

Off icial.5 ~ 

The ~olusa Tribal Gaming Commission, subject to oversight 

by the Business dommittee, shall implement the policies and 

procedures set out in this section with respect to key employees 

and primary management officials employed at any Class I1 and/or 

Class I11 gamingenterprise operated on Indian lands within the 

boundaries of the Colusa Indian Reservation: 

A! Definitions 

i 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: 

(1) Bingo Caller: 

(2) Counting Room Supervisor 

(3) Chief of Security 

(4) Custodian of gaming supplies 

or cash; 

(5) Floor Manager 

(6) Pit Boss 

(7) Dealer 

(8) Croupier 

(9) Approver of credit; or 

(10) Custodian of gambling devices 

including persons with access 

to cash and accounting records 

within such devices; 

(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 I 

I 

i ,most highly compensated persons in 

i the gaming operation. 
I 2. Primary management-o££icial means 

! 

! (a) The person having management 

responsibility for a management 

contract ; 

I 

I (b) Any person who has authority: I (1) To hire and fire employees; or 

(2) To set up working policy for 

the gaming operation; or 

, (c) The chief financial officer or 

1 other person who has financial 

~ management responsibility. 

Application Forms 

1 1. The following notice shall be placed on 

the application form of a key employee or a 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. S2701 et sq. The purpose of the 

requested information is to determine the eligibility of 

individuals to be employed in a gaming operation. The information 

will be used by National Indian Gaming Commission members and 

staff who have need for the information in the performance of 

their official duties. The information may be disclosed to 

appropriate Federal, Colusa Indian Community Council, State, 

local, or foreign law enforcement and regulatory agencies when 

relevant to civi!, criminal or regulatory investigations or 

prosecutions, orwhen 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 the tribe 

being unable to hire you in a primary management official or key 

employee position. 

The disclosure og your Social Security Number (SSN) is voluntary. 

However, failureit0 supply a SSN may result in errors in 

processing your application. 
2. Existing key employees and primary management 

officials shall be notified in writing that they shall either: 

I 

a. Complete a new application form that 

contains a Privacy "Act notice; or 

I 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 formfor 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 for firing you after you begin work. 

Also you may be punished by fine or 

imprisonment. (18 U.S.C. S1001) 

4. The Colusa Gaming Commission 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. 

1. The Colusa Tribal Gaming Commission 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 number(s), 

birth date, place of birth, citizenship, 

gender, all languages spoken or written; 

b. Currently and for the previous five 

years, all business and employment 

positions held, ownership interests in 

those businesses, business and residence 

addresses, and driver's 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 

each period of residence listed under 

paragraph (l)(b) of this Subsection; 

d. Current business and residence telephone 

numbers ; 

e. A description of any existing and 

previous business relationships with the 

Colusa Indian Community or any other 

Indian Tribe, including ownership 

interests in those businesses; 

f. A description of any existing and 

previous business relationships with the 

gaming industry generally, including 

ownership interests in those businesses; 

g. The name and address of every 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; 

For each felony which there is an 

ongoing prosecution or a conviction 

(including any conviction that has been 

expunged or sealed, and any 

finding of guilt in a 

juvenile court proceeding after the 

applicant's sixteenth birthday), 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 traffic violationstor other 

offenses or infractions for which 

inccreation was not a possible penality) 

within ten years of the date of the 

application, the name and address of the 

court involved and the date and 

disposition; 
For each criminal charge (excluding 

traffic charges, or other offenses or 

infractions for which incceration was 

not a possible penalty) whether or not 

there is a conviction and whether or not 

the conviction has been sealed or 

expunged, if such criminal charge is 

within ten 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; 

k. The name and address of each 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 Colusa Tribal 

Gaming Commission may deem relevant 

under the circumstances; and 

n. Fingerprints consistent with procedures 

adopted by the Colusa Tribal Gaming 

Commission or any outside law 

enforcement agency and in accordance 

with 25 C.F.R. S522.2(h). 

2. The Colusa Tribal Gaming Commission shall 

conduct an investigation sufficient to make a determination under 

Subsection D. below. In conducting a background investigation, 

the Colusa Tribal Gaming Commission, its staff or its agent(s) 

shall promise tokeep confidential the identity of each person 

interviewed in the course of the investigation, to the extent 

that such confidentiality is requested. 

D. Eli.qibi1it.y Determination 

The Colusa Tribal Gaming Commission shall review 

an applicant'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 Colusa Tribal Gaming 

Commission determines that employment of the person poses a 

threat to the public interest or to the effective regulation of 

gaming, or creates or enhances dangers of unsuitable, unfair, or 

illegal practices and methods and activities in the conduct of 

gaming, the gaming operation shall not employ that person in key 

employee or primary management official position. 

E. Procedures for forwarding applications and reports for 

key employ_ees and primary manaqement officials to the National 

Indian Gamig .Commission 

1. When a key employee or primary management official 

begins work at a gaming operation authorized by this 

ordinance, the Colusa Tribal Gaming Commission 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 D of this section. 

2. The Colusa Tribal Gaming Commission shall forward 

the report referred to in Subsection F of this Section 

to the National Indian Gaming Commission within 60 days 

after an employee begins work or within 60 days after 

approval of this ordinance by the Chairman of the 

National Indian Gaming Commission, if the employee 

begins work prior to N.I.G.C. approval of this 

Ordiance. 

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 I-ndian Gaming Commission 

1. Pursuant to the procedures set out in subsection E 

of this Section, the Colusa Tribal Gaming Commission shall 

prepare and forward to the National Indian Gaming Commission an 

investigative report which shall include all of the following: 

a. Steps taken in conducting the background 

investigation; 

b. Results obtained; 

c. Conclusions reached; and 

d. The bases for those conclusions. 
2. The Colusa Tribal gaming Commission shall submit, 

with the report, a copy of the eligibility determination made 

under Subsection D of this Section. 

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

Colusa Tribal Gaming Commission: 

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 Indian Gaming Commission 

for inclusion in the Indian Gaming 

Individuals Records System 

4. With respect to key employees and primary 

management officials, the Colusa Tribal Gaming Commission shall 

retain applications for employment and reports (if any) of 

background investigations for inspection by the Chairman of the 

National Indian Gaming Commission or his or her designee for no 

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

of employment. 

G. Granting a Gaminq License 

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

National Indian Gaming Commission receives a report, the National 

Indian Gaming Commission notifies the Colusa Tribal Gaming 

Commission that it has no objection to the issuance of a license 

pursuant to a license application filed by a key employee or a 

primary management official for whom the Colusa Tribal Gaming 

Commission provided an application and investigative report to 

the National Indian Gaming Commission, the Colusa Tribal Gaming 

Commission may issue a license to such applicant. 

2. The Colusa Tribal Gaming Commission 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 Subsection G.(l) 

of this section until the Chairman of the National Indian Gaming 

Commission receives the additional information. 

3. If, within the thirty (30) day period described 

above, the National Indian Gaming Commission provides the Colusa 
Gaming Commission with a statement itemizing its objection(s) to 

the issuance of a license to a key employee or to a primary 

management official for whom the Colusa Tribal Gaming Commission 

has provided an application and investigative report to the 

National Indian Gaming Commission, the Colusa Tribal Gaming 

Commission shall reconsider the application, taking into account 

the objection(s) itemized by the National Indian Gaming 

Commission. The Colusa Gaming Commission 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 

Colusa Tribal Gaming Commission receives from the National Indian 

Gaming Commission reliable information indicating that a key 

employee or a primary management official is not eligible for 

employment under Subsection D above, the Colusa Tribal Gaming 

Commission shall suspend such license and shall notify the 

licensee in writing of the suspension and the proposed 

revocation. 

2. The Colusa Tribal Gaming Commission shall notify 

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

revocation of a license. 

3. After a revocation hearing, the Colusa Tribal 

Gaming Commission shall decide whether to revoke or reinstate a 

gaming license. The Colusa Gaming Commission shall notify the 

National Indian Gaming Commission of its decision. 

IX. Licensinq of Gaminq-Places, Facilities and Locations 

A separate license shall be required for each place, 

facility, or location on Indian lands where Class I1 and/or Class 

I11 gaming is to be conducted on the Colusa Indian Reservation. 

X. -. Creation . of Colusa Tr-ibal Gaming Commission 

A. There is hereby created the Colusa Tribal Gaming 

Commission, which shall consist of three persons who would 

themselves qualify for licensing under this Ordinance. 

B. The members of the Colusa Tribal Gaming Commission 

shall be appointed by the Colusa Indian Community Council at such 

time as the Community Council determines that the best interests 

of the Tribe require that the Gaming Commission be activated, and 
said appointees shall not be removed during their terms of office 

except for misconduct, neglect of duties or other acts that would 

render such persons unqualified for licensure hereunder. An 

affirmative vote of a majority of the members of the Colusa 

Indian Community Council, taken in an open meeting 

after a duly-noticed hearing at which the member charged with 

misconduct shall have the right to hear and present evidence 

concerning his/her removal, shall be required to remove a member 

of the Commission. At the request of the member whose removal is 

at issue, the Community Council also may elect to receive in 

executive session any evidence public disclosure of which might 

compromise any ongoing law-enforcement investigation, or which 

might jeopardize any privilege or immunity possessed by the 

Colusa Indian Community Council. 

