position provided, however, that any prospective appointee must meet the
qualifications established by this Code.

4.16 Conflict of Interest. No Person shall serve as a Tribal Commissioner if he/she or
any member of his/her Immediate Family has an ownership, partnership or other
direct financial interest, other than a regular salary interest, in any Gaming
Enterprise, or if he/she has any other Personal or legal relationship which places
him/her in a conflict of interest.

4.16.1 No member of the Gaming Commission shall participate in any
promotion, contest, or gaming activity of the casino enterprise.

4.16.2 No member of the Tribal Business Council shall participate in any
promotion, contest, or progressive slot machine of the casino enterprise.

4.17 Powers of the Tribal Commission. In furtherance, but not in limitation, of the
Tribal Commission's purposes and responsibilities, and subject to any restrictions
contained in this Code or other applicable law, the Tribal Commission shall have,
and is authorized to exercise by majority vote. the following powers in addition to
all powers already conferred by this Code:

4.17.1 To reasonably inspect and regulate all Gaming within the jurisdiction of
the Tribe, provided that the Commission does not make Management
decisions as to the day-to-day operations of the Gaming Enterprise.

4.17.2 To investigate any reported violations of this Code, the Compact, or any
other applicable law regarding Gaming within the jurisdiction of the
Tribe.

4.17.3 To act as liaison with the NIGC and the California Division of Gaming
Control Commission.

4.17.4 To publish and distribute copies of this Code and Tribal Commission
tules and regulations and any Business Council, Tribal Commission or
Tribal Court decisions regarding Gaming matters.

4.17.5 To prepare and submit for Business Council approval proposals,
including budget and monetary proposals related to the operation of the
Tribal Commission, which could enable the Tribe to better carry forth
the policies and intent of this Code.

4.17.6 To work directly, and only with the Business Council with regard to any
Gaming issues.

4.17.7 To make or cause to be made reasonable inspections or investigations as

it deems necessary to ensure compliance with this Code. In undertaking
such investigations, the Tribal Commission may request the assistance

18


7.4 Age Restrictions.

TAA

74.2

74.3

744

TAS

No Person under the age of Eighteen (18) shall be employed by the
Gaming Facility, Management Contractor or the Tribal Commission.

No Person under Twenty-one (21) years of age shall be employed in the
service of alcoholic beverages at the Gaming Facility.

No Person under the age of Twenty-one (21) shall be permitted in any area
where Gaming is occurring and alcoholic beverages are being consumed.

No Person under the age of Twenty-one (21) shall be permitted to place
any wager, directly or indirectly, in any Gaming Activity.

No Person under the age of Twenty-one (21) shall be permitted in any
room in which Gaming is being conducted unless the person is en-route to
a non-gaming area of the Gaming Facility.

7.4 Methods of Payment.

TAA

Ta2

Gaming chips and other tokens of value may be sold and redeemed by the
Enterprise and only for full value.

Consideration to participate in Gaming shall be cash only. No other form
of consideration shall be allowed unless the Tribal Commission gives prior
written approval.

7.5 Compliance requirements.

75.)

B52

Evidence of win or loss incurred by a Player must, upon request, be
provided in such form as will be acceptable to the Internal Revenue
Service.

The Enterprise shall pay all fees and file all reports required by law within
the time prescribed.

The Enterprise shall respond immediately to all inquiries, subpoenas, or
orders of the Tribal Commission, the State Gaming Agency, the Business
Council, or the NIGC.

The Enterprise shall make its premises and books and records available for
inspection during normal business hours by the Tribal Commission, the
State Gaming Agency, the National Indian Gaming Commission and
members of the Business Council or their designee.


5.14

S15

Facility License. The Gaming Facility authorized by the Compact and this Code
shall be licensed by the Tribal Gaming Commission.

5.14.1 Facility License shall be issued if the following criteria are met:

(1) The Tribal Commission has determined, based on the reports of
qualified inspectors and a review by the Tribal Commission of all
relevant contracts and operational policies and procedures, including
safety manuals and intergovernmental agreements relating to
environmental protection, health, safety and emergency services, that
the Gaming Facility has been constructed and shall be maintained and
operated in a manner that adequately protects the environment and the
public health and safety.

(2) The construction, expansion or modification of the Facility shall meet
the Building and Safety Code pursuant to Title VII of this Code.

(3) The construction, expansion or modification of the Facility shall meet
the standards of the federal American with Disabilities Act pursuant to
Title IV of this Code.

(4) Upon the inspection of the health and safety of the building, and upon
the inspection that all Gaming controls that are necessary to insure the
integrity of the Gaming are in place, the Tribal Gaming Commission
shall issue to the Facility a Certificate of Occupancy, which shall be
reissued upon similar inspections every two years.

5.14.2 Upon the issuance of a Facility License, the Tribal Gaming Commission
shall forward the License to the State Gaming Agency within ten (10) days
of issuance.

5.14.3 The Facility License shall be posted in a conspicuous and public place in
the Facility at all times.

State Gaming Agency Suitability Determination.

5.15.1 Except as provided in Sections 5.15.2 and 5.15.3 below, the Tribe will not
employ or affiliate with any Person whose application to the State Gaming
Agency for a determination of suitability has been denied.

5.15.2 Notwithstanding Section 5.15.1, the Tribe may employ a Person who has
been denied for a determination of suitability by the State Gaming Agency
if:

(1) The Person holds a valid and current Tribal License;


SS

9.4

95

9.2.6

DIORA

9.2.8

(4) Require that each report include the following:

(i) The record number.

(ii) The date.

(iii) | The time.

(iv) The location of the incident.

(v) A detailed description of the incident.

(vi) The persons involved in the incident.

(vii) The security personnel assigned to the incident.

The establishment of employee procedures designed to permit detection of
any irregularities, theft, cheating, fraud, or the like;

Maintenance of a list of persons barred from the Gaming Facility;

In accordance with section 8.4.1 of the Compact, except as provided in
subdivision 8.4.1(d) of the Compact, no State Gaming Agency regulation
shall be effective with respect to the Tribe’s Gaming Operation unless it
has first been approved by the Association, and further, the Tribe has had
an opportunity to review and comment on the proposed regulations.

Insurance Requirements. Pursuant to the Compact, the Management Contractor
or if no Management Contractor the Tribe, shall ensure that the Enterprise shall
carry a minimum of Five Million Dollars ($5,000,000.00) liability insurance to
protect the public in the event of an accident.

IRS Requirements. The General Manager shall be responsible for seeing that
Gaming Activity is managed in accordance with Tribal and Federal law and that
such Gaming Activity complies with all IRS reporting requirements.

Audit Requirements.

9.5.1

9:6.2

Annual Enterprise Audit The Tribal Commission and the General
Manager of the Enterprise shall obtain an annual independent audit of
such Enterprise by a certified public accountant using the accounting
standards for audits of casinos of the American Institute of Certified
Public Accountants.

Contract Audits Each contract between the Management Contractor and
another Person for supplies, services (other than legal and accounting
services) or concessions for a contract amount in excess of Twenty-five
Thousand Dollars ($25,000) annually shall be subject to an independent
audit. For the purposes of the previous sentence, the term “services” does
not include contracts the purpose of which is to extend financing to the
Management Contractor, the Tribe, or the Enterprise.

44


33

3.4

35

SECTION 4.

4.1

shall be appropriately inserted in the Tribal Code, pursuant to the Tribal
Constitution.

3.2.1 All titles, chapters and sections of the Tribal Code which pertain to
Gaming and are in effect as of the date that this Code becomes operative,
are hereby repealed, and all other laws, or parts thereof, inconsistent with
the provisions of this Code are hereby repealed.

3.2.2 Repeal of this Code, or any portion thereof, shall not have the effect of
reviving any prior Law, Ordinance, or Resolution theretofore repealed or
suspended.

Construction. In construing the provisions of this Code, unless the context
otherwise requires, the following shall apply:

3.3.1 This Code shall be liberally construed to effect its purpose and to promote
substantial justice.

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

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

3.3.4 Words of the masculine gender or neuter include masculine and feminine
genders and the neuter.

Severability. If any section of this Code is invalidated by a court of competent
jurisdiction, the remaining sections shall not be affected thereby.

Effective Date. The Code shall become effective upon the date of its approval by
the Chairman of the NIGC pursuant to the IGRA.

TRIBAL GAMING COMMISSION

Establishment. The General Council hereby charters, creates and establishes the
Susanville Indian Rancheria California Tribal Gaming Commission as a
governmental subdivision of the Tribe.

4.1.1 The Susanville Indian Rancheria California Tribal Gaming Commission
shall be referred to throughout this Code as the Tribal Commission.

4.1.2 The Business Council of the Susanville Indian Rancheria California shall
serve as the Tribal Commission until the Business Council appoints the
members of the Tribal Commission pursuant to Section 4.10.4. The


5.2

53

5.4

initial study may rely on expert opinion supported by facts, technical studies or
other substantial evidence to documents its findings.

Process for Significant Effects. If, when reviewing this Environment
Assessment, the Business Council determines that there is substantial evidence
that any aspect of the Project, either individually or cumulatively, may cause a
significant effect on the off-reservation environment, regardless of whether the
overall effect of the Project is adverse or beneficial, it shall do one of the
following:

5.2.1. Require an expanded Environmental Assessment,

5.2.2. Require the preparation of an Environmental Report, or

5.2.3. Use a previously prepared Environmental Assessment or Environmental
Report, which it determines would adequately analyze the Project at hand
or require an expanded study of one or more aspects of the proposed

Project.

Purposes of Environmental Assessments. The purpose of an Environmental
Assessment shall be for, but not limited to, the following:

5.3.1 To assist the Tribe in determining when a Finding of No Significant
Impact is appropriate.

5.3.2 To enable the Tribe to modify or amend the Project to minimize the off-
reservation impact.

5.3.3 To focus attention on those off-reservation impacts that are significant and
identify those off off-reservation environmental impacts that are not
significant.

5.3.4 To explain the reasons for determining that potentially significant off-
reservation environmental impacts would not be significant.

5.3.5 To eliminate the need for unnecessary Environmental Impact Studies.

Substance of Environmental Assessments. The substance of an Environmental
Assessment shall contain, at a minimum, but not limited to, the following:

5.4.1 A description of the Project, including its location.
5.4.2 An identification of the environmental setting surrounding the Project.
5.4.3 A listing or chart of environmental impacts covered by the study, along

with a narrative report that discusses those impacts.

54


3.3.7. Find that the unavoidable, significant environmental damage is acceptable,
because the Tribe’s economic, legal. social, and technological or other
benefits of the proposed Project outweigh its unavoidable off-reservation
environmental impacts.

SECTION 4. POLICIES GOVERNING ENVIRONMENTAL ASSESSMENTS AND

REPORTS

It shall be the policy of the Tribe that:

4.1

42

43

4.4

4.5

4.6

4.7

4.8

Review of Off-Reservation Impacts. These studies shall serve not only to
protect the environment but also to demonstrate to the off-reservation community
that it is being protected and that the Tribe has, in fact. analyzed and considered
the off-reservation impacts of its actions.