C. There shall be a Chairperson of the Colusa Tribal 

Gaming Commission who shall be appointed for a term of three 

years. The remaining members of the Commission shall be appointed 

for terms of two years. The Colusa Indian Community Council shall 

determine and authorize the compensation to be paid to members of 

the Colusa Tribal Gaming Commission based upon the Colusa Indian 

Community Council's determination of the time required to be 

expended upon Commission duties and the qualifications of the 

appointed Commissioners. 

D. The Colusa Tribal Gaming Commission shall be authorized 

and hereby is directed to promulgate, subject to review and 

approval by the Colusa Indian Community council, detailed and 

comprehensive regulations for the implementation and enforcement 

of this Ordinance, and for the internal operations of the Colusa 

Tribal Gaming Commission. Said regulations shall describe and 

establish the rules for each specific Class I1 and Class I11 

gaming activity to be authorized to be conducted on the Colusa 

Indian Reservation, and no form of such gaming may be conducted 

on the Colusa Indian Reservation without prior approval by the 

Colusa Tribal Gaming Commission. Pending approval of the Colusa 

Tribal Gaming Commission's regulations by the Colusa Indian 

Community Council, any interim regulations that the Colusa Indian 

Council has adopted shall govern gaming on the Colusa Indian 

Reservation. 

E. Except as this Ordinance may expressly reserve to the 

Community Council or the Business Committee the authority to 

regulate gaming on the Colusa Reservation or the activities of 

the Colusa Tribal Gaming Commission, the Colusa Tribal Gaming 
Commission shall have full authority independently to monitor 

compliance with this Ordinance and its Regulations, supervise its 

staff, investigate alleged violations of this Ordinance and act 

to prevent any violation(s) thereof. 

F. Subject to the approval of the Colusa Indian Community 

Council and the appropriation of funds therefor, the Coulsa 

Tribal Gaming Commission shall be authorized to employ such staff 

as reasonably may be required to fulfill its responsibilities 

under this Ordinance. Compensation of the Commission's employees 

shall be limited to that which is comparable to compensation paid 

to persons performing similar duties in other governmental gaming 

regulatory agencies. 

G. Subject to the approval of the Colusa Indian Community 

Council, the Colusa Tribal Gaming Commission hereby is authorized 

to establish and impose upon gaming facilities, permittee, 

applicants and licensees such application, permit and license 

fees as may be necessary to fully reimburse the Colusa Indian 

Community for its actual costs of operating the Colusa Tribal 

Gaming Commission, enforcing this Ordinance and Colusa Tribal 

Gaming Commission regulations, processing of license and permit 

applications and otherwise fulfilling its regulatory 

responsibilities under IGRA and this ordinance. All such fees 

shall be collected by the Colusa Tribal Gaming Commission and 

maintained on the books of the Colusa Indian Community to the 

credit of the Colusa Tribal Gaming Commission, and hereby are 

continuously appropriated solely for the purposes enumerated in 

this Subsection. 

H. Failure to timely pay any gaming-related fee imposed by 

the Colusa Tribal Gaming Commission, or to comply with any 

Commission regulation or order, or any other violation of this 

Ordinance or the terms of any Class 111 gaming compact 

authorizing and regulating gaming on the Colusa Indian 

Reservation, shall be grounds for suspension or revocation of any 

license or permit issued pursuant to this Ordinance, exclusion of 

any non-member of the Colusa Indian Community from the Colusa 

Indian Reservation, and imposition of such other sanctions as the 

Colusa Tribal Gaming Commission may deem appropriate. 

I. The Community Council hereby declares its policy to be 

that a Tribal gaming license or work permit is a privilege, not a 

right and thus that any doubts concerning the issuance of a 

gaming license or permit, or the imposition of any discipline or 

sanction for violation of this Ordinance or any regulation of the 
Colusa Tribal Gaming Commission, shall be resolved in favor of 

protecting public safety and gaming integrity. To protect against 

abuse of authority by the Colusa Tribal Gaming Commission, any 

person or entity subject to any sanction or penalty by the Colusa 

Tribal Gaming Commission shall have the right to appeal such 

sanction or penalty to the Business Committee in writing, in 

accordance with such rules and regulations as may be promulgated 

by the Business Committee for that purpose. Notwithstanding the 

foregoing, a decision by the Colusa Tribal Gaming Commission may 

be reviewed by the Business Committee only for clear factual 

error or absence of factual basis, or arbitrary and capricious 

abuse of discretion. The decision of the Business Committee on 

any appeal shall be final and not otherwise reviewable. 

XI. Gaminq Security. 

A. The Colusa Indian Community Council hereby delegates to 

the Colusa Tribal Gaming Commission the Colusa Indian Community 

Council's powers to: conduct or oversee necessary personal 

background and criminal history investigations of license and 

permit applicants, including taking fingerprints and/or 

contracting with outside law enforcement agencies for that 

purpose; approve and deny applications for gaming licensee and 

revoke licenses and permits or impose penalties or other 

sanctions established by these regulations against the holder of 

a license or permit; conduct hearings or other inquiries to 

consider an applicant's request for a waiver of permit standards; 

and perform such other duties as the Colusa Indian Community 

Council hereafter may assign or delegate. Specifically excluded 

from this delegation is any authority to contract with the State 

of California or any other third party, without the prior 

approval of the Colusa Indian Community Council, for the 

performance of background and criminal history investigations. 

Notwithstanding the foregoing, the Colusa Indian Community 

Council hereby delegates to the Colusa Tribal Gaming Commission 

the authority to take fingerprints in conection with license and 

permit application's, and to enter into agreements with the 

Colusa County Sheriff's Department and the City of Colusa Police 

Department to provide fingerprinting services for license and 

permit applicants, and with the National Indian Gaming Commission 

and/or the Federal Bureau of Investigation to provide criminal 

history information. 

XII. Amendments. 

This Ordinance may be amended by the Colusa Indian Community 

Council in any manner deemed appropriate to protect what the 

Colusa Indian Community Council determines to be the best 

interests of the Colusa Indian Community. 
XIII. severabilitv. 

The provisions of this Ordinance are severable. I£ any part 

or provision hereof is held void by a Tribal or federal court or 

federal agency, the decision of the court or agency so holding 

shall not affect or impair any remaining provision of the 

Ordinance. 

XIV. Repeal 

To the extent that any provision of any previously enacted 

ordinance or amendment thereto may be inconsistent with this 

Ordinance all such gaming ordinances previously enacted or 

amended by the Colusa Indian Community Council hereby are 

repealed. 

CERTIFICATION 

This is to certify that the foregoing Ordinance was adopted 

on 12/11/95 , at a duly-called meeting of the Colusa Indian 

Community Council at which a quorum was present, by a vote of 8 

in favor, 1 . opposed and 0 abstaining. 

Dated: 12/11/95 
COLUSA INDIAN COMMUNITY 

GAMING REGULATIONS 

I. PREAMBLE 1 

11. DEFINITIONS 1 

(A) STAFF; PERSONNEL POLICIES; JOB 

DESCRIPTIONS 4 

(B) JOB DESCRIPTIONS; ORGANIZATION CHART 5 

(C) BUDGETS 5 

IV. ENFORCEMENT AND SURVEILLANCE SERVICES 5 

(A) GENERAL POWERS 5 

(B) GAMING LICENSES AND PERMITS 5 

(C) PROVISION OF SURVEILLANCE AND ENFORCEMENT 

SERVICES; PROMPT PAYMENT REQUIRED 6 

(D) GAMING ENFORCEMENT DIRECTOR 6 

(E) PRIC1NG;BILLING;LATE PAYMENT PENALTIES 7 

V. LICENSES 7 

(A) POLICY ; REVOCABLE PRIVILEGE 7 

(B) LICENSE AND PERMIT CATEGORIES 8 

(C) STANDARDS FOR ISSUANCE OF LICENSE 

OR PERMIT 9 

(D) LICENSE APPLICATION PROCEDURES 10 

(E) BACKGROUND INVESTIGATIONS 14 

(F) APPLICATIONS REVIEWS; APPROVALS; 

DENIALS APPEALS;WAIVERS 15 

(G) EXPIRATIONS 20 

(H) RENEWALS 21 

(I) IDENTIFICATION CARDS AND NAME BADGES 21 

(J) EMPLOYMENT OF UNLICENSED OR UNPERMITTED 

PERSONS PROHIBITED 22 

(K) FACILITY LICENSE REQUIREMENTS 22 

(L) POSTING OF FACILITY LICENSE 25 
VI . PENALTIES 25 

(A) SUSPENSIONS 25 

(B) CIVIL PENALTIES 26 

(C) CRIMINAL PROSECUTION 26 

(D) REVOCATIONS 27 

(E) HEARINGS 27 

VII. GAMING OPERATIONS 28 

(A) HOURS OF OPERATION 2 8 

(B) WAGERS WITH CHIPS ONLY 28 

(C) HOUSE RULES 28 

( D ) TOURNAMENTS 29 

(E) ELECTRONIC GAMING EQUIPMENT 29 

(F) GAMBLING BY EMPLOYEES 29 

(G) CREDIT PROHIBITED 30 

(H) RESOLUTION OF DISPUTES WITH GAMING PUBLIC 30 

(I) DESIGNATION OF AGENT FOR SERVICES OF PROCESS 30 
21REGS:ADOPTED I. PREAMBLE 

RES# 12-11-95-01 

(A) Develowment of resulations. The following regulations are 

issued pursuant to the powers vested in the Colusa Tribal Gaming 

Commission by the Colusa Tribal Gaming Ordinance, and shall 

replace the interim regulations heretofore adopted by the Colusa 

Indian Community Council. 