Notice to Public. These studies shall inform the Tribal and local governments
and the public of the anticipated off-reservation environmental impacts of the
Project.

Decision-Making. These studies shall allow the Tribal government to make
decisions regarding these proposed Projects with the off-reservation
environmental consequences in mind.

No Delay of Projects. These studies shall be undertaken in a manner which is
designed to allow the Tribe to make informed and balanced decisions, not to
prevent, delay or preclude the advancement of Gaming.

Off-Reservation Influence. These studies shall be prepared early enough to
allow off-reservation environmental concerns to influence the Project’s design
and construction, yet late enough to allow for a real and honest assessment of the
Project’s off-reservation environmental impact.

Tribal/Federal Cooperation. These studies shall be prepared in a manner which
eliminates duplication of federal efforts by providing for joint Tribal/federal
preparation of environmental documents.

Simple Writing. These studies shall be analytic, rather than lengthy, and shall be
written in plain language. They shall also mention, only briefly, issues other than
significant off-reservation environmental impacts in the Environmental Report
text.

Weighing Negative Projects. The Tribe shall give serious consideration to
preventing off-reservation environmental damage and should not approve a
Project as proposed if there are feasible alternatives or mitigation measures
available that would substantially lesson any significant adverse off-reservation


Report prepared by the state on the Project. In determining the scope of an
Environmental Report, the Business Council shall meet with and consider the
views of the Board of Supervisors of the county in which the Project is to be
located. It may also use a previously prepared Environmental Report.

SECTION 13. PREPARATION AND CERTIFICATION OF ENVIRONMENTAL
REPORT
13.1 The Business Council shall prepare or arrange to have prepared an Environmental
Report, which shall be circulated for public comment before the Project is
approved.
13.2 Contents of Environmental Report. The Environmental Report shall contain:

13.2.1 The Environmental Report and all revisions made to it.

13.2.2 A summary of the comments and recommendations received on the
proposed draft.

13.2.3 A list of persons and organizations wishing to commenting on the draft.
13.2.4 The response of the Business Council to those comments.
13.2.5 Any additional information the Business Council deems relevant.

13.3. Notice of the Final Environmental Report.

13.3.1 Notice of Completion The Business Council shall provide notice of
completion of the Environmental Report of the public, the State
Clearinghouse Office of Planning and Research, and the Board of
Supervisors and County Clerk of the county in which the Project will be
located. The notice to the County Clerk shall ask the clerk to post that
notice in the county office within 24 hours of receipt and keep it posted for
a minimum of 20 days.

13.3.2 Contents of Notice This notice shall contain, at a minimum:

(1) A brief description of the Project.

(2) Starting and ending dates for the receipt of public comments and
information on where and how those comments can be submitted.

(3) The date, time and place of any scheduled public meetings or
hearings to be held by the Tribe on the proposed Project.

58


1.4

Effective Date. This Tribal Ordinance and the rules, regulations, provisions,
requirements, orders, and matters established and adopted hereby shall take effect
and be in full force and effect from and after the date of its final passage and
approval.


1.6

1.7

1.8

SECTION 2.

2.1

2.2

2.3

2.4

2.5

Code with regard to Gaming Activities are hereby repealed.

Construction. In construing the provisions of this Code, unless the context
otherwise requires, the following shall apply:

1.6.1 This Code shall be liberally construed to effect its purpose and to promote
substantial justice.

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

1.6.3 Words in the singular number include the plural, and words in the plural
number include the singular.

1.6.4 Words of the masculine gender or neuter include masculine and feminine
genders and the neuter.

Severability. If any section of this Code is invalidated by a court of competent
jurisdiction, the remaining sections shall not be affected thereby.

Effective Date. This Code shall be effective upon certification by the Business
Council under the Tribal Constitution.

DEFINITIONS

“Cumulative Impacts” means two or more individual effects which, when
considered together, are considerable or which compound or increase other
environmental impacts.

“Environmental Assessment” means an initial study of the environmental
impacts of a proposed Project.

“Environmental Reports” means any environmental assessment, environmental
report, or environmental statement, as the case may be.

“Impact” means the direct or primary environmental effects which are caused by
the Project and occur at the same time and place.

“Mitigation” means avoiding an impact altogether by not taking a certain action
or parts of an action; minimizing impacts by limiting the degree or magnitude of
the action and its implementation; rectifying the impact by repairing,
rehabilitating or restoring the impacted environment; reducing or eliminating the
impact over time by preservation and maintenance operations during the life of
the action; compensating for the impact by replacing or providing substitute
resources or environments.

50


4.20

4.21

(2) Interpretation and application of this Code, as may be necessary to
enforce the Tribal Commission's duties and exercise its powers;

(3) A regulatory system for overseeing Gaming, including accounting,
contracting, management and supervision;

(4) The findings of any reports or other information required by or
necessary to implement this Code: and

(5) The conduct of inspections, investigations, hearings, enforcement
actions and other powers of the Tribal Commission authorized by
this Code.

4.19.2 No regulation of the Tribal Commission shall be of any force or effect
unless it is adopted by the Tribal Commission by written resolution and
subsequently approved by a resolution of the Business Council and both
resolutions filed for the record in the office of the Tribal Secretary.

Right of Entrance; Bi-Monthly Inspection. The Tribal Commission and duly
authorized officers and employees of the Tribal Commission, during regular
business hours, may reasonably enter upon any premises of any Licensee or
Gaming Facility for the purpose of making inspections and examining the
accounts, books, papers and documents of any such Gaming Facility.

4.20.1 Aid to Entry The Gaming Facility staff shall facilitate such inspection or
examinations by giving every reasonable aid to the Tribal Commission
and to any properly authorized officer or employee.

4.20.2 Frequency of Inspection A Commissioner or a member of the Tribal
Commission's staff shall visit each Gaming Facility at least once every
two weeks during normal business hours for the purpose of monitoring its
operation. Such visits shall be unannounced.

Investigation. The Tribal Commission, upon complaint or upon its own initiative
or whenever it may deem it necessary in the performance of its duties or the
exercise of its powers, may investigate and examine the operation and premises of
any Person or Licensee within its jurisdiction. In conducting such investigation,
the Tribal Commission shall make no order or final decisions without affording
any affected party notice and a hearing pursuant to Section 4.23.


7.6 Miscellaneous.

SECTION 8.

8.1

8.2

7.6.1. The Enterprise shall provide adequate security to protect the public before,
during, and after Gaming.

7.6.2 The Enterprise may not discriminate on the basis of sex, race, color, or
creed in its employment practices related to Gaming.

ENFORCEMENT

Jurisdiction. Except as provided in this Code or the Compact, the Tribal

Commission and Tribal Court shall have jurisdiction over all violations of this

Code.

Prohibited Acts. In addition to other civil and criminal offenses provided for in

this Code, the following acts are prohibited by any Person and subject any

violator to the civil or criminal penalties specified herein:

8.2.1 Participating in any Gaming, which is not authorized by this Code.

8.2.2 Knowingly making a false statement in connection with any Contract to
participate in any Gaming Activity.

8.2.3 Attempting to bribe any Person participating in any Gaming Activity.

8.2.4 Offering or accepting a loan, financing or other thing of value between a
Tribal Commission member or employee and any Person participating in
any Gaming Activity.

8.2.5 Promoting or participating in any illegal Gaming Activity.

8.2.6 Failing to keep sufficient books and records to substantiate receipts,
disbursements and expenses incurred or paid from any Gaming Activity

authorized pursuant to this Code.

8.2.7 Falsifying any books or records that relate to any transaction connected
with any Gaming Activity pursuant to this Code.

8.2.8 Conducting or participating in any Gaming Activity, which results in
Cheating.

8.2.9 Allowing participation in Gaming Activity by or with an intoxicated or
disorderly Player.

40


CERTIFICATION

We, hereby certify that the Tribal Gaming Ordinance, comprised of Titles I through VI as
previously adopted by the Susanville Indian Rancheria Tribal Business Council. is hereby
amended as set forth above. The Tribal Gaming Ordinance, as amended, was approved at
a duly called meeting of the Tribal Business Council held on September 2, 2008 with a
vote of 7 for, 0 against, 0 abstain.

ATTEST:
Mr. Aaron Dixon_7 Mr. StacyDixon
Secretary/Treasurer Tribal Chairman

71


E32

1.3.5

and only for the following purposes:

(1) To fund the Tribe’s government operations or programs.
(2) To provide for the general welfare of the Tribe and its members.

(3) To promote Tribal economic development.
(4) To donate to charitable organizations.

(5) To help to fund operations of local government agencies, general
governmental services, the maintenance of peace and good order,
the establishment of educational systems and programs, and the
promotion and regulation of economic activities within the
sovereign jurisdiction of the Tribe.

Tribal Gaming Policy The establishment, promotion and operation of
Gaming is necessary, provided that such Gaming is regulated and
controlled by the Tribe pursuant to the Compact authorized by the Indian
Gaming Regulatory Act, and that the revenues of such Gaming are used
exclusively for the benefit of the Tribe.

Tribal Ownership of Gaming Facility The Tribe shall have sole
proprietary interest in and responsibility for the conduct of Gaming
Facilities and/or Enterprises authorized by this Code.

Tribal Class Il Gaming Authorized Class II Gaming is authorized as
defined in the IGRA, P.L. 100-447, 25 U.S.C. Section 2703(7)(A) and by
regulations promulgated by the NIGC.

Tribal Class II] Gaming Authorized Class III Gaming is authorized and
permitted only to the games identified pursuant to Section 4.1 of the
Compact as approved by the Secretary of the Interior, and played in
accordance within the definitions and scope of the IGRA, P.L. 100-447,
25 U.S.C. Section 2703(8) and by regulations promulgated by the NIGC.

SECTION 2. DEFINITIONS

In this Code, except where otherwise specifically provided or the context otherwise
requires, the following terms and expressions shall have the following meanings:

21

“Adjusted Gross Revenues” means gross revenues less all cash prizes or the

aggregate price of merchandise prizes, except in the case of the games of draw
poker and stud poker. Regarding games of draw poker and stud poker, "adjusted
gross revenues" means the time buy-ins or tournament fees collected by the

Licensee.

w


(11) | The Licensee has been convicted of, or entered a plea of nolo
contendere to, a crime involving the sale of illegal narcotics or
controlled substances:


4.17.8

4.17.9

4.17.10

4.17.11

4.17.12

4.17.13

4.17.14

41715

4.17.16

of Tribal Gaming staff, Federal and local law enforcement officials,
legal counsel and other third parties.

To arrange for training of Tribal Commission members and employees
in areas relating to the regulation or operation of Gaming.

Upon prior explicit resolution and approval of the Business Council, to
employ such advisors as it may deem necessary. Advisors may include,
but are not limited to, lawyers, accountants, law enforcement specialists
and Gaming professionals.