11. DEFINITIONS 

(A) "Chairman" means the chairman of the Colusa Tribal Gaming 

Commission or designee unless the context clearly indicates 

otherwise. 

(B) "Tribal Council" means the Colusa Indian Community Council. 

(C) "Colusa Indian Community Council representative" means any 

person duly appointed by the Colusa Indian Community Council as 

its representative in any matter. 

(D) "Colusa Tribal Gaming Commission" or Commission" means the 

Tribal gaming regulatory body created by the Colusa Tribal Gaming 

Ordinance. The members of which have been duly appointed by the 

Colusa Indian Community Council. 

(El "Employee" has the same meaning as the term is used by the 

United States Internal Revenue Service. 

(F) "Financial interest" means a right to share in or benefit 

from the proceeds of: 

(1) A gaming operation, other than those rights accruing 

from the provision of goods or services for which no part of 

the compensation is based upon a percentage of the profits 

or a similar share of the operation's proceeds; or 

(2) A lease or purchase agreement for the leasing or 

purchasing of any gaming equipment where the agreement is 

for more than six months in any 12 month period. 

(G) "Gambling gameu or "gameu means any game authorized by or in 

accordance with the Colusa Tribal Gaming Ordinance. 

(H) "Gaming" or "gambling" means the offering of any games or 

wagering activity authorized by or in accordance with the Colusa 

Tribal Gaming Ordinance,and conducted in accordance with these 

Regulations, except card games played in private homes in which 
no person makes money for operating the game other than as a 

player, and traditional Indian games as defined in the 

Colusa Tribal Gaming Ordinance. 

(I) "Gaming facility" means any place, location, or building 

wherein gaming is conducted, and including any associated food 

service area, lounge, offices or other areas housed therein as 

well as the area occupied by the games. The term shall also 

include all buildings, improvements, equipment, and facilities 

used or maintained in connection with such business. 

(J) "Gaming operation" means each economic entity that operates 

games, receives the revenues, issues the prizes, and pays the 

expenses of the games. 

(K) "Key contractor" means any person or other legal entity, 

other than a management official or key employee, who has a 

contract or other agreement with a gaming operation meeting any 

of the following criteria: 

(1) Where the contract or agreement is primarily for 

services other than professional legal or accounting services, 

the contemplated or actual payment to the contractor exceeds 

$50,000 in any 12 month period: 

(2) Where the contract or agreement is primarily for goods, 

the contemplated or actual payment to the contractor exceeds 

$100,000 in any 12 month period; or 

(3) The contractor performs for the gaming operation any 

function described in the definition of a key employee. 

The term also includes any individual employed by a key 

contractor who performs any function for the gaming operation 

described in the definition for a key employee or is compensated 

in any manner in excess of $50,000 per annum for services 

provided directly or indirectly to the gaming operation. 

(L) "Key employee" means, 

(a) A person who performs one or more of 

the following functions: 

(1) Bingo Caller; 

(2) Counting Room Supervisor 

(3) Chief of Security 

(4) Custodian of gaming supplies or 

cash; 

(5) Floor Manager 

(6) Pit Boss 

(7) Dealer 
(8) Croupier 

(9) Approver of Credit; or 

(10) Custodian of gambling devices 

including persons with access 

to cash and accounting records 

within such devices; 

(b) If not otherwise included, any other 

person whose total cash compensation 

from the gaming operation is 

in excess of $50,000 per year; or 

(c) If not otherwise included, the four 

most highly compensated persons in the 

gaming operation. 

The term "key employeeu does not include any person licensed as a 

management official, or who is an appointed member or employee of 

the Tribal Gaming Commission, or who is an independent contractor 

providing professional legal or accounting services. 

(M) "License" means a written approval of the Colusa Tribal 

Gaming Commission authorizing a specific individual to engage in 

certain gaming activities, whether or not such activities may 

also require approval from the federal government. 

(N) "Management committee" means a group of individuals selected 

by the Colusa Indian Community Council and, if applicable, 

representative(s) of a management company for the purpose of 

overseeing and establishing the business and operational, 

policies for a gaming enterprise. 

(0) "Management contractor" means any person or other legal 

entity engaged by the owner of a gaming establishment to provide 

management services under a management contract as the term is 

used by the Indian Gaming Regulatory Act. 

(P) "Management interest" means the ability to affect significant 

policy for a gaming establishment. A primary management official 

is deemed to possess a management interest. 

(Q) Primary management official means 

(a) The person having management responsibility 

for a management contract; 

(b) Any person who has authority; 

(1) To hire or 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, 

any member of a gaming management committee 

or other board of directors for a gaming 

operation, any management contractor, any 

person having a direct or indirect 

interest in a management company, the spouse 

of any person having a direct or indirect 

interest in a management company, the general 

manager, the gaming operations manager, the 

controller or chief financial officer, and 

any other person who has authority to hire or 

fire employees or set working policy for a 

gaming operation. "Management official" shall 

not include a person employed by an 

organization external to the Tribe formed for 

the purpose of conducting simulcast wagering 

under the laws of any State. 

(R) "National Indian Gaming Commissiontt or "NIGC" means the 

federal gaming regulatory body created by the Indian Gaming 

Regulatory Act (Public Law 100-497, 25 U.S.C. sec 2701 et seu.), 

and as that Act may hereafter be amended. 

(S) "Permitu means a written approval of the Colusa Tribal Gaming 

Commission authorizing a specific individual to engage in certain 

gaming activities that do not require a separate approval from 

the federal government. 

(T) "Playern shall mean a person who participates in a game other 

than as an employee or contractor of the gaming operation. 

(U) "Standard employeeM means any employee of a gaming operation 

who is not a management official or a key employee. 

(V) "Board of Directorstt means the group of persons appointed by 

the Colusa Indian Community Council and vested with the 

responsibility and authority to develop and oversee 

implementation of the operational policies and procedures for the 

Colusa Indian Community Tribal Gaming Enterprise. 

111. ADMINISTRATION 

(A) Staff; wersonnel wolicies; job descriwtions. The Tribal 

Gaming Commission may hire, supervise, and discipline such 

personnel as the Tribal Gaming Commission may deem necessary to 

implement the Colusa Tribal Gaming Ordinance and these 

regulations in an efficient and effective manner. The personnel 

policies of the Colusa Indian Community shall apply to all Tribal 
gaming regulatory staff( other than the appointed members of the 

Tribal Gaming Commission) unless alternative policies are adopted 

by the Gaming Commission and approved by the Colusa Indian 

Community Council. 

(B) Job Descri~tions; orsanization chart. A job description 

including job title, position supervisor, responsibilities, 

authorities, and minimum qualifications shall be provided for 

each position. The Tribal Gaming Commission shall maintain an 

organization chart that clearly shows the lines of control and 

supervisory authority between all gaming regulatory boards, 

committees, and gaming-related employees of the Tribal Gaming 

Commission. 

(C) Budqets. The Tribal Gaming Commission shall each year prepare 

and approve annual operating and capital expenditure budgets for 

gaming regulatory activities,subject to available appropriations 

by the Community Council. 

IV. ENFORCEMENT AND SURVEILLANCE SERVICES 

(A) General Powers. The Gaming Commission shall administer the 

Tribe's license and permit regulations, monitor compliance of 

gaming operations with the Tribal Gaming Ordinance and these 

regulationstand provide surveillance services to and consult with 

the management of licensed gaming operations concerning physical 

security of licensed gaming operations and premises. 

(B) Gamins Licenses and Permits. 

(1) General. Except as specifically provided in the Tribal 

Gaming Ordinance, the Tribal Gaming Commission is delegated and 

shall exercise all of the Colusa Indian Community Council's 

powers to: conduct or oversee necessary personal background and 

criminal history investigations of license and permit applicants, 

including taking of fingerprints and entering into agreements 

with any federal, State or local law enforcement agency in 

connection with the taking or processing of fingerprints; approve 

and deny applications for gaming licenses and permits; issue 

gaming licenses and permits; restrict, suspend, or revoke 

licenses and permits or impose penalties or other sanctions 

established by these regulations against the holder of a license 

or permit; conduct hearings or other inquiries to consider an 

applicants request for a waiver of permit standards; and perform 

such other duties as the Colusa Indian Community Council may 

delegate. The Gaming Commission is not delegated Colusa Indian 

Community Council authority to contract with the State of 
California or any other third party, without the prior approval 

of the Colusa Indian Community Council, for the performance of 

background and criminal history investigations. 

(2) Surveillance ~olicv-makins res~onsibilities; written 

policies reuuired. The Gaming Commission shall supervise and 

establish written policies and procedures for the Tribal Gaming 

Commission's surveillance activities, and the coordination of 

such activities and personnel with security personnel who are 

supervised by gaming facility management. When convened to 

discuss surveillance policies and procedures, including 

coordination with security personnel, the Gaming Commission may 

include in its discussions the general manager of the gaming 

operation to which surveillance services are provided. In its 

sole discretion, the Gaming Commission may include the general 

manager of the gaming operation in its discussion of an on going 

investigation. However, under no circumstances shall the general 

manager of a gaming operation participate in or influence any 

deliberations or decision of the Commission or Colusa Indian 

Community Council concerning the issuance, suspension or 

revocation of any gaming license or permit, or the resolution of 

any dispute or appeal involving a claim against the gaming 

facility or personnel matters. 

(C) Provision of surveillance, and enforcement services; prom~t 

payment reuuired. Unless otherwise directed by the Colusa Indian 

Community Council, The Gaming Commission shall have sole 

responsibility for providing and supervising surveillance 

services for gaming facilities owned by the Colusa Indian 

Community. Physical security services may be provided by Tribal 

or operation employees acting under the supervision of the 

General Manager of each gaming facility, in coordination with 

Commission surveillance and Tribal public safety personnel. The 

Gaming Commission shall have full responsibility and authority 

for enforcement of these regulations, and shall bill the gaming 

operation; for the services provided by the Commission and any 

expenses incidental to such services. Failure on the part of a 

gaming operation to promptly pay such expenses shall be grounds 

for suspension or revocation of a facility license and/or other 

disciplinary actions of the Gaming Commission against facility 

and/or its management officials. 

(D) Gamins Enforcement Director. With the prior approval of the 

Colusa Indian Community Council, the Gaming Commission may hire 

supervise, and discipline a Gaming Enforcement Director who may, 

in the discretion of the Gaming Commission, be vested with some 

or all of the following authority: hiring, supervising, 

discharging and/or disciplining personnel to perform the Tribal 

Gaming Ordinance. All gaming surveillance and enforcement 
personnel shall be employees of the Colusa Indian Community. 

Notwithstanding the foregoing, until the Gaming Commission 

affirmatively delegates such duties to a Gaming Enforcement 

Director, those duties; shall be performed by the Tribal Gaming 

Commission either acting as a body or through the delegation of 

authority to one of its members. 

(E) Pricins; billinq; late wavment penalties. Gaming/regulatory 

services provided to a gaming operation shall be priced to cover 

all costs associated with providing the services without any 

financial burden on the Tribe. Pricing of services shall include 

all direct expenses, overhead, and indirect charges associated 

with or reasonably attributed to the Tribal Gaming Commission's 

provision of the services. The Gaming Commission shall prepare 

and present an invoice to the gaming operation that received the 

services; The Gaming Commission shall bill the Gaming operation 

monthly or as near to monthly as is possible. Invoices for gaming 

security services, including surveillance, shall be due and 

payable upon receipt of the invoice by the billed party. Payments 

shall be deemed to be late if the invoice is not paid in full 

within 15 calendar days after its receipt. If a facility is 

managed under a contract with an outside management company, the 

Gaming Commission shall impose a late payment penalty equal to 

10% of the unpaid invoice amount for every month or partial month 

the payment is late. The imposition or collection of late payment 

penalties shall not limit the Gaming Commission from taking other 

disciplinary actions against the licensed operation or 

responsible management officials that the Gaming Commission may 

deem necessary and appropriate. 

V. LICENSES 

(A) Policy; revocable ~rivileqe. 

(1) It is declared policy of the Colusa Indian Community 

that all gaming facilities, all persons having a financial or 

management interest in such games, and all employees of such 

gaming operations shall be licensed and controlled so as to 

better protect the public health, safety, morals, good order and 

welfare of the Colusa Reservation Community, except as any Class 

111 compact may declare otherwise. Any gaming license or permit 

which is issued by the Tribal Gaming Commission shall be deemed 

to be revocable privilege and no person holding such a license or 

permit is deemed to have acquired any vested rights therein. 

(2) Every gaming facility, management official, key 

employeelkey contractor, and standard employee of a gaming 

operation shall possess a valid gaming license or permit issued 

by the Tribal Gaming Commission for the activity in which s/he is 

engaged. 

(3) An applicant for a Colusa Indian Community gaming 
license or permit is seeking the granting of a privilege, and the 

burden of proving his/her qualification to receive any license or 

permit is at all times on the applicant except as otherwise 

provided in any class I11 compact to which the Tribe is a party. 

An applicant must accept any risk of adverse public notice, 

embarrassment, criticism, or other action or financial loss which 

may result from action with respect to an application and 

expressly waive any claim for damages or the right to sue 

therefor as a result thereof. 

(4) An application for a license or permit constitutes a 

request to the Tribal Gaming Commission for a decision upon the 

applicants general suitability, character, integrity, and ability 

to participate or engage in, or be associated with, the gaming 

industry in the manner or position sought by the application. 

(5) To protect the public good, it is the Tribal Gaming 

Commission's intent to err on the side of caution when 

considering any license or permit application. 

(6) The granting of a license or permit by the Tribal Gaming 

Commission does not constitute a commitment on behalf of the 

Tribal Gaming Commission or any other party to hire or continue 

to employ the licensee or permittee. 

(7) These regulations do not apply to bonafide traditional 

Indian gambling games, so long as such games are conducted by and 

for Indian persons at Tribal celebrations or gatherings and not 

as a business. 

(B) License and Permit Catesories . 

(1) Facilitv license. No gambling games may be played at any 

place, facility, or location within the Colusa Indian Reservation 

unless the manager of the gaming operation first obtains and 

maintains in good standing a valid facility license issued in 

accordance with these regulations, except as otherwise provided 

in a Tribal-State Class I11 compact to which the Tribe is a 

party. 

(2) Manasement official's license. No person, corporation, 

or entity other than the Colusa Indian Community may have a 

management interest or financial interest in a gaming operation 

unless s/he first obtains and thereafter maintains in good 

standing a valid management official's license issued in 

accordance with these regulations, except as provided in any 

Tribal-State compact to which the Tribe is a party. 
(3) Kev emwlovee license. No person shall be employed as a 

key employee by a gaming operation or by the Tribal Gaming 

Commission unless such person first obtains and thereafter 

maintains in good standing a valid key employee license issued in 

accordance with these regulations. The term "key employee" is 

defined in Section I1 of these regulations. 

(4) Work wermit. Each standard employee in a gaming 

operation not classified as a management official or key employee 

shall first obtain and maintain in good standing a valid work 

permit issued in accordance with these regulations. 

(5) Kev contractor license. No person or other legal entity 

shall enter into any contract or other agreement with a gaming 

operation that establishes the entity as a key contractor unless 

the entity first obtains and thereafter maintains in good 

standing a valid key contractor license issued in accordance with 

these regulations, except as otherwise provided in any Tribal 

State Class I11 compact to which the Tribe is a party. 

(6) Any person possessing a valid management official 

license need not obtain a key employee license, key contractor 

license, or work permit. Any person possessing a valid license 

need not obtain a permit. 

(C) Standards for issuance of license or wermit. No license or 

permit shall be granted unless and until the applicant has 

satisfied the Tribal gaming commission that the applicant: 

(1) Is a person of good character, honesty, and integrity; 

(2) Is a person whose background, reputation, and 

associations will not result in adverse publicity for the Colusa 

Indian Community or its Gaming Enterprise; 

(3) Is a person whose prior activities, criminal record, if 

any, reputation, habits, and associations do not pose a threat to 

the public interest or to the effective regulation unfair, or 

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

unfair, or illegal gaming practices, methods, and activities. 

Specifically, unless otherwise exempted under the terms of a 

Tribal-State Class I11 compact to which the Tribe is a party, or 

by the Gaming Commission for good cause shown, the applicant must 

have : 

(a) Not been determined by any court to be guilty of 

committing any felony, regardless of sentence, 

including any pending appeals; provided, that this 

restriction may be waived for a Tribal member applying 
for employment as a permanent standard employee who 

demonstrates to the satisfaction of the Gaming 

Commission that s/he is rehabilitated and the 

conviction occurred at least ten years before the 

submission of the application, and for any non-member 

presently employed by the Colusa Indian Community's 

Gaming Enterprise who has demonstrated through his/her 

conduct while so employed that s/he would pose no 

threat to the safety of persons and/or property or the 

continued employment therein. 

(b) Not been determined by any court to be guilty of 

committing any crime involving violence, dishonesty, 

theft, or moral turpitude within the past five(5) years, 

including any pending appeals; 

(c) Not been identified in the published reports of any 

federal, tribal, state, or executive body as a member or 

associate of organized crime, or as being of notorious 

and unsavory reputation; and 

(d) No outstanding warrant for arrest for any felony or any 

offense involving dishonesty or theft from any 

jurisdiction. 

(4) If other than a management committee member, is not an 

elected member of the Colusa Indian Community government or 

a relative in the immediate household of a an elected member 

of the Tribal government. 

(5) Meets the federal requirements pertaining to Indian 

gaming licenses, especially the Indian Gaming Regulatory 

Act and related regulations. 

(D) License a~~lication ~rocedures. 

(1) General requirements. Applicants for a gaming license or 

permit must complete the appropriate application form and submit 

the form, all necessary additional documents, and the application 

fee to the Gaming Commission. The application will not be 

regarded as complete until the Gaming Commission receives all 

requested information from the applicant and the application fee 

and any additional investigation fees that may be required are 

received by the Tribal Gaming Commission. 