To promulgate rules and regulations, which implement and further the
provisions of this Code: provided such rules and/or regulations are
approved by Business Council resolution or ordinance.

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

To consult with and make recommendations to the Business Council
regarding changes in Tribal Gaming laws and policies.

To examine under oath, either orally or in writing, in hearings or
otherwise any Person or agent, officer or employee of any Person, or any
other witness with respect to any matters related to this Code, including
enforcement of Tribal Gaming laws, regulations, and policies, and to
compel by subpoena the attendance of witnesses and the production of
any books, records, and papers with respect thereto.

To make, or cause to be made by its agents or employees, an
examination or investigation of the place of business, equipment,
facilities, tangible Personal property and the books, records, papers,
vouchers, accounts, documents and financial statements of any Gaming
operating, or suspected to be operating, within the jurisdiction of the
Tribe.

To delegate to an individual member of the Tribal Commission, or to an
individual member of the Business Council, or Tribal staff, such of its
functions as may be necessary to administer these ordinances efficiently;
provided, that the Tribal Commission may not re-delegate its power to
exercise any of the substantial governmental functions of the Tribe or its
power to promulgate rules and regulations; and provided further that the
Tribal Commission may not delegate to any Person the power to
permanently revoke a License.

To issue fines and sanctions to the Gaming Facility if it is operating in
violation of this Code, and report significant violations of the Compact
to the State Gaming Agency.


2701 et seq. The purpose of the requested information is to
determine the eligibility of individuals to be employed in a
gaming operation. The information will be used by
National Indian Gaming Commission members and staff
who have need for the information in the performance of
their official duties. The information may be disclosed to
appropriate Federal, Tribal, State, local, or foreign law
enforcement and regulatory agencies when relevant to civil,
criminal or regulatory investigations or prosecutions or
when pursuant to a requirement by a tribe or the National
Indian Gaming Commission in connection with the hiring
or firing of an employee, the issuance or revocation of a
gaming license, or investigation of activities while
associated with a tribe or a gaming operation. Failure to
consent to the disclosures indicated in this notice will result
in a tribe’s being unable to hire you in a primary
management official or key employee position. The
disclosure of your Social Security Number (SSN) is
voluntary. However, failure to supply a SSN my result in
errors in processing your application.

$2.22. False Statement
A false statement on any part of your application may be
grounds for not hiring you, or for firing you after you begin
work. Also, you may be punished by fine or imprisonment
(U.S. Code, title 18, section 1001).

Submission to State Gaming Agency The Applicant shall also submit an
application for a Determination of Suitability along with required releases
to the State Gaming Agency.

Application Contents At a minimum, and whether the information is
relevant for the type of License applied for, the Application shall contain
the following information:

(1) The full name (and other names ever used), address, telephone
number, age, birth date and place, citizenship, gender, and social
security number or business identification number of the
Applicant.

(2) If the Applicant has resided at his current address for less than five
(5) years, his previous address: and if the Applicant has been
issued more than one (1) driver’s license number within the last
five (5) years, each driver’s license number.


4.18

4.19

4.17.29

4.17.30

4.17.31

4.17.32

4.17.33

4.17.34

4.17.35

4.17.36

To discipline any Licensee or Person participating in Gaming by
ordering immediate compliance with this Code, and to issue an order of
temporary suspension of any License issued under this Code pursuant to
the hearings and due process required by Section 4.23 and 4.24 herein.

To issue an order of temporary closure of a Gaming Facility in the event
the Tribal Commission determines that immediate closure is necessary
to protect assets or interests of the Tribe pursuant to the due process and
hearings required by Section 4.23 and 4.24 herein.

To become self-regulating whenever the Tribe becomes eligible for a
certificate of self-regulation under the IGRA.

To file with the State Gaming Agency a request to be heard on any
denial of a Determination of Suitability.

To ask for the assistance of the State Gaming Agency to carry out the
Class III provisions of this Code and to reimburse the State Gaming
Agency for any costs that it occurs in the provision of this service.

To assist Management in taking all steps necessary and appropriate to
insure the physical safety of all Tribal Gaming Enterprises, their
Licensees, patrons and employees.

Notwithstanding any authority granted herein, the Tribal Commission
shall endeavor to follow rules, regulations, standards, specification and
procedures which are consistent with the State Gaming Agency’s rules,
regulations, standards, specifications and procedures adopted pursuant to
Sections 6.0- 8.0 of the Compact.

To enact and adhere to its own internal controls including a Conflict of
Interest Policy governing Tribal Commissioners and Tribal Gaming
Commission staff.

Annual Budget. The Tribal Commission shall prepare an annual operating
budget for all Tribal Commission activities and present it to the Business Council
by October 15 of each year.

Tribal Commission Regulations.

4.19.1 Tribal Commission regulations necessary to carry out the orderly E
performance of its duties and powers shall include, but shall not be limited
to, the following:

(1) The Minimum Internal Control Standards (“MICS”) as issued by

the NIGC;


5.13

S122)

Procedure for Suspension

(1) Upon reasonable cause that a violation of the Code has occurred, the
Tribal Commission or its designee may either undertake an
investigation of the Licensee, or serve upon such Licensee an order to
show cause why the Licensee’s License should not be revoked, or why
the Licensee should not be enjoined from conducting Gaming.

(2) Additionally, if the NIGC notifies the Tribe that it has received reliable
information indicating that a key employee or primary management
official is not eligible for employment under 25 C.F.R. §558.2, the
Tribal Commission or its designee shall suspend such license and
notify the licensee in writing that his/her license has been suspended
and may be revoked.

(3) Such notice shall state the reason for the suspension and/or order, and
the time and place for the hearing before the Tribal Commission
pursuant to Section 4.23 herein.

(4) The Licensee shall have an opportunity to present testimony and cross-
examine opposing witnesses, and to present any other evidence as to
why a revocation order or injunction should not be issued.

(5) The hearing shall be set for not less than two (2) days or more than
seven (7) days from the date of the notice. The hearing shall be
governed in all respects in accordance with Tribal law and Tribal
Commission regulations. Any suspension decision of the Tribal
Commission after hearing may be reviewed pursuant to Section 4.23.

(6) The Tribal Commission shall notify NIGC of its decision.

Enterprise License. The Gaming Enterprise authorized by the Compact and this
Code shall be licensed by the Tribal Commission. The Tribal Commission shall
automatically issue a License if the following threshold criteria are met:

513.1

$13.2

The Gaming is located on lands taken into trust after October 17, 1988, as
a settlement of a claim.

The Gaming is authorized pursuant to this Code, the Compact and the
IGRA.

The Gaming is authorized by a Business Council resolution.
The Tribe has the sole proprietary interest and the Management Contract

is consistent with Tribal and Federal law and is properly approved by the
Chairman of the NIGC.

34


4.11

4.12

4.13

4.10.4 Date of Appointment The Business Council shall appoint Tribal
Commissioners at their August Meeting.

4.10.5 Background Check Prior to the time that any Tribal Commission member
takes office on the Tribal Commission, the Tribe shall perform or arrange
to have performed a comprehensive background check on each
prospective member. No Person shall serve as a Commissioner if:

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

(i) Pose a threat to the public interest; or
(ii) _ Threaten the effective regulation and control of Gaming; or

(iii) Enhance the dangers of unsuitable, unfair, or illegal
practices, methods, or activities in the conduct of Gaming:
or

(2) He/She has been convicted of or entered a plea of nolo contendere
toa felony of any jurisdiction or to a misdemeanor involving
dishonesty or moral turpitude in any jurisdiction; or

(3) He/She has a direct monetary or financial interest in the conduct of
any Gaming Enterprise or is in privity with a Management
Contractor; or

Term of Office. The first Tribal Commission shall be appointed as follows: the
Chairman shall be appointed for three (3) years; a Tribal Commissioner appointed
for two (2) years; and a Tribal Commissioner appointed for one (1) year. Upon
the expiration of the first terms, each Tribal Commissioner thereafter shall be
appointed for three (3) year staggered terms.

Ex-Officio Members. At the direction of the Business Council, any member of
the General Council, Tribal or Bureau of Indian Affairs employee, or any other
Person may be designated to Participate, without vote, in Tribal Commission
meetings.

Meetings.
4.13.1 Regular Meetings The Tribal Commission shall meet formally at least

every other week.. Nothing in this Code shall prohibit the Commission
from authorizing telephone and off-site meetings.


15.1.5 A description of the mitigation measures required.

15.1.6 The address where a copy of the final Environmental Report can be
examined.

60


2.40

2.41

2.42

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

2.39.2 Lands title to which is either held in trust by the United States for the
benefit of the Tribe or individual Indian or held by the Tribe subject to
restriction by the United States against alienation and over which the Tribe
exercises governmental powers; and

2.39.3 Lands that may be acquired by the Tribe that meet the requirements of 25
U.S.C. Section 2719 et. seq.

"In privity with" means a relationship involving one who acts jointly with
another or as an accessory before the fact to an act committed by the other or as a
co-conspirator with the other.
"IRS" means the United States Internal Revenue Service.
"Key Employee" means:
2.42.1 A Person who performs one or more of the following functions:

(1) Bingo caller;

(2) Counting room supervisor and Personnel;

(3) Chief of security, or any Person who supervises or directs other
employees engaged in providing security or surveillance services;

(4) Custodian of Gaming supplies or cash;

(5) Floor manager; manager or General Manager;
(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit or whose recommendation in this regard are
ordinarily sought or followed; or

(10) Custodian of gambling devices including Persons with access to
cash and accounting records within such devices;

2.42.2 If not otherwise included, any other Person whose total cash compensation
is in excess of $50,000 per year: or


ie)

5.10

5.8.4.3.3. The conditional licensee shall report any arrest, citation,
charge, or conviction of any misdemeanor, or felony
offense, in any jurisdiction, within five (5) days of the
related incident. Failure by the conditional licensee to
notify the Tribal Commission of any, misdemeanor or
felony, arrest, citation, charge, or conviction in any
jurisdiction, within five (5) days of the related incident
shall be grounds for immediate license revocation;

5.8.4.3.4 The conditional licensee shall not appear at the Casino,
either on duty or off, while intoxicated. Such
appearance shall be grounds for immediate license
revocation;

5.8.4.3.5 The conditional licensee shall not test positive for the
use of drugs or alcohol in any required random
employee drug and alcohol testing program established
by the tribal gaming facility. Any such positive test
result shall be grounds for immediate license
revocation;

5.8.4.3.6 The conditional licensee shall adhere to all policies and
procedures of the gaming facility, and any violation of
gaming facility policies or procedures shall be grounds
for immediate license revocation;

5.8.4.3.7. The conditional licensee shall satisfy any tax liens, civil
judgments, court ordered child support or other
financial obligations within a prescribed time limit.
Failure to satisfy such financial obligations shall be
grounds for immediate license revocation.

License Denial. Any Application for a License shall be denied if the Tribal
Commission, after an adequate review, determines the Application is incomplete
or deficient, or that the employment of the Applicant poses a threat to the public
interest or the effective regulation of gaming, or creates or enhances the danger of
unsuitable, unfair or illegal practices and methods and activities in the conduct of
gaming,. If the foregoing determinations about the Applicant are made, no
management contractor or Tribal gaming operation shall employ the Applicant.