A~~lication forms; contents; amendments. 

(a) Every application or report must be filed on forms 

furnished or approved by the Gaming Commission and must contain 
and be accompanied by such documents and information as may be 

specified or required. 

(b) It is grounds for denial of a application or 

disciplinary action for any person to make any untrue statement 

of material fact in any application or report filed with the 

Gaming Commission or to willfully omit any material fact in such 

application or report. 

(c) All information required to be included in an 

application must be true and complete as of the date(s) of the 

Gaming Commission action sought by such application; and an 

applicant shall promptly supply any factual information 

occurring after the original application, Failure by an applicant 

to promptly update his/her application to include all material 

facts shall be deemed by the Gaming commission to be a willful 

omission of information. 

(d) Every application for any gaming license or permit, other 

than a facility license, shall include, at a minimum, the 

following information: 

i) The applicant's full name, and other names used, date and 

place of birth, citizenship, social security number, 

drivers license numbers, and physical description; and 

ii) The dates and places of residence of the applicant for 

the past ten years, dates and places of employment and/or 

business including the positions held or types of work 

engaged in for the past ten years (this information is 

needed for only the past five years for employee work 

permit applicants); and 

iii) The applicant's current business and residence telephone 

numbers; and 

iv) A description of any previous or ongoing gaming or 

business relationship with any Indian tribe; and 

v) A description of any previous business relationship with 

the gaming industry, including the name and address of 

any licensing or regulatory agency with which the 

applicant has filed an application for a license or 

permit relating to gaming and the status of the 

application; and 

vi) A list of all felony charges and dispositions against the 

applicant, if any, including any that may have been 

sealed or expunged following completion of probation 
and/or the attainment of majority, the case number, name 

and address of the court involved, and the date and 

ruling of the court; and 

vii) A list of all misdemeanor charges and dispositions, if 

any, within the past 10 years, the names and address of 

the court involved, and the date and ruling of the court; 

and 

'viii) A list of all determinations of guilt by any court 

regardless of the sentence imposed, including any 

appeals; and 

ix) For other than employee work permit applications, a 

financial statement disclosing all current assets and 

liabilities, and financial interests (excluding shares 

in publicly-traded companies) for each of the past ten 

years. 

(e) Every application for a facility license shall include, at 

minimum, the following information; 

i) The name, address, and telephone number of the gaming 

operation; 

ii) The name, address, and telephone number of the gaming 

operation's owner; 

iii) The name, address, and telephone number of the management 

company, if any, and the name, address, Social Security 

number, birth date, and percentage interest in the 

management company of each person possessing a financial 

interest in the management company; 

iv) An operating plan detailing all information required in 

section (V) (K) of these regulations, including the annual 

budget ; 

V) A list of all management officials and key employee 

names, including the position and annual salary of each 

individual listed; and 

vi) The complete current or proposed house rules of the 

gaming operation. 

(f) An application may be amended with the permission of the 

Gaming Commission at any time prior to the Gaming 

Commission's final action on the application. 
(g) Any document filed under any of the provisions of the Colusa 

Tribal Gaming Ordinance may be incorporated by reference in a 

subsequent application if it is available in the files of 

the Tribal Gaming Commission, to the extent that the document 

is currently accurate. 

(h) Any person denied a license or permit may not submit, and the 

Gaming Commission may not accept, another application from 

that person for at least six months after the date the 

initial application was denied. 

(3) Finserwrints. An application for a management official 

license, key employee license, or key contractor license shall 

not be complete until the applicant furnishes to the Gaming 

Commission his/her fingerprints in duplicate on fingerprint 

impression cards. Fingerprints may be taken by the Tribal Gaming 

Commission or the Colusa County Sheriff's Department; it shall be 

the applicant's responsibility to pay any fees imposed for the 

taking of fingerprints. 

(4) Photosrawhs. Each applicant for a license or work permit 

shall be required to submit a color photograph in duplicate with 

the application. The photographs must be satisfactory to the 

Gaming Commission and must have been taken within three months of 

the date of application. 

(5) ADDlication and investisation fees. 

(a) Unless waived by the terms of a Tribal-State 

compact to which the Tribe is a party, each application for a 

license or work permit must be accompanied by a non-refundable 

application fee in the amount shown below: 

i) $500.00 for a management official license; 

ii) $250.00 for a key employee license; 

iii) $250.00 for a key contractor license; 

iv) $150.00 for a work permit. 

(b) In addition to any non-refundable application fees 

paid, the Gaming Commission may require an applicant to pay such 

supplementary investigative fees and costs as may be costs of 

investigation. The Gaming Commission may estimate the 

supplementary investigative fees and costs and require,deposit of 

such fees as a condition precedent to beginning or continuing an 

investigation. 

(c) The Gaming Commission may not act upon any 

application unless all application and investigation fees and 

costs have been paid in full or advanced as required. The Gaming 
Commission shall deny an application if the applicant fails or 

refuses to timely pay all application and investigation fees and 

costs. 

(dl A gaming operation may enter into an agreement with 

the Gaming Commission to guarantee an applicant's payment of the 

required application and investigation fees over a three-month 

period or less. The agreement must state that the gaming 

operation will pay on the applicant's behalf any payments not 

timely made by the applicant regardless of whether or not the 

applicant continues to be employed by the gaming operation. 

The Gaming Commission may take preliminary or final action on an 

application before the required application and investigation 

fees are received only if payment of the fees is guaranteed by an 

agreement with the gaming operation. 

(E) Backsround investisations. 

(1) Within 14 calendar days after receipt of a complete 

application and such supplemental information as the Gaming 

Commission may require, the Gaming Commission shall begin its 

investigation of the applicant's background to determine if the 

applicant meets the Tribal Gaming Commission's minimum license or 

permit standards. The Gaming Commission shall investigate the 

criminal history of each applicant for a license or permit and 

the personal background and character of each applicant for a 

license. At its own discretion the Gaming Commission may also 

investigate the personal background and character of any 

applicant for a permit. The Gaming Commission shall perform, at a 

minimum, the following investigations before taking preliminary 

or final action on any application: 

(a) A~~licant for anv samins license or wermit. The 

criminal background of an applicant for any gaming license 

or permit shall be investigated by submitting the 

applicant's vital information, including but not limited to: 

full name; any other names used, date and place of birth; 

citizenship; drivers license numbers; Social Security 

number; and physical description to the Colusa County 

Sheriff and/or a federal law enforcement or federal gaming 

regulatory agency and requesting a criminal history report. 

(b) Aw~licant for any samins license,additional 

reauirements. In addition to other investigations, the 

Gaming Commission shall submit the fingerprints of each 

license applicant to a responsible agency of the federal 

government and request a Federal Bureau of Investigation 

report of the applicant's criminal history. If the applicant 

lived outside the United States for more than six months 
during the preceding ten years, the Gaming Commission shall 

also submit the applicants vital information to INTERPOL 

and request an international criminal history report for the 

applicant. The Gaming Commission shall also interview at 

least three previous employers, associates, or other persons 

familiar with the applicant to determine if the applicant's 

reputation, character, habits, and activities meet the 

standards for issuance of a license. The Gaming Commission 

shall also obtain a credit bureau report on the applicant. 

(c) Awwlicant for a manaqement official's license. In 

addition to other investigations, the Gaming Commission 

shall contact banks, other financial institutions, and other 

information sources as needed to verify the accuracy of 

financial information provided by each person named in an 

application for a management official's license. 

(1) The Gaming Commission is not limited to the above 

investigations and shall make additional investigations and 

inquires as required by federal law or regulation or as needed to 

determine with reasonable certainty that an applicant either does 

or does not meet the minimum standards for issuance of a gaming 

license or permit. 

(2) The Gaming Commission shall attempt to complete its 

background investigation within 30 days following receipt of a 

complete application. If the investigation cannot be completed 

within 30 days the Gaming Commission shall notify the applicant 

in writing why the investigation is not complete and when it 

expects to complete the investigation. 

(3) The Colusa Indian Community Council has delegated 

to the Gaming Commission the necessary authority to enter into 

agreements with the Colusa County Sheriffs Department and the 

City of Colusa Police Department for the purpose of providing 

fingerprinting services, and with the National Indian Gaming 

Commission and the Federal Bureau of Investigation to provide 

criminal history information. The Colusa Indian Community Council 

futher has delegated to the Gaming Commission the authority to 

contract with licensed private investigators, and any state or 

federal investigative agency to perform the required background 

and/or criminal history investigations. 

(F) A~~lication reviews; awwrovals; denials; apweals; waivers. 

(1) Review. Within 14 calendar days following completion of 

the background investigation, the Gaming Commission shall review 

each application and all background investigation and criminal 
history reports to determine if the applicant meets the standards 

for issuance of the requested license or permit. 

(2) Permit approval. If, in the Gaming Commission's 

judgment, the applicant meets the standards for issuance of a 

permit and all application and investigation fees are fully paid, 

the Gaming Commission may approve the application and issue the 

permit. 

(3) License approvals. 

(a) Preliminary approval; temporary license. If, in the 

Gaming Commission's judgment, the applicant meets the standards 

for issuance of a license and all application and investigation 

fees are fully paid, the Gaming Commission may grant its 

preliminary approval of the application. At its discretion, the 

Gaming Commission may also issue a temporary license. A temporary 

license shall not be valid for more than 60 days. 