Renewals. A Licensee shall petition to have the License renewed by applying to
the Tribal Commission for a renewal before the License expires. Applicants may
be required to provide updated material as requested.

Requirement to Produce Identification Card Upon Request. Licensees must


TITLE Vil

ADOPTION OF THE UNIFORM BUILDING CODE, UNIFORM
MECHANICAL CODE, UNIFORM PLUMBING CODE,
NATIONAL ELECTRICAL CODE AND OTHER RELEVANT
FEDERAL BUILDING AND CONSTRUCTION STANDARDS

The adoption of 24 C.F.R. part 200.925¢ -- Model Codes, including the Uniform Building Code,
Uniform Mechanical Code, Uniform Plumbing Code, National Electrical Code and others,
together will serve to regulate the operational safety and inspection of all relevant building and
construction activities conducted on tribal lands.

SECTION 1. ADOPTION BY REFERENCE

a1

Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA (*Tribe”

or “Tribal”) finds that:

Tet

A certain document, three copies of which are on file in the office of the
Tribal Secretary, being marked and designated as 5 U.S.C. 552(a) and 1
CFR part 51 is hereby adopted as the Tribal Uniform Building Code,
Tribal Uniform Mechanical Code, Tribal Uniform Plumbing Code, Tribal
Electrical Code and Tribal Building and Construction Standards, for
regulating the construction of buildings on tribal lands. The
aforementioned documents are:

(A) Model Building Codes—

(i)

(ii)

The BOCA National Building Code, 1993 Edition, The
BOCA National Plumbing Code, 1993 Edition, and the
BOCA National Mechanical Code, 1993 Edition,
excluding Chapter I, Administration, for the Building,
Plumbing and Mechanical Codes and the references to
fire retardant treated wood and a distance of 4 feet
(1219 mm) from the wall in exception number 1 of
paragraph 705.6 and 707.5.2 number 2 (Chapter 7) of
the Building Code, but including the Appendices of the
Code. Available from Building Officials and Code
Administrators International, Inc., 4051 West
Flossmoor Road, Country Club Hills, Illinois 60478.

Standard Building Code, 1991 Edition, including
1992/1993 revisions. Standard Plumbing Code, 1991
Edition, Standard Mechanical Code, 1991 Edition,
including 1992 revisions, and Standard Gas Code, 1991

67


12

1.3

jal)

(ii) Those provisions of the model codes that establish
energy requirements for multifamily or care-type
structures; and

(iii) Those provisions of the model codes that require or
allow the issuance of permits of any sort.

Where the model codes set forth in paragraph 1.1.1 (A) of his section
designate a building, fire, mechanical, plumbing or other official, the
Secretary's designee in the HUD Field Office serving the jurisdiction in
which the property is to be constructed shall act as such official.

Designation of Model Codes. When a multifamily or care-type property is
to comply with a model code, it shall comply with one of the model codes
designated in paragraphs 1.1.3 (A-C) of this section, and with any other
code or codes identified in the same paragraph. However, seismic design
is a mandatory requirement. In addition, the property shall comply with all
of the standards that are incorporated into the code or codes by reference.
By the time of application for insurance or other benefits, the developer or
other interested party shall notify the Department of the code or group of
codes to which the developer intends to comply.

(A) | The BOCA National Building Code, The BOCA National
Plumbing and The BOCA National Mechanical Code, 1993
Editions.

(B) Standard Building Code, Standard Plumbing Code, Standard
Mechanical Code and Standard Gas Code, 1991 Editions,
including the revisions specified in paragraph 1.1.1 (A)(ii) of this
section, and the National Electrical Code, 1993 Edition.

(C) Uniform Building Code, Uniform Plumbing Code and Uniform
Mechanical Code. 1991 Editions, including the 1993 Accumulative
Supplements to the Building and Mechanical Codes, and the 1992
Code Changes to the Uniform Plumbing Code, and the National
Electrical Code, NFPA 70, 1993 Edition.

(D) The National Electrical Code, NFPA 70, 1993 Edition.

Inconsistent Codes Repealed. All articles, titles, chapters, or other codes or

portion

s thereof, in conflict herewith are hereby repealed in that respect only.

Certification of Adoption and Publishing. The Tribal Secretary shall certify the
adoption of this Tribal Ordinance and cause the same to be published as required

by law.

69


1.4

Effective Date. This Tribal Ordinance and the rules, regulations, provisions,
requirements, orders, and matters established and adopted hereby shall take effect
and be in full force and effect from and after the date of its final passage and
approval.

70


5.4

Bee

5.3.4

5.3.6

The Tribal Commission shall review diligently, the information provided
in the Tribal Gaming License Application, including, but not limited to,
contacting and investigating all resources identified in the Tribal Gaming
License Application. An authorized Tribal official, identified by the
Tribal Commission, shall review an Applicant’s prior activities, criminal
record (if any), reputation, habits. and associations in order to make an
eligibility determination for key employees and primary management
officials.

The Tribal Commission shall provide a written report as to findings and
conclusions of the foregoing background investigation, including, but not
limited to:

5.3.3.1 Steps taken in conducting diligence.

5.3.3.2 Results of the conducted diligence.

5.3.3.3 Conclusions from review of conducted diligence.

5.3.3.4 The basis for those conclusions.

The Tribal Commission shall transmit the Applicant’s Application, file,
and eligibility determination report to the NIGC and the State Gaming
Agency.

The Tribal Commission shall maintain the Applicant's file, including
applications, background investigation reports, and eligibility
determination reports, for inspection by the NIGC for no less than three
(3) years from the date of termination of employment.

The Tribal Commission, when it does not license an Applicant, shall

notify the NIGC and forward copies of the Tribal Commission’s eligibility
determination report and the investigative report (if any).

Authorized Entity for Fingerprint Cards. The Tribal Commission may enter
into an agreement with the Lassen County Sheriff's Office to receive and process
fingerprint cards for background investigation purposes. Such background
investigation shall, at a minimum, include a check of State and local criminal
history records as well as records maintained by the Federal Bureau of
Investigation. The Tribal Commission may also designate the NIGC as its
authorized entity for receiving and processing fingerprint cards for background
investigation purposes, so long as such background investigation, at a minimum,
includes a check of criminal history records information maintained by the
Federal Bureau of Investigation.


2.14

2.15

2.16

247,

2.18

2.19

2.20

22)

2.22

2.23

2.24

“Class II] Gaming” means those Gaming activities as defined as Class III
Gaming in the IGRA of 1988, P.L. 100-447, 25 U.S.C. Section 2703(8).

“Code” means this Tribal Gaming ordinance of the Susanville Indian Rancheria
California, as may be amended from time to time.

“Compact” means the Gaming compact between the Tribe and the State, as
authorized by the Indian Gaming Regulatory Act.

“Compensation” means all wages salaries, perks, bonuses and all other forms of
enumeration for services rendered.

“Contract” means any legally binding agreement made between a Licensee and
another Person for the purpose of conducting any form of lawful Gaming
Activity, or providing goods or services to any lawful Gaming Activity or
operation.

“Council” or “General Council” means the governing body of the Tribe.

“Determination of Suitability” means a formal finding by the Tribal
Commission or State Gaming Agency that the Applicant or Licensee is suitable to
obtain and/or maintain the License.

“Enrolled Tribal Member” means a Person who is enrolled with the Tribe, and
whose name appears on the tribal membership roll.

“Enterprise” means the economic entity that is licensed by the Tribal
Commission, operates the games, receives the revenues, issues the prizes, and
pays the expenses. A gaming enterprise may be operated by the Tribe or a
Management Contractor.

“Equipment for Games of Chance” (see “Gaming Device”).

“Exclusive License” means a license, which precludes the Tribal Commission
from issuing to another a license for the same specific form of Gaming during the
life of the exclusive license. An Applicant must demonstrate and the Tribal
Commission must find that the issuance of an Exclusive License is in the
economic interest and welfare of the Tribe.


2.2

2.3

2.4

2.6

27,

2.8

2.9

2.10

2.11

2.12

2.13

“Applicant” means any Person or entity who has applied for a License under the
ppl PI
provisions of this Code.

“Application” means a request for the issuance of a License for employment by a
Gaming Facility, or for approval of any act or transaction for which approval is
required or permitted under the provisions of this Code.

“Association” means representatives from California tribes, the California State
Bureau of Gaming Control and the California Gambling Control Commission as
established pursuant to Section 2.2 of the Compact.

"Bingo" means the game of chance commonly known as bingo (whether or not
electronic, computer or other technologic aids are used in connection therewith)
which is played for prizes, including monetary prizes, with cards bearing numbers
or other designations, in which the holder of each card covers such numbers or
designations when objects, similarly numbered or designated, are drawn or
electronically determined, and in which the game is won by the first Person
covering a previously designated arrangement of numbers or designations on such
cards, including (if played in the same location) pull-tabs, lotto, punch boards, tip-
jars, instant bingo and other games similar to bingo.

“Breakage” means the remainder by which the amount payable on each dollar
wagered exceeds a multiple of ten cents, and in a minus pool, five cents.

“Business Council” means the Elected Officials of the General Council pursuant
to the Susanville Indian Rancheria California Tribal Constitution.

“Capital Cost” means any disbursement for Personal property, the useful life of
which is expected to extend beyond one year.

“Cash” means any currency commonly accepted as legal tender, including but
not limited to currency, traveler’s checks, credit cards, and electronic debit cards.

“Casino” means an establishment in which several Gaming activities or
enterprises are operated.

“Charitable Gaming Ticket” means any game piece used in the play of a paper
pull tab game, or jar ticket game, or raffle.

“Cheating” means a Person’s operating or playing in any game in a manner in
violation of the written or commonly understood rules of the game, with the intent
to create for himself or someone in privity with him an advantage over and above
the chance of the game.

“Class If Gaming” means those Gaming activities as defined as Class II Gaming
in the IGRA of 1988, P.L. 100-447, 25 U.S.C. Section 2703(7).


4.14

4.15

4.13.2

4.13.3

4.13.4

Special Meetings Special meetings may be called at the request of the
Business Council or the Chairman of the Tribal Commission.

Quorum A quorum for all meetings shall consist of three (3) members.

Voting All questions arising in connection with the action of the Tribal
Commission shall be decided by majority vote.

Compensation of Commissioners. The compensation of Commissioners shall
be established by the Business Council.

Removal of Members or Vacancies.

4.15.1

4.15.2

4.15.3

4.15.4

4.15.5

4.15.6

Removal A Tribal Commissioner may be removed by the Business
Council for the following reasons: serious inefficiency, neglect of duty,
malfeasance, misfeasance, nonfeasance, misconduct in office, or for any
conduct which threatens the honesty and integrity of the Tribal
Commission or otherwise violates the letter or intent of this Code.