(b) National Indian Gaming Commission review. Within 

seven calendar days after granting preliminary approval of a 

license application, the Gaming Commission shall mail a copy of 

the application and all background investigation and criminal 

history reports to the National Indian Gaming Commission or other 

appropriate federal agency. The Gaming Commission shall also 

include a cover letter indicating the Colusa Tribal Gaming 

Commission intent to issue the applicant a license and request 

that the federal agency review the application pursuant to the 

requirements of federal law. A copy of this letter may also be 

sent to the applicant with a notice that the application is not 

finally approved. 

(c) Final approval. The Gaming Commission may grant 

final approval of a license application only after; 

i) Receiving authorization to do so from the National 

Indian Gaming Commission or other responsible 

federal agency; or 

ii) 30 days have elapsed since the responsible federal 

agency was notified of the Tribal Gaming 

Commission's intent to issue the license and the 

federal agency has not responded. 

The Gaming Cohmission shall promptly notify each 

approved applicant that his/her application is approved and 

issue a license. If a temporary license was previously 

issued, the effective date of the license shall be the issue 

date of the temporary license. 
(4) License and wermit limitations and restrictions. No 

license or permit shall be valid unless signed by the Chairman of 

the Gaming Commission. The Gaming Commission may limit the term 

of the license or place such conditions thereon as it may deem 

necessary to protect the Colusa Indian Community or the public 

interest. 

(5) Denial. 

(a) The Gaming Commission must deny an application for 

any class of license or permit if, in the Gaming Commission's 

judgment, the applicant does not meet the standards required for 

issuance of the requested license or permit (minimum license and 

permit standards are defined in section V.(C). Without limiting 

the Gaming Commission's discretion to deny any application, if, 

in the Gaming Commission's judgment, such a denial is in the 

interests of the Colusa Indian Community or public, the Gaming 

Commission may deny an application if the applicant: 

i) Failed to disclose, misstated, or otherwise attempted to 

mislead the Gaming Commission with respect to any material 

fact contained in the application for issuance or renewal of 

a license or permit; 

ii) Knowingly failed to comply with the provisions of the Colusa 

Tribal Gaming Ordinance or the regulations of the Tribal 

Gaming Commission at any time in the past; 

iii) Committed, attempted or conspired to commit any crime of 

moral turpitude, embezzlement or larceny, or any violation 

of any law pertaining to gaming; 

iv) Committed, attempted or conspired to commit a crime that 

involved theft, embezzlement, fraud, violence; 

V) Was identified in the published reports of any federal or 

state legislative or executive body as being a member or 

associate of organized crime, or as being of notorious and 

unsavory reputation; or 

vi) Had a gaming license or permit revoked by this Tribal Gaming 

Commission or the gaming commission or other gaming 

regulatory body of any Tribe, State, or foreign country; 

vii) Failed to exercise discretion and sound judgment to prevent 

incidents which might reflect adversely on the reputation of 

the Colusa Indian Community; 
viii) Permitted persons who were visibly intoxicated to 

participate in gaming activity; 

ix) Catered to, assisted, employed, or associated with, either 

socially or in business affairs, persons of notorious or 

unsavory reputation or who have extensive criminal records, 

or persons who have defied investigative or other bodies 

acting on behalf of the United States, or the Colusa Indian 

Community, or employing either directly or through a 

contract, or any other means, of any firm or individual in 

any capacity where the reputation of the Colusa Indian 

Community is liable to be damaged because of the 

unsuitability or unethical methods of the firm or 

individual; 

X) Employed in any gaming operation any person whom the Tribal 

Gaming Commission, any other gaming regulatory agency, or 

any court has found guilty of cheating or using any 

improper device in connection with any game, whether as an 

operator, licensee, permittee, or player; 

xi) Failed to comply with or make provision for compliance with 

all federal and Tribal laws and regulations pertaining to 

the operations of a gaming facility including, without 

limiting the generality of the foregoing, payment of all 

license fees and withholding and paying any payroll taxes; 

xii) Possessed or permitted to remain in or upon the gaming 

facility any cards, dice,electronic,electromechanical 

mechanical device, or any other improper device whatever 

intended or adapted for use in cheating or altering the 

outcome of any game of chance or skill. 

xiii) Conducted, operated, or dealt any cheating or thieving game 

or device on the premisses which may have in any manner been 

marked, tampered with, or otherwise placed in a condition, 

or operated in a manner, which tends to deceive the public 

or which might make the game more liable to win or lose, or 

which tends to alter the normal random selection of criteria 

which determine the result of the game; or 

xiv) Denied any Tribal Gaming Commission member or duly 

authorized Colusa Indian Community Council or other Tribe 

representative, upon presentation of proper identification, 

access to, inspection, or disclosure of any portion or 

aspect of a gaming facility or gaming operation. 

(b) In addition to the foregoing, the Gaming Commission may deny 

an application on the basis of any activity on the part of a 
licensee or permittee, his/her agents or employee(s) that is in 

any way contrary to the public health, safety, morals, good 

order, and general welfare of the Colusa Indian Community, or 

that would reflect or tend to reflect discredit on the Colusa 

Indian Community. 

(c) The Gaming Commission shall deny any license application 

that is disapproved by the National Indian Gaming Commission or 

other federal agency responsible for Indian gaming licenses under 

the Indian Gaming Regulatory Act or other federal law or 

regulations. 

(d) The Gaming Commission may deny an application at any time 

during the application process, including after granting 

preliminary approval to the application. The Gaming Commission 

shall promptly notify an applicant that his/her application 

was denied and shall specify the reason(s) for the denial, 

including a list of criminal conviction (s) , date (s) , and 

location(s), if any, that contributed to the Gaming Commission's 

decision to deny the application. If an application was denied as 

a result of information contained in the applicant's FBI 

identification record the applicant shall also be advised of the 

procedures to change, correct, or update the record as set forth 

in Title 28 CFR, Section 16.34. 

(6) Hearinqs. All persons denied a license or permit by 

the Gaming Enforcement Director or a Gaming Commissioner acting 

under authority delegated by the full Commission shall be 

informed of the right to a hearing before the Gaming Commission. 

Hearings to consider the denial of a license or permit shall be 

conducted in accordance with the hearing provisions of section VI 

with the following additional requirements: 

a) The applicant must state in his/her written request for 

a hearing the reason(s) s/he believes the application 

should be approved. 

b) The applicant shall also include copies of all documents 

supporting the applicant's position, including police 

records and reports, character references, and other 

relevant information. 

C) Failure by the applicant to provide this information 

shall be deemed just cause to deny the applicant's 

request for a hearing or, if the hearing is held on the 

premise that the required information was provided, the 

Commission may deem the omitted information as a willful 

attempt to deceive the Commission and shall deny the 

application. 
(7) Waivers. 

(a) Any enrolled member of the Colusa Indian Community or 

other Native American with established ties to the Colusa Indian 

Community denied an application for a permit may request a waiver 

of the permit standards. Waivers may not be considered when the 

application is for a license. The eligible applicant must show 

that a waiver is in the best interest of the Colusa Indian 

Community, or the Gaming Commission may not grant the requested 

waiver. 

(b) The procedures for requesting and considering a waiver 

are the same as those for hearings before the Gaming Commission, 

with the following additional requirements: 

i) If the requested waiver involves any of the following 

criminal offenses, the waiver applicant must provide 

copies of all police and court records relating to 

his/her conviction(s), probation officer reports, 

character references, and any other information 

relevant to proving the applicant is now of good 

character: 

1) Any felony conviction involving crimes of violence, 

dishonesty, theft, or moral turpitude within the 

last five (5) years, whether or not expunged or 

sealed; or 

2) Any other felony conviction within the last two (2) 

years, whether or not expunged or sealed. 

(c) The Gaming Commission may also require that any 

applicant for a waiver provide the Gaming Commission with copies 

of police, court, and other records related to any criminal or 

civil charges made against the applicant. The waiver applicant 

will follow all other procedures for Gaming Commission hearings 

and must appear in person before the Gaming Commission to present 

his/her arguments that the issuance of a permit would be in the 

best interests of the Colusa Indian Community. 

(G) Expirations. 

(1) Except for a facility license and a key contractor 

license, the expiration date of each license and permit shall be 

determined by the licensee's or permittee's birth date. The 

license or permit shall expire on the licensee's or permittee's 

next birth date if this date occurs six months or later from the 

date the license or permit was issued. The license or permit 

shall expire one year from the licensee's or permittee's next 

birthday if the next birthday occurs within six months of the 

license or permit issue date. 
(2) A key contractor license shall expire not later than one 

year from the date it was issued. 

(3) A facility license shall expire not later than one year 

from the date it was issued. 

(4) The expiration schedules in this section describe the 

maximum period for which a license or permit may be granted. The 

Gaming Commission may issue any license or permit for a shorter 

period if the Gaming Commission deems the shorter period is 

necessary to adequately protect the interests of the Colusa 

Indian Community or the public. 