Due Process Except as provided below, no Tribal Commissioner may be
removed without notice and an opportunity for a hearing before the
Business Council, and then only after the Tribal Commissioner has been
given written notice of the specific charges at least ten (10) days prior to
such hearing. At any such hearing, the Tribal Commissioner shall have
the opportunity to be heard in Person or by counsel and to present
witnesses on his behalf.

Temporary Suspension If the Business Council or Gaming Commission
determines that immediate suspension of a Tribal Commissioner is
necessary to protect the interests of the Tribe, the Business Council may
hold a hearing with the Tribal Commissioner to suspend the Tribal
Commissioner temporarily, and the question of permanent removal shall
be determined thereafter pursuant to Tribal Commission hearing
procedures pursuant to 4.15.2 herein.

Written Record A written record of all removal proceedings together with
the charges and findings thereon shall be kept by the Tribal Secretary.
Removal Final The decision of the Business Council upon the removal of
a Tribal Commissioner shall be final.

Vacancies If any Tribal Commissioner shall die, resign, be removed or for
any reason be unable to serve as a Tribal Commissioner, the Business
Council shall declare his/her position vacant and shall appoint another
Person to fill the position within thirty (30) days of the vacancy. The
terms of office of each Person appointed to replace an initial Tribal
Commissioner shall be for the balance of any un-expired term for such


2.31

2.32

2.33

2.34

2.35

2.36

2.37

2.38

2.39

"Gaming Program" means any Tribal program, which oversees one or more
parts of the operation of Gaming. The Gaming Program must be licensed by the
Tribal Commission.

"Gaming Resources" means any goods or services provided or used in
connection with Class III Gaming Activities, whether exclusively or otherwise,
including, but not limited to, equipment, furniture, gambling devices and ancillary
equipment, implements of gaming activities such as playing cards and dice,
furniture designed primarily for Class III gaming activities, maintenance or
security equipment and services, and Class III gaming consulting services.
"Gaming Resources" does not include professional accounting and legal services.

“Gaming Resource Supplier” means any person or entity who, directly or
indirectly, manufactures, distributes, supplies, vends, leases or otherwise purveys
Class II Gaming or Class III Gaming resources to the Gaming Facility, provided
that the Tribal Commission may interpret this definition to exclude a purveyor of
equipment or furniture that is not specifically designed for, and is distributed
generally for use other than in connection of Gaming. Gaming Resource
Suppliers must be licensed.

“General Manager” means the Person or entity, which has management
responsibilities for the Gaming Activity, and which shall have access to all areas
of the Gaming Facility., provided that such access to the surveillance room and
count room shall be by prior notice to the Tribal Commission, Tribal Commission
staff or designated representative.

"Gross Revenues" means all gaming and non-gaming revenues collected or
received from the lawful Gaming Enterprise.

"Identification Card" means the Identification Card approved by the Tribal
Commission and worn by a Licensee for purposes of identifying the Licensee.

"Immediate Family" means, with respect to the Person under consideration, a
husband, wife, father. mother, son, daughter, brother, sister, father-in-law,
mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law,
stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother
or half sister, and those residing in the home.

"Indian Gaming Regulatory Act" or "IGRA" means Public Law 100-497, 102
Stat. 2426, 25 U.S.C. §§2701, et seg. (1988), as amended.

“Indian Lands” means:

2.39.1 Lands within the limits of the Tribe’s exterior boundaries, whereby it
exercises sovereign jurisdiction over such lands, notwithstanding the


4.22

4.23

Reserved.

Due Process; Notice; Hearings; Examiner. The Tribal Commission shall
provide due process and provide notice and a hearing if it is to utilize any of its
enforcement capabilities in the administration of its powers and duties hereunder.

4.23.1

4.23.2

4.23.3

4.23.4

4.23.5

4.23.6

4.23.7

No Hearing. Voluntary Resolution Whenever it shall appear to the
satisfaction of the Tribal Commission that all of the interested parties
involved in any proposed hearing have agreed concerning the matter at
hand, the Tribal Commission may dismiss the issue without a hearing.

Notice of Hearing The Tribal Commission shall, within five (5) days after
the event giving rise to the concern, provide a written notice setting forth,
with specificity, the issues to be resolved.

Hearing The Tribal Commission shall, within five (5) days after the
notice of hearing pursuant to 4.23.2, provide the affected parties the right
to present oral or written testimony to all people interested therein as
determined by the Tribal Commission.

Examiner The Tribal Commission shall act as examiner for the purpose of
holding any hearing, or the Tribal Commission may appoint a Person
qualified in the law or possessing knowledge or expertise in the subject
matter of the hearing to act as examiner for the purpose of holding any
hearing. Any such appointment shall constitute a delegation to such
examiner of the powers of the Tribal Commission under this Code with
respect to any such hearing.

Decision The Tribal Commission shall render a written decision upon the
conclusion of any hearing conducted pursuant to this Section. The
Commission will endeavor to deliver its written decision within thirty (30)
days, however additional time may be required as determined by the
Tribal Commission.

Appeals Request. Affected parties may appeal a Tribal Commission
determination by filing a written appeal request to the Tribal Business
Council within ten (10) days of receiving the Tribal Commission’s written
decision. A written appeal request must identify the basis for the appeal
and shall summarize a specific error or injustice which allegedly occurred
in the hearing process.

Appeals Procedure.
4.23.7.1 The Tribal Business Council may grant or deny the appeal

request in its discretion. If an appeal request granted, the
Tribal Business Council may choose to schedule a hearing,


ONAL 'No,

x y
3 3
“4, BS
Ye comm?
DEC - 8 2008

Stacy Dixon, Tribal Chairman
Susanville Indian Rancheria
745 Joaquin Street
Susanville, CA 96130

Re: Amended Gaming Ordinance

Dear Chairman Dixon:

This letter responds to your request to the National Indian Gaming Commission
(NIGC) to review and approve the tribal gaming ordinance of the Susanville Indian
Rancheria (Tribe). The Tribe forwarded the ordinance by the resolution adopted on
September 2, 2008, and the NIGC received the ordinance on September 15, 2008.

The ordinance is consistent with the requirements of the Indian Gaming
Regulatory Act (IGRA) and this agency’s regulations, and it is therefore approved. It is
important to note that the gaming ordinance is approved for gaming only on Indian lands,
as defined in the IGRA, over which the Tribe has jurisdiction. 25 U.S.C. § 2703(4); 25
CER. § 502:

Thank yo for your submission. If you have any questions or require assistance,
please contact Yohn Hay“fythe Office of the General Counsel, at 202-632-7003.

(ley Richard J. Armstrong, Rosette & Associates, PC

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.GOV

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


9.7.2. Each Management Contract shall be approved by the Business Council. In
making its selection, the Business Council shall review the following:

OFF.

(1)

(2)

(3)

(4)

(5)

Background information on the proposed Management Contractor
including: its name, its address, the names and addresses of each
Person or entity having a direct financial interest or management
responsibility for the proposed management contractor, and in the
case of a corporation the names and addresses of each member of
its board of directors and all stockholders who hold directly or
indirectly ten percent (10%) or more of its issued or outstanding
stock.

A description of any previous experience that each Person listed in
subsection above has had with other Gaming contracts with Indian
Tribes or with the Gaming industry generally, including the name
and address of any tribal government or licensing agency with
which such Person has had a contract relating to Gaming.

A complete financial statement of each Person listed in subsection
9.7.2(1).

The Business Council shall undertake any additional steps it can to
determine the character and reputation of each proposed
management contractor.

If the Business Council, after reviewing the above described
information, still desires to enter into a management contract with
the proposed management contractor, such management contract
shall be placed in writing and submitted to legal counsel for review
before the Business Council approves it.

Any Management Contract approved by the Business Council must
contain at a minimum the following with respect to the Gaming Enterprise
to which the contract is applicable:

Q)

(2)

G3)

A provision requiring a monthly financial accounting of the
Gaming Enterprise's income and expenses. Such reports shall be
prepared by an independent auditor who is mutually acceptable to
the Tribe and the Management Contractor.

A provision guaranteeing the Tribe a minimum guaranteed
payment that shall always take precedence over the Management
Contractor's right to recoup development and construction costs.
An agreed upon ceiling for the Management Contractor's

development and construction costs.

46


2.53

2.54

2.55

2.56

“Non-Gaming Employee” means an employee of the Gaming Facility who is not
otherwise classified as a Gaming Employee.

"Participate" in any Gaming means operating, directing, financing or in any way
assisting in the establishment of or operation of any class of Gaming or any site at
which such Gaming is being conducted, directly or indirectly, whether at the site
in Person or off the Reservation.

"Person" means any individual, partnership, joint venture, corporation, joint
stock company, company, firm, association, trust, estate, club, business trust,
municipal corporation, society, receiver, assignee, trustee in bankruptcy, political
entity and any owner, director, officer or employee of any such entity or any
group of individuals acting as a unit, whether mutual, cooperative, fraternal,
nonprofit, or otherwise, the government of the Tribe, any governmental entity of
the Tribe or any of the above listed forms of business entities that are wholly
owned or operated by the Tribe: provided, however, that the term does not include
the Federal Government and any agency thereof. The plural of "Person" is
"people."

"Player" means a Person participating in a game with the hope of winning
money or other benefit, but does not include a Licensee or any assistant of a
Licensee.
"Primary Management Official" means:
2.55.1 The Person having management responsibility for the overall operation of
the Enterprise or Facility, or a management contract; or
2.55.2 Any Person who has authority to:
(1) Hire and fire employees; or
(2) Set up working policy for the Gaming Operation; or

2.55.3 The Chief Financial Officer or other Person who has financial
management responsibility.

"Progressive Gaming" means any game in which a cash prize which, not being
won by any player during any game, is retained and further monetarily enhanced
by the Licensee or eligible organization, and offered as a prize to players in the
next game.


2.43

2.44

2.45

2.46

2.47

2.48

2.49

2.50

2.42.3 If not otherwise included, any other Person who supervises or directs other
employees engaged in the control of Gaming assets and revenues and
record keeping, including the recording of cash and evidences in
indebtedness, and the maintenance, review, or control of the records,
accounts, and reports of transactions; or

2.42.4 If not otherwise included, the four most highly compensated Persons in the
Gaming Facility; or

2.42.5 Any Applicant or Person the Tribal Commission finds is important or
necessary to the operation of the Gaming Facility.

"License" means the official, legal and revocable permission granted by the
Tribal Commission to an Applicant to conduct "Licensed" Gaming Activities of
the Tribe.

“Licensee” means the Employee, Key Employee, Primary Management Official,
Vendor, Enterprise or Facility that has legitimately obtained a valid License.

"Lotto" means a form of Gaming in which the revenues derived from the sale of
tickets or chances are pooled and those revenues or parts thereof allotted by
chance to one or more chance takers or ticket purchasers. The amount of cash
prizes or winnings is determined by the Licensee conducting the "lottery," and a
progressive pool is permitted.