(H) Renewals. Subject to the power of the Gaming Commission to 

deny, revoke, suspend, or limit licenses and permits, any gaming 

license or permit in force may be renewed for the next succeeding 

period upon proper application for renewal and payment of 

applicable license and investigation fees as required by law and 

the regulations of the Tribal Gaming Commission. The gaming 

Commission encourages license and permit holders to apply for a 

license or permit renewal at least 60 days prior to expiration of 

the current license or permit. However the Gaming Commission may 

not accept a renewal application more than 120 days prior to 

expiration of the current license or permit. 

(I) Identification cards and name badqes. 

(1) The Gaming Commission shall issue an identification 

card to every person granted a license or permit. The 

identification card shall include the licensees or permittee's 

photograph, name, license or permit category and number, name of 

the gaming operation by which he/she are employed or to which 

he/she provide services, expiration date of the license or 

permit, Colusa Indian Community logo, and such other identifying 

marks deemed necessary by the Tribal Gaming Commission to readily 

identify legitimate cards from counterfeit cards. The Gaming 

Commission shall direct the preparation and issuance of the 

identification cards pursuant to procedures established by the 

Gaming Commission. An identification card may not be issued until 

after the applicant's application is approved and the license or 

permit is signed by the chairman of the Tribal Gaming Commission 

or a designated Commissioner. An identification card may be 

issued to the holder of an approved temporary license or permit. 

(2) The licensee or permittee shall be required to carry 

the identification card on his/her person at all times she/he is 

on duty, or in the case of a management official, whenever s/he 

is at the gaming establishment. A licensee or permittee is 

required to promptly show his/her identification card to any 

person requesting to inspect the card. 
(3) Every licensee or permittee shall at all times while on 

duty wear a identification card issued by the Gaming Commission. 

The Gaming Commission will establish the proper displaying of 

these cards on the person of the employee. The Commission will 

make determinations of the presentation of the card by employees 

on their person. Undercover security personnel performing 

legitimate security or monitoring functions are not required to 

wear a name badgeor other identification, but shall carry same on 

their persons unless excused in writing from doing so by the 

Director of security or the Gaming Commission. 

(4) The licensee or permittee shall be required to 

surrender his/her photo identification card when the card 

expires; when a new license or permit is issued; or when the the 

license or permit is suspended or revoked. The gaming operation 

shall be required to withhold an employee's or contractor's last 

paycheck or final payment until the photo identification card is 

returned to the Tribal Gaming Commission's security director. 

(5) Any person who has lost his/her photo identification 

card must report the loss to the security director within 24 

hours of the loss or discovery of the loss. Replacement of the 

first lost photo identification card may be made for a fee of 

$25. Subsequent lost photo identification cards may be replaced 

for a fee of $50. 

(J) Employment of unlicensed or un~ermitted Dersons wrohibited. 

Except as otherwise provided in any Tribal-State Class I11 

compact to which the Tribe is a party, a licensee shall not 

employ any person or enter into any contract or agreement for 

services with any person in a capacity for which that person is 

required to obtain a license or permit if that person does not 

possess the proper and valid license or permit as required by 

these regulations. The gaming operation shall immediately 

discharge any employee and cancel any contract or agreement upon 

notification by the Gaming Commission that the employee's or 

contractor's license or permit has been revoked by the Gaming 

Commission or that the employee or contractor does not possess 

the required license or permit. 

(K) Facility license reauirements. 

(1) License fee. 

(a) Each gaming operation approved to receive a 

facility license shall pay a facility fee not to exceed 10% of 

the amount which the approved annual budget for that operation 

establishes as an estimate of the management contractor's 

compensation, if there is a management contractor; otherwise the 

facility fee shall not exceed the lesser of four percent of net 
profit or the actual cost of regulating the gaming operation in 

the year for which the facility is to be licensed. The approved 

annual budget of the operation shall be that budget approved by 

the operation's management committee. The license fee shall be 

paid in advance in quarterly installments. The actual license fee 

shall be based upon the Tribal Gaming Commission's estimate of 

the expected costs of regulation for the period in which the 

license is to be effective. The organization with which the Tribe 

contracts to operate simulcast wagering shall be exempt from the 

provisions of this section. 

(b) The facility license shall not become valid until 

the first quarter's license fee is received by the Gaming 

Commission. The facility license shall lapse and the Gaming 

Commission shall take appropriate enforcement actions if 

subsequent quarterly payments are not timely made. 

(c) License fee payments shall be deemed to be late if 

not paid in full by the first day of each calendar quarter. The 

Gaming Commission shall impose, and the facility licensee shall 

pay, a late payment penalty equal to 10% of the unpaid license 

fee for every month or partial month the unpaid license fee is 

late. A suspended facility license may not be reinstated until 

all license fees and penalties are paid by the gaming operation. 

The imposition or collection of late payment penalties shall not 

limit the Gaming Commission from taking other disciplinary 

actions against the gaming operation or responsible management 

officials that the Gaming Commission may deem necessary and 

appropriate. 

(2) Oweratins Plan. 

(a) Every facility licensee shall at all times maintain on 

file with the Gaming Commission a current operating plan, 

verified by the affidavit of the operation's general manager, 

including, but not limited to: days and hours of operation; the 

maximum number and type of gaming tables or devices expected to 

be uncovered or in use at any time during the year; the number of 

gaming tables or devices expected to be in actual use during the 

first month of the report year; and the duly approved operating 

budget. The approved operating budget shall be submitted to the 

Gaming Commission within one week of its approval by the 

operation's manager, but not later than two weeks prior to the 

beginning of the operation's new fiscal year. 

(b) Any significant changes to the operating plan shall be 

reported to the Gaming Commission in writing no more than two 

weeks following the end of the month in which the change 

occurred. Significant changes include, but are not limited to, a 
change of 15% or more in the number of gaming tables or devices 

uncovered or in use; a change of 15% or more in the net profit 

forecast for the balance of the current year; or a change in the 

operation's fiscal year or accounting policies. 

(c) A facility licensee must submit any plans to increase 

the number of gaming tables or devices currently authorized for 

play or to introduce any new game in writing to the Gaming 

Commission. The Gaming Commission shall review the plans in a 

timely manner and shall approve the plans if the Gaming 

Commission finds the changes are not detrimental to the tribal 

and public interests. The Gaming Commission may request and the 

licensee shall provide any additional material, including 

financial projections and target market demographics'that the 

Gaming Commission deems necessary to evaluate the impacts of the 

requested change. 

(3) Key em~loyee rewort. 

(a) Each facility licensee shall submit an annual key 

employee report to the Gaming Commission on a form to be 

furnished by the Gaming Commission. 

(b) The annual key employee report shall identify every 

management official and key employee of the operation and their 

annual wage or salary compensation. The report shall also include 

an organization chart for the operation and a description of each 

management official's and key employee's duties and 

responsibilities, and the authority delegated to each individual 

identified in the report. 

(c) Any changes, additions, or deletions to any information 

contained within the annual key employee report which occurs 

subsequent to the filing of the report and prior to the filing of 

the next year's report shall be reported to the Gaming Commission 

in writing no more than two weeks following the month during 

which the change, addition, or deletion occurred. 

(4 ) Financial re~orts . 

(a) Annual audited financial report. The operation's 

general manger shall ensure that an annual audit is commenced by 

an independent CPA within 30 days following the end of the 

operation's fiscal year. Within two weeks following its receipt 

by the operation's managager, and in no case later than six 

months after the close of the operation's fiscal year, every 

facility licensee shall provide the Tribal Gaming Commission with 

a complete and audited financial statement of gaming operations 
for that fiscal year. The financial statement and audit report 

shall be prepared by an independent certified public accountant. 

(b) Monthly financial reports. Before the 25th day of the 

following month, every facility licensee shall provide the Tribal 

Council and the Tribal Gaming Commission with monthly and year-to 

date reports of the gaming operation's financial performance. The 

reports shall include, at a minimum, detailed income statements 

and balance sheets. 

(c) The Tribal Gaming Commission may, at its sole 

discretion, inspect or audit the financial records management 

procedures, or other aspects of a licensed operation's activities 

as the Tribal Gaming Commission deems necessary. In the absence 

of an alternative agreement, the expense of such audits or 

investigations shall be borne by the Tribal Gaming Commission. 

(L) Postins of facility license. Avalid, current, current 

facility license, issued by the Gaming Commission must be 

prominently displayed at all times upon the licensed premises in 

such position as it may be observed by persons participating in 

the gaming activities. 

VI. PENALTIES 

(A) Suswensions. 

(1) Emergency suspensions. The Tribal Gaming Commission's 

gaming Enforcement Director or his/her subordinate(s), or if 

there is no Gaming Enforcement Director, any member of the Gaming 

Commission, may seize an individual's identification card and 

exclude that individual from the gaming establishment for up to 

72 hours if, in the Commission's judgment, the licensee's or 

permittee's actions or omissions pose a immediate threat to the 

integrity of the gaming operation, the safety of the general 

public, patrons, or other employees, or the image and reputation 

of the Colusa Indian Community. The Gaming Enforcement Director 

or the Gaming Commissioner taking action hereunder shall 

immediately notify the gaming operations general manager of the 

emergency suspension. At its discretion; the Gaming Commission 

may take formal suspension action against the individual. 

(2) Formal sus~ensions. 