“Management Contract” means any Contract for the management of Class II or
Class III Gaming within the meaning of IGRA and any Contract entered between
the Tribe and a Person, which authorizes the Person to manage any Gaming or
Gaming Facility, including any Contract defined as a Management Contract under
IGRA by the NIGC.

“Management Contractor” means any Person or entity that has entered into a
Class II or Class III Gaming Management Contract or is a Vendor who is
authorized to manage Gaming or Gaming Facility, including any Person who is
regarded as a Management Contractor within the meaning of IGRA or the NIGC.

"National Indian Gaming Commission" or “NIGC” means the National Indian
Gaming Commission established by the IGRA.

"Net Revenues" means Gross Revenues less amounts paid out as prizes and less
total Gaming related operating expenses, excluding Management Contractor fees.

“Net Win” means the “net win” as defined by the American Institute of Certified
Public Accountants.


SECTION 14. BUSINESS COUNCIL FINDINGS FOLLOW

(4) The address or addresses where copies of the final Environmental
Report can be viewed and/or obtained.

(5) All comment periods shall be for a minimum of 20 days.

A FINAL
ENVIRONMENTAL REPORT

After reviewing the public comments received on a final Business Council certified
Environmental Report, the Business Council shall issue one or more of the following
findings:

14.1

14.2

14.3

That changes and alterations have been required in or incorporated into the
Project which avoid or substantially lessen the significant environmental effect as
identified in the Environmental Report.

Such changes or alterations are within the responsibility or jurisdiction of an
entity other than the Tribe, and the Tribe recommends that they be made.

Specific economic, legal, social, technological or other considerations, including
provision of employment opportunities for highly trained workers, make
infeasible the mitigation measures or Project alternatives identified in the final
Environmental Report.

SECTION 15. NOTICE OF DETERMINATION

15.1

Upon final review and approval of the Project, the Business Council shall publish
a notice in a newspaper of general circulation, with the State clearinghouse Office
of Planning and Research, and with the Board of Supervisors and County Clerk of
the county in which the Project will be located, a notice of approval or rejection of
the Project. That notice shall contain at a minimum:

15.1.1 The name and description of the Project and its locations.

15.1.2 The date upon which the Business Council approved the Project.

15.1.3 The determination of the Business Council that the Project will or will not
have a significant effect on the off-reservation environment. If it will have
such an effect, this notice shall be accompanied by a statement of
overriding considerations which shall state that the Projects economic,
legal, social, technological or other benefits override the unavoidable

environmental risks associated with the Project.

15.1.4 A statement that the Environmental Report was prepared.

59


8.3

8.4

8.5

8.6

8.7

8.8

8.9

Criminal Violation. Any Indian who violates or fails to comply with any
provision of this Code, or who fails or neglects to comply with any order, decision
of the Tribal Commission, shall be charged and given due process pursuant to
Section 4.23 herein. If such Indian is found to be guilty of a crime, he may be
required to pay a fine not to exceed Five Thousand Dollars ($5,000) or be
incarcerated for not to exceed two (2) years. Each day during which any such
violation or failure to comply continues shall constitute a separate violation of this
Code.

Civil Violation. Any non-Indian who violates or fails to comply with any
provision of this Code, or who fails or neglects to comply with any final order of
the Tribal Commission, shall be charged and given due process pursuant to
Section 4.23 herein. If the non-Indian is found liable, he may pay a civil fine not
to exceed Five Thousand Dollars ($5,000) for each violation thereof. Each day
during which any such violation or failure to comply continues shall constitute a
separate violation of this Code. The amount of any such civil fine may be
recovered in a civil action in the Tribal Court.

Cumulative Fines. All civil fines accruing under this Code shall be cumulative
and a suit for the recovery of one fine shall not bar or affect the recovery of any
other fine, or judgment, penalty, forfeiture or damages, nor bar the power of the
Tribal Court to punish for contempt, nor bar any criminal prosecution against any
officer, director, agent, or employee of any Licensee, or any other Person.

Purpose of Civil Penalties. The civil fines imposed under this Code are intended
to be remedial and not punitive and are designed to compensate the Tribe for the
damage done to the peace, security, economy and general welfare of the Tribe and
the Reservation, and to compensate the Tribe for costs incurred by the Tribe in
enforcing this Code. The civil fines under this Code are also intended to coerce
all people into complying with this Code and Tribal Commission regulations and
not to punish such people for violation of such laws and regulations.

Civil Action for Penalties. In enforcing the civil infraction provisions of this
Code, the Tribal Commission shall proceed, in the name of the Tribe, against a
Person for violation of such provision by civil complaint in the Gaming Disputes
Court pursuant to the provisions of this Code. The Tribal Commission in such
action shall have the burden of showing, by the preponderance of the evidence,
that such Person violated the applicable provision of this Code.

Seizure and Forfeiture of Property. Property utilized in violation of this Code
shall be subject to seizure and forfeiture by order of the Tribal Commission
pursuant to such procedures and rules as the Tribal Commission shall promulgate.

Reporting of Offenders. The Tribal Commission, upon final conviction of any
Person under this subsection, shall report the name of the Person convicted to the
Business Council , State Gaming Board and NIGC.


5.8.2

If the NIGC objects to an Applicant, the Tribe shall reconsider the
Application, taking into account the reasons for the objections noted by
NIGC. However, the Tribe shall have the final word on whether to license
an Applicant. Nothing herein creates a property right in the License.

Term Any License issued pursuant to this section shall be effective for a
period of two (2) years from the date of issuance.

License Substance The License shall state on its face the name of the
Applicant, the Tribal Logo, the Licensee who employs him, and the
license number. It shall also include a photograph of Licensee.

Conditional license. The issuance of a conditional gaming license to a
person of marginal suitability shall require the applicant to sign a
conditional license agreement with the Tribal Commission.

5.8.4.1 A conditional license shall be valid for no longer than one (1) year
from the date of issue.

5.8.4.2 Every conditional license agreement shall include an express
waiver of all notice and hearing requirements normally associated
with the revocation and suspension of a license.

5.8.4.3 Every conditional licenses shall be tailored to the specific licensing
suitability deficiencies of an applicant and may include, but is not
limited to, the following sample conditions:

5.8.4.3.1 The conditional licensee shall enroll in and successful
complete an alcohol and/or drug treatment program
approved by the Tribal Commission within a prescribed
time period. Failure by the licensee to provide proof of
successful completion of a treatment program within
the time prescribed shall be grounds for immediate
license revocation;

5.8.4.3.2. The conditional licensee shall abide by all tribal,
federal, and state laws, rules and regulations; a
conviction of any type, in any jurisdiction while
holding a conditional gaming license shall be grounds
for immediate license revocation. A conditional license
may be summarily suspended pending the outcome of a
conditional licensee’s trial following the arrest or
citation of a conditional licensee, the indictment of a
conditional licensee, or the filing of charges by an
appropriate official in any jurisdiction against a
conditional licensee;

30


9.7.4

(4) A provision that the contract shall not exceed seven (7) years or
30% of Net Revenues.

(5) A provision for termination of the contract and the grounds for
termination.

If the Business Council is satisfied with the information it receives it shall
submit its proposed contract along with all of the above-described
information to the Tribal Commission, State Gaming Agency and to the
Chairman of the National Indian Gaming Commission for Licensure
approval.

SECTION 10. PROCEDURES FOR RESOLVING DISPUTES BETWEEN THE
GAMING PUBLIC AND GAMING MANAGEMENT

10.1

10.2

General Principles. The Tribe values its customers and intends, at all times, to
see that questions, concerns, issues, and/or disputes raised by the gaming public
are addressed in a fair and orderly manner. However, nothing in these procedures
shall be construed as a waiver of the Tribe’s sovereign immunity, or any of the
rights and privileges attendant thereto.

Initial Dispute Resolution Procedure.

10.2.1

10.2.2

10.2.3

Members of the gaming public who, in the course of their otherwise
lawful and proper use of the Tribe’s gaming facilities, have questions or
concerns about the condition or operation of any part of the gaming
facilities, or who otherwise believe themselves to be aggrieved by some
aspect of the condition or operation of any part of the gaming facilities,
shall direct their questions, concerns, or disputes (hereinafter collectively
“disputes”) in the first instance to gaming management at the gaming
facility, either orally or in writing.

Concerns or disputes shall be raised as soon as reasonably possible after
the events giving rise to the dispute occur; however, no dispute may be
raised more than 10 calendar days after said events take place.

Gaming management shall develop formal administrative procedures for
the processing of patron complaints and disputes, such procedures shall be
finalized only after Tribal Council review and approval. The final
procedures shall include the following minimum requirements.

qd) Upon learning about a dispute, gaming management shall

expediently and informally gather sufficient facts to make an initial
determination about the dispute (i.e. whether the dispute has any

47


5.6

5-7

5.8

Notification and MOU with NIGC. If the Tribal Commission chooses to utilize
the NIGC pursuant to Section 5.4 above, The Tribal Commission, with consent of
the Tribal Council, shall notify the NIGC of the forwarding of Tribal Gaming
License applications to NIGC. Before obtaining and processing fingerprint cards
for background investigation purposes, the Tribal Commission shall enter into a
Memorandum of Understanding (MOU) with the NIGC providing that any and all
criminal result obtained from the fingerprint cards for background investigation
purposes shall be viewed by Tribal government officials only.

Scope and Types of License.

5.6.1 Class “KG” License. A Class “KG” License is for Key Employees and
Primary Management Officials. A person maintaining a Class “KG”
license shall be able to perform job duties and responsibilities associated
with positions which require a Class KG, or NG License.

5.6.2 Class “NG” License. A Class “NG” License is for Non-Gaming
Employees. A person maintaining a Class “NG” license shall only be able
to perform job duties and responsibilities associated with positions which
require a Class NG License.

5.6.3. Class “FS” License. A Class “FS” License is for Financial Source
Providers.

5.6.4 Class “V” License. A Class “V” License is for Gaming Resource
Suppliers and other Vendors the Tribal Commission requires to be
licensed.

Temporary Licensing. Notwithstanding anything herein to the contrary, if the
Applicant has completed a License Application, the Tribal Commission may
immediately issue a temporary License if:

5.7.1 The Tribal Commission has conducted a preliminary, local, background
investigation; and

5.7.2 Based on the preliminary investigation, the information does not indicate
that the Applicant has a criminal history.

5.7.3. Temporary licenses may last no longer than 90 days.

License Issuance, Term and Substance.

5.8.1 Issuance Upon completion of the necessary background investigation, and
after the Tribe has complied with the Thirty (30) day NIGC review

requirements found in 25 C.F.R. §558.3 and §558.4, the Tribal
Commission may issue a License on a conditional or unconditional basis.


TITLE VI

ADOPTION OF FEDERAL SAFE DRINKING WATER
STANDARDS

The adoption of 40 C.F.R. part 141 — National Primary Drinking Water Regulations and part 142
~ National Primary Drinking Water Regulations Implementation, together will serve to regulate
the safety and inspection of ground and surface water aquifers and public drinking water systems
on tribal lands.

SECTION 1. ADOPTION BY REFERENCE

Ie Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA (“Tribe”
or “Tribal”) finds that:

1.1.1 A certain document, three copies of which are on file in the office of the
Tribal Secretary, being marked and designated as 40 C.F.R. part 141 —
National Primary Drinking Water Regulations and part 142 — National
Primary Drinking Water Regulations Implementation, published by the
U.S. Environmental Protection Agency, is hereby adopted as the Tribal
Safe Drinking Water Standards, for regulating the safety and inspection of
ground and surface water aquifers and public drinking water systems on
tribal lands.

1.2 Inconsistent Codes Repealed. All articles, titles, chapters, or other codes or
portions thereof, in conflict herewith are hereby repealed in that respect only.

1.3. Certification of Adoption and Publishing. The Tribal Secretary shall certify the
adoption of this Tribal Ordinance and cause the same to be published as required
by law.

1.4 Effective Date. This Tribal Ordinance and the rules, regulations, provisions,
requirements, orders, and matters established and adopted hereby shall take effect
and be in full force and effect from and after the date of its final passage and
approval.

66


2.26

2.27

2.28

2.29

2.30

“Financial Source” as that term is used in § 6.4.6 of the Compact, and in this
Code, means every Person, with whom the Tribe enters into an agreement or
contract for the purpose of extending financing to the Tribe, the proceeds of
which are used either directly or indirectly to finance the Gaming Facility or
Enterprise. For the purposes of this section, and § 5.1.3, the term “Contract”
means an agreement between the Tribe, or any Tribal subdivision, arm, or entity,
and another Person. Financial Sources must be licensed.

“Games of Chance” means any game or activity, which falls within the broad
definition of Gaming or Gaming Activity.

“Gaming” or “Gaming Activity” means any activity, operation or game of
chance in which any valuable consideration may be wagered upon the outcome
determined by chance, skill, speed, strength or endurance, and in which any
valuable prize is awarded to the player so wagering.

“Gaming Device” means a slot machine, including an electronic,
electromechanical, electrical, or video device that, for consideration permits:
individual play with or against that device or the participation in any electronic,
electromechanical, electrical, or video system to which that device is connected;
the playing of games thereon or therewith, including, but not limited to, the
playing of facsimiles of games of chance or skill; the possible delivery of, or
entitlement by the player to, a prize or something of value as a result of the
application of an element of chance: and a method for viewing the outcome, prize
won, and other information regarding the playing of games thereon or therewith.

“Gaming Employee” means any person who (a) operates, maintains, repairs,
assists in any Gaming Activity, works in, or is in any way responsible for
supervising such Gaming Activities or persons who conduct, operate, account for,
or supervise any such Gaming Activity, (b) is in a category under federal or Tribal
gaming law requiring licensing, (c) is an employee of the Tribal Gaming
Commission with access to confidential information, or (d) is a person whose
employment duties require or authorize access to areas of the Gaming Facility that
are not open to the public.

“Gaming Facility” or “Gaming Establishment” means any building in which
Class III Gaming Activities or Gaming operations occur, or in which the business
records, receipts, or other funds of the Gaming operation are maintained (but
excluding offsite facilities primarily dedicated to storage of those records, and
financial institutions), and all rooms, buildings, and areas, including hotels,
ancillary businesses, parking lots and walkways, a principal purpose of which is
to serve the activities of the Gaming operation, provided that nothing herein
prevents the conduct of Class II Gaming (as defined under IGRA) therein.


4.17.17

4.17.18

4.17.19

4.17.20

4.17.21

4.17.22

4.17.23

4.17.24

4.17.25

4.17.26

4.17.27

4.17.28

To sue or be sued in courts of competent jurisdiction within the United
States and Canada, subject to Sections 4.6 and 4.7 herein; provided, that
no suit shall be brought by the Tribal Commission without the prior
explicit written approval of the Business Council.

To use the seal of the Tribal Gaming Commission or the seal of the
Tribe with the approval of the Business Council.

To arbitrate, compromise, negotiate or settle any dispute to which it is a
party relating to the Tribal Commission's authorized activities.

To exercise the Tribal power to tax, authorized by the Tribal
Constitution in accordance with a Business Council resolution
delegating such power to the Tribal Commission solely for the purpose
of allowing it to charge administrative and License Application fees to
Gaming License Applicants which are reasonably related to the costs of
operating the Commission.

To purchase insurance from any stock or mutual company for any
property or against any risk or hazard.

With prior approval of the Business Council, to make application and
accept grants and other awards from private and governmental sources
in carrying out or furthering the purposes of the Tribal Commission or
the Tribe.

To establish and maintain such bank accounts as may be necessary or
convenient.

To require the filing of any records, forms, and reports and all other
information desired by the Business Council or required by this Code.

To provide for an internal system of record keeping with adequate
safeguards for preserving confidentiality as deemed necessary by the
Tribal Commission for retaining records, forms and reports at least three
(3) years.

To adopt a schedule of fees to be charged for Licenses.
To adopt a schedule of fees for services rendered relating to transcripts
and the furnishing or certifying of copies of proceedings, files, and

records.

To conduct or arrange for background investigations of all Applicants.


92

Contents of Notice. This notice required under Section 9.1 shall contain, at a
minimum:

9.2.1 Identification of the Project and a brief description of it.
9.2.2 The date on which the Business Council approved the Project.

9.2.3. A determination by the Business Council that the Project will not have a
significant effect on the off-reservation environment.

9.2.4 A statement that a FONSI has been prepared pursuant to this ordinance.

9.2.5 The address where a copy of the FONSI may be examined.

SECTION 10. DECISION TO PREPARE AN ENVIRONMENTAL REPORT

10.1

SECTION 11.

iP

11.2

An Environmental Report shall be prepared when the Business Council finds that
there is substantial evidence that the proposed Project will have a substantial
impact on the off-reservation environment.

DETERMINING THE SCOPE OF THE ENVIRONMENTAL REPORT

Consultation with State and Local Agencies. Before determining when to
commence an Environmental Report, the Business Council shall arrange for
consultation with state and local agencies, including the Board of Supervisors of
the county in which the Project will be located, that have an interest in the specific
environmental concerns raised by the Project and seek to have input on the nature
and scope of the Environmental Report. Nothing herein shall require the Business
Council to provide these agencies with more than 30 days to submit the
Environmental Report concerns.

Consultation with Other Persons or Organizations. Prior to completing the
Environmental Report, the Business Council may arrange for consultation with
any person or organization believed to be concerned with the off-reservation
environmental impact of the proposed Project. Any person may submit
information or comments to the Business Council to assist it in preparing and
evaluating the Environmental Report.

SECTION 12. CONDUCTING AND PREPARING THE ENVIRONMENTAL REPORT

12.1

The Business Council may arrange for the Environmental Report to be prepared
by its staff, enter a contract with a third party to prepare the study, accept an
Environmental Report prepared by the federal government or an Environmental

Ss?


TITLE V

ADOPTION OF THE FDA 1999 FOOD CODE FOR
A CLASS II GAMING FACILITY

The adoption of the 1999 edition of the "Food Code" regulating the retail sale, commercial and
institutional service, and vending of food; defining permit holder, person in charge, employee,
food, potentially hazardous food, food establishment, safe material, sanitation, and other terms;
and providing standards for employee food safety knowledge, health, and practices; food
sources, preparation, holding temperatures, and protection: equipment design, construction,
installation, cleaning, and sanitation: water, and liquid and solid wastes; facilities construction
and maintenance, and storage and use of poisonous and toxic materials: requiring a permit to
operate a food establishment; and providing for the restriction or exclusion of employees, the
examination and condemnation of food, and the enforcement of this code including the setting of
penalties.

SECTION 1. ADOPTION BY REFERENCE

1S Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA (“Tribe”
or “Tribal”) finds that:

1.1.1 A certain document, three copies of which are on file in the office of the
Tribal Secretary, being marked and designated as the Food Code, 1999
Recommendations of the United States Public Health Service/Food and
Drug Administration as published by the U.S. Department of Health and
Human Services, Public Health Service, Food and Drug Administration
be, and is hereby adopted as, the Food Code of the Tribe, located in the
State of California; for regulating the design, construction, management
and operation of food establishments, and providing for plans submission
and approval and the issuance of permits and collection of fees therefore.

1.2 Insertions and Changes. That the following provisions are hereby revised as
follows:

Paragraph 8-811.10(B) Insert (as provided by California law) Paragraph 8-
813.10(B) Insert (as provided by California law) Subparagraph 8-811.10(B)(2)
Insert (as provided by California law)

1.3. Inconsistent Codes Repealed. All articles, titles, chapters, or other codes or
portions thereof, in conflict herewith are hereby repealed in that respect only.

1.4 Certification of Adoption and Publishing. The Tribal Secretary shall certify the
adoption of this Tribal Ordinance and cause the same to be published as required
by law.


6.3

6.4

6.2.3

6.2.4

6.2.5

6.2.6

6.2.7

Revenues, expenses, assets, liabilities and equity for each location at
which Class II and Class II] Gaming is conducted.

Daily cash transactions for Gaming, including but not limited to
transactions relating to each Gaming table, game drop box and game room
bank.

All markers, IOU’s, returned checks, hold checks or other similar credit
instruments.

Individual and statistical game records to reflect statistical drop and
statistical win for electronic, computer, or other technologically assisted
games.

Contracts, correspondence and other transaction documents relating to all
Gaming Vendors.

Records of all customer complaints and Tribal Gaming enforcement
activities.

All gaming related audits prepared by or on behalf of the Tribe or one of
its subdivisions.

Audit Requirements.

The Enterprise shall provide a copy of an annual independent audit to the
Tribal Commission, the Business Council, the State Gaming Agency, and
the National Indian Gaming Commission.

Each contract between the Tribe and another Person for supplies, services
(other than legal and accounting services) or concessions for a contract
amount in excess of $25,000 annually shall be subject to an independent
audit. Such audit shall be solely limited to a monthly printout from the
accounts payable of the Gaming Operations of the checks rendered. A
copy of such audit will be provided to the Tribal Gaming Commission, the
Business Council, State Gaming Agency and the National Indian Gaming
Commission.

Notices to the Public.

6.4.1

6.4.2

The Gaming Facility shall have a copy of this Code readily available for
inspection by any Person at each Gaming Facility.

The Gaming Facility shall post in a conspicuous location near each game

an explanation of the rules of play of every game operated or shall
otherwise provide the public with such an explanation.

37


SECTION 7. GAMING ENTERPRISE RESTRICTIONS AND COMPLIANCE

7A

12

Ae

Number of Facilities.

7.1.1 The Tribe may establish and operate not more than two Gaming Facilities,
and only on those lands on which Gaming may lawfully be conducted
under IGRA.

7.1.2 The Tribe may combine and operate in each Gaming Facility any forms
and kinds of Gaming permitted under the Compact, IGRA and this Code.

Gaming Device Restrictions.

7.2.1 Number of Devices The Tribe may offer no more than Two Thousand
Gaming Devices combined for all Facilities.

7.2.2 Transferability of Devices The Gaming Enterprise, or any Licensee, is

prohibited from selling. renting or lending Gaming Devices to any Person
without prior written approval of the Tribal Commission.

7.2.3. Transportation of Devices Transportation of a Gaming Device to or from
the Gaming Facility within California is permissible only if:

(ql)

(2)

(4)

(5)

The Tribal Commission has issued a permit to transport the
Device; and

The Tribal Commission has provided at least ten (10) days notice
to the local County Sheriff; and

The final destination of the Device is a gaming facility of any tribe
in California with a Compact; or

The final destination is in a state or country whereby the Device is
otherwise legal; or

The final destination is located in California for the purpose of
testing, repair or storage by a Person that is licensed by the State
Gaming Agency.

Gaming Device Technical Standards. The technical standards for Gaming
Devices shall adhere to the Gaming Laboratories International, Incorporated

standards.


4.9

4.10

411

4.12

4.13

SECTION 5.

5.1

impacts that the Project would create. In deciding whether to approve a Project
that has negative off-reservation economic impact, the Tribe shall consider the
specific economic, environmental, legal social and technological factors involved.

Public Comment. The Tribe shall assure adequate opportunity and time for
public review and comment on all Environmental Assessments, an Environmental
Report, and a Finding of No Significant Impact, and it shall review, evaluate and
respond to comments received on each of these environmental studies.

Approving Projects. The Tribe may approve a Project which would cause
significant effect on the off-reservation environment if it finds that:

4.10.1 There is no feasible way to lesson or avoid the significant off-reservation
environmental impact.

4.10.2 The specifically identified expected benefits of the Project outweigh the
policy of reducing or avoid significant off-reservation environmental
impacts of the Project.

Assignment of Responsibilities. Where a Project is under the requirements of
the National Environmental Protection Act, the Business Council may delegate
the responsibilities assigned to it under this Code in whole or in part to the United
States government agency which is serving as the lead agency on the NEPA
review. Provided, however, that the Business Council asks that federal agency to
study and render findings on the off-reservation impact of the Project and perform
the local consultation required by this Code.

Time. The Tribe shall allow adequate time to review an Environmental
Assessment or ENVIRONMENTAL REPORT for completeness. Acceptance of
an Environmental Assessment or ENVIRONMENTAL REPORT as complete
shall not prohibit the Tribe from requiring additional information during its
review of the findings.

Consultation. The Tribe shall make an effort to consult with the planning and
design team on the potential off-reservation environmental impacts of any such
Project during the planning and design stage.

INITIAL ENVIRONMENTAL ASSESSMENT REQUIRED

Applicability. When the Tribe commences any expansion or significant
modification of an existing Tribal Gaming Facility or any significant excavation,
construction or development associated with a new or proposed Tribal Gaming
Facility, the Business Council shall require an initial Environmental Assessment
to determine if the Project may have a significant effect on the environment. This


(3)

(4)

(5)

(6)
©)

(8)

0)

(10)

al)

(12)

(3)

(14)

(15)

The name, address and telephone number of the Licensee for
whom he will work and the specific location at which he will be
employed. A description of the job, task, or service the Applicant
will provide.

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

The Applicant's criminal and civil record, if any, and an
explanation of any crimes for which he has been convicted or civil
suits he has lost, or to which he has entered a plea of nolo
contendere.

A disclosure of any judgment rendered against the Applicant.

The names, addresses and telephone numbers of three (3)
references who are not related to the Applicant, including one (1)
personal reference acquainted with the Applicant for the last five
years.

A list of the Applicant's previous jobs over the preceding five (5)
years and his present business affiliations.

The identity of any ownership interest in any past business
ventures.

The disclosure of whether there is a previous contractual
relationship with an Indian tribe.

A sworn statement whether the Applicant or any member of his/her
Immediate Family has a past or current financial interest in any
Gaming-related enterprise anywhere.

A list of all Gaming-related licenses the Applicant has ever applied
for, whether or not they were granted such license.

A list of all professional, occupational or business licenses the
Applicant has ever applied for, whether or not they were granted
such license.

A statement of all languages written or spoken.
Written permission giving the Tribal Commission, State Gaming

Agency and NIGC or its designees the right to the Applicant's
background, including his criminal record.


6.7

6.8

SECTION 7.

Archeological or Historical Resource. A Project which alters, in an advanced
manner, those physical characteristics of an Archeological or Historical Resource
(those listed in or eligible for listing in the California Register of Historical
Resources or which are otherwise of historical significance) shall require
mitigation.

Biological Species. A Project which endangers the overall health of a biological
species shall require mitigation.

FINDINGS OF NO SIGNIFICANT IMPACT (FONSI)

The Business Council shall issue a proposed FONSI when:

TA

12

13

SECTION 8.

8.1

8.2

8.3

8.4

8.5

SECTION 9.

9.1

It finds that in view of the entire records before it, including the Environmental
Assessment, there is no substantial evidence that the Project will have a
significant impact on the off-reservation environment.

The mitigation steps agreed to by the developer clearly mitigate the off-
reservation impacts to the point that no significant impacts would occur.

The Project, as modified, would have no significant impacts on the off-reservation
environment.

FONSI ELEMENTS

A brief description of the Project.

The Project’s location, preferably shown on a map.

A proposed finding that the Project will not have a significant effect on the off-
reservation equipment.

An attached copy of the Environmental Assessment.

A description of mitigation measures taken.

PROCEDURE FOR APPROVAL OF A FONSI

Notice. If the Business Council determines that it is prepared to approve a
FONSI, it shall prepare a notice which includes each of the following items and
forward that notice to the Clearinghouse of the State Office of Planning and
Research, the Board of Supervisors and the County Clerk of the county in which
the Project will be located.


Effective Date. This Tribal Ordinance and the rules, regulations, provisions,
requirements, orders, and matters established and adopted hereby shall take effect
and be in full force and effect for the period of 36 months from and after the date
of its final passage and approval.

65


1.2

et

housing, health care, nutrition, educational opportunities, preservation of
culture, social services and community and economic development.

1.1.6 Tribal operation and licensing of Gaming is a legitimate means of
generating revenue to address the aforementioned needs and pursuing the
Tribe’s goal of self-sufficiency and self-determination.

1.1.7 The State, in recognition of the Tribe’s sovereign right and need for
Gaming, has entered into a Tribal-State Compact (“Compact”) pursuant to
the terms and conditions of the Indian Gaming Regulatory Act.

1.1.8 Asa result of the foregoing, the adoption of a new and expanded Gaming,
Ordinance is in the best interest of the Tribe and State.

Intent. The General Council, on behalf of the Tribe, declares that the intent of
this Code is to:

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

1.2.2 State, declare and otherwise clarify that a License related to Gaming is a
revocable privilege, not a right.

1.2.3. Ensure that the operation of tribally regulated Gaming can continue as a
means of generating Tribal revenue.

1.2.4 Ensure that Gaming is conducted fairly and honestly by both Licensees
and players, and that it remains free from corrupt, incompetent,
unconscionable and dishonest practices.

1.2.5 Encourage Tribal economic development and employment opportunities.

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

1.2.7 Ensure that the Tribe provides a fair and impartial forum for the resolution
of Gaming disputes.

1.2.8 Ensure that Tribal Gaming laws are strictly and fairly enforced upon
Persons involved in Gaming Activity within the jurisdiction of the Tribe.

Policy.

1.3.1 Tribal Policy of Self-Government The Tribe is firmly committed to the
principle of Tribal self-government. Consistent with Federal policy,
Gaming revenues shall be utilized and expended by the Business Council
by resolution, with approval by the General Council through resolution,

is)


on

9.5.3 Copies A copy of all such audits shall be provided to the Tribal
Commission, the Business Council, State Gaming Agency and the NIGC.

Annual Reports from Management Contractor. Management Contractors
must file an annual report with the Tribal Commission and the Business Council
between the 15th and the last day of the 12th month duration of each such License
period. The report shall include, at a minimum, the following information:

9.6.1 The name, address and telephone number of the Licensee;

9.6.2 The names, addresses and titles of all of its current managers of the
Licensee;

9.6.3 A description of the Gaming operated and Gross Revenue:

9.6.4 The name and address of the Person who will be designated as Primary
Management Official, or new Key Employees over the next License Term;

9.6.5 Written proof that the Licensee has paid to the National Indian Gaming
Commission such fees as Federal and Tribal law may require it to pay:

9.6.6 A sworn statement that the Licensee has complied with the IRS including
written notice of customer winning:

9.6.7 The number of full-time equivalent people, on an annualized basis,
employed by the operation during the past twelve (12) months, together
with a projection of the number of full-time equivalent people who are
expected to be employed during the next license period:

9.6.8 A sworn statement that the Licensee will continue to comply with all
Tribal and Federal laws applicable to Gaming:

9.6.9 The name, address and signature of the agent who will accept service of
process on behalf of the Licensee, who must reside on the Reservation;
and

9.6.10 If the Licensee is a corporation, a copy of any amendment to its articles of
incorporation, properly certified by the incorporating government, unless a
current copy has already been filed with the Tribal Commission.

Management Contracts.

9.7.1 Each Management Contract is subject to the prior approval of the National
Indian Gaming Commission.

45


SECTION 9. GAMING MANAGEMENT

Oy

9.2

Management by a Management Contractor.

St

90-2

The Management Contractor, or if no Management Contractor the Tribe,
shall identify in writing a Person(s) who shall serve as General Manager of
the Gaming Enterprise. The General Manager appointed shall undergo a
background check by the Tribal Commission and shall obtain a License
before commencing work.

The General Manager shall have access to any area within the Gaming
Facility in accordance with the limitations defined in Section 2.30.

The General Manager shall present a written monthly report to the Tribal
Commission which estimates the number of patrons served, the amount of
income generated, the numbers of employees working at the
establishment, a detailed description of any patron complaints and other
problems experienced at the establishment, a written statement of any
changes in Primary Management Officials and all bills which are thirty
(30) days or more past due.

Rules and Regulations for Management. The Tribal Commission shall, with
the input and suggestions of Primary Management Officials, promulgate rules and
regulations or specifications governing the following subjects:

OFA

92.2.

923

9.2.4

9:2:5

The enforcement of all relevant laws and rules with respect to the Gaming
Operation and the Facility:

Ensuring the physical safety of Enterprise patrons and Employees;

The physical safeguarding of assets transported to, within, and from the
Gaming Facility;

The prevention of illegal activity from occurring within the Gaming
Facility including employee procedures and surveillance;

The recording of occurrences that deviate from normal operating policies
including the following procedure for reporting incidents:

qd) Specify that security personnel record all incidents, regardless of
immateriality;

(2) Require the assignment of a sequential number to each report;
(3) Provide for permanent reporting in indelible ink in a bound

notebook;

43


Edition, including the 1992 revisions, but excluding
Chapter I--Administration from each standard code and
the phrase *‘or fire retardant treated wood" in reference