(a) The Gaming Commission may issue an order suspending a 

license or permit if the Gaming Commission has reasonable 

cause to believe that: 
(i) The suspension; is necessary for the immediate 

preservation of the public peace, health, safety, 

morals, good order, or general welfare of the 

Colusa Indian Community; or 

(ii) The licensee or permittee may have violated any 

condition or requirement imposed on the licensee 

or permittee by the Colusa Indian Community 

Council or Gaming Commission or applicable laws. 

(b) The suspension order shall become effective when it is 

signed by the Chairman or the Gaming Commission 

and the holder of the license or work permit has 

been given actual or constructive notice of the 

action. 

(c) The order suspending the license or work permit 

must state the reason for the suspension. 

(d) The suspension order shall state that the licensee 

or permittee shall forfeit his/her right to a 

hearing and any appeal if s/he fails properly to 

request a hearing before the Gaming Commission 

within 30 days following the effective date of the 

order. 

(e) By the end of the next business day following the 

effective suspension date of a license or permit, the 

Gaming Commission shall notify the general manager of 

the gaming operation employing or contracting services 

of the suspended licensee or permittee of the Gaming 

Commission's action. 

(f) The Gaming Commission may suspend a license or permit 

for any period of time up to one year. 

(g) The Gaming Commission may reinstate a license or work 

permit only after the licensee or permittee resolves to 

the Gaming Commission's satisfaction the cause for 

making the suspension. 

(B) Civil ~enalties. The Gaming Commission may impose a civil 

penalty or penalties against any licensee or permittee reasonably 

determined by the Gaming Commission to have violated any of these 

regulations, whether or not the Gaming Commission has suspended 

the license or permit. If the Gaming Commission deems a penalty 
appropriate, it shall notify the licensee or permittee of the 

Gaming Commission's intent to impose the penalty, and set a time 

and date to hear the licensee's or permittee's rebuttal of the 

Gaming Commissionts determination. The licensee or permittee 

shall be required to pay any penalty before the license or permit 

may be reinstated. 

(C) Criminal rosec cut ion. The Gaming Commission shall promptly 

submit any knowledge or evidence of criminal wrongdoing that it 

may discover to appropriate law enforcement officials for 

prosecution. 

(D) Revocations. In addition to any penalty the Gaming 

Commission may elect to impose against a licensee or permittee, 

the Gaming Commission may revoke a suspended gaming license or 

permit if the Gaming Commission determines that the licensee or 

permittee: 

a) Does not meet the minimum standards or requirements for 

issuance of a license or permit; 

b) Failed to disclose, misstated, or otherwise misled the 

Gaming Commission about any fact contained within any 

application for a license or permit; 

C) Violated any of the terms or conditions under which the 

Gaming Commission granted the license or permit; or 

d) Failed to request a hearing before the Gaming 

Commission to reinstate a suspended license or permit. 

Any person or other legal entity who has had a license or permit 

revoked by the Gaming Commission shall not be eligible to apply 

for a new license or permit for one year after the effective date 

of the revocation. 

(E) Hearinas. 

(1) The licensee or permittee whose license or permit is 

suspended or revoked or against whom a penalty was imposed or an 

applicant denied a license or permit: 

a) Has a right to a hearing before the Gaming Commission 

on the Gaming Commission's decision or order, solely to 

challenge the factual basis for Gaming Commission's 

decision or order, and not to challenge the Gaming 

Commission's exercise of discretion; 
b) Must make a written request to the Gaming Commission 

for a hearing within 30 days following the 

effective date of the Gaming Commission's decision 

or order. Failure to properly request a hearing in 

a timely manner waives the person's right to a 

hearing or any other appeal of the Gaming 

Commission's decision. The request shall set forth 

each basis upon which the appellant questions 

or challenges the Commission's disciplinary action. 

(2) After receipt of a written request for a hearing, the 

Gaming Commission shall schedule a hearing for not later than 

fourteen calendar days after the request was received. Following 

the hearing the Gaming Commission shall make a decision to 

uphold, modify, or reverse the order imposing the suspension, 

revocation, or penalty (s) . 

(3) Throughout the hearing and any appeals that may follow, 

the appellant shall have the following rights: 

a) The right to appear personally before the Gaming 

Commission; 

b) The right to be informed of the accusation(s) against 

the appellant, and the evidence upon which the 

accusation(s) is/are based, subject to the Commission's 

right to protect the confidentiality of its sources of 

information and the safety of those providing such 

information; and 

c) The right to representation by any representative of 

the appellant's choosing. 

(4) The Gaming Commission must determine that the offense 

or other cause for the suspension, revocation, or penalty more 

likely than not occurred, or the Gaming Commission shall withdraw 

the order or penalty. The Gaming Commission shall issue its 

decision in writing. 

(5) The licensee or permittee may request and the chairman 

of the Gaming Commission shall grant a time extension or 

extensions of any reasonable period necessary for the licensee or 

permittee to prepare for the hearing. 

(6) The Gaming Commission may amend its order at any time 

but the decision of the Gaming Commission shall be final and not 

otherwise reviewable. 
VII. GAMING OPERATIONS 

(A) Hours of operation. All games permitted by these regulations 

and the Colusa Tribal Gaming Ordinance may be conducted 24 hours 

per day, seven days per week throughout the year unless otherwise 

29ordered by the Tribal Gaming Commission or regulated under the 

terms of any Tribal-State compact to which the Tribe is or may 

become a party. 

(B) Wasers with chips onlv. Except as may otherwise be 

permitted in a Tribal-State compact to which the Tribe is or may 

become a party or by house rules approved by the Tribal Gaming 

Commission, a wager may be accepted in any card game only when 

the wager is made with chips issued by the licensed facility 

within which the wager is made. 

(C) House rules. 

(1) Filinq. The manager of a licensed facility shall 

develop and submit to the Tribal Gaming Commission detailed house 

rules governing all games offered or played in the facility. Any 

changes or amendments to the rules shall be immediately, 

forwarded to the Tribal Gaming Commission with a written 

description of the effect of the change or amendment. All rules 

are subject to approval by the Gaming Commission. 

(2) Postinq. A summary of the house rules, including wager 

limits, and a notice that the complete house rules are available 

for review upon request, shall at all times be posted by the 

manager of the licensed facility in a conspicuous and publicly 

accessible location. At least one copy shall be posted in each 

room where gaming occurs. Management shall take all steps 

necessary to promptly comply with any person's request to review 

the complete house rules. 

(D) Tournaments. Tournaments of poker or other card games 

authorized by the Colusa Tribal Gaming Ordinance are permitted. 

The licensed facility may charge and retain a buy-in fee from all 

tournament participants. All other entry fees shall be returned 

to the persons participating as players in the tournament. All 

tournaments shall be conducted with tournament chips that have no 

cash value. 

(El Electronic samins eauipment. No electronic, computer or 

other technologic aid to any Class I1 game, or any electronic 

gaming device, may be used or possessed on the Colusa Indian 
Community Reservation unless each said device has been 

authorized, inspected and approved by the Tribal Gaming 

Commission or its designee, and any such use or possession is 

further conditioned upon strict compliance with any requirements 

imposed by the Tribal Gaming Commission concerning verification 

and monitoring of the reliability, integrity and security of each 

said device and each component thereof prior to the introduction 

of any such equipment into service. 

(1) No employee of a licensed facility shall be permitted 

to participate as a player in any card game operated and banked 

by the licensed facility, or any other game played "against the 

houseM. 

(2) Except as otherwise provided in this section, an 

employee of a licensed facility may not participate as a player 

in any game during his/her scheduled work shift, and at no time 

may participate in a game banked by the licensed facility. This 

section shall not be construed to allow participation in gaming 

by minors or persons otherwise ineligible to participate. 

(3) A person employed by the licensed establishment to 

start card games ('props") may participate as a player while on 

duty as long as such participation is under the direction of the 

licensed facility's management, and provided that neither the 

licensed establishment nor any gaming management employee 

receives any portion of said person's winnings or reimburses said 

person for any losses. 

(G) Credit Prohibited. No credit shall be extended by a gaming 

operation to any player. This prohibition shall not be construed, 

however, to prevent players or customers from utilizing bank 

cards, credit cards, and other forms of personal credit when the 

credit is guaranteed by an independent financial institution. 

(H) Resolution of D~SDU~~S with Gamins Public. All disputes 

between members of the gaming public and the gaming facility 

shall be brought first to the General Manager of the facility for 

resolution. If the member of the gaming public is unsatisfied 

with the General Manager's resolution of the dispute, s/he may 

appeal that resolution to the Gaming Commission, the decision of 

which shall be made upon the basis of the written submittal of 

the complaining patron and the General Manager, and the decision 

of the Gaming Commission shall be final and not otherwise 

appealable. Claims for personal injury and/or property damage 

shall be referred to the issuer of the facility's liability 
insurance policy for adjustment. Any claims that are not 

successfully adjusted shall be referred to the Colusa Indian 

Community Council for final disposition. 

(I) Desisnation of Aaent for Service of Process. The Tribal 

Chairperson, or in his/her absence, the Chairperson of the Gaming 

Commission, shall be authorized to receive on behalf of the 

tribe, service of the process of the N.I.G.C., the United States 

or under any compact to which the Tribe is or may become a party. 

Nothing herein shall constitute or be construed as a waiver of 

the sovereign immunity of the Tribe or any Tribe official, agent 

or employee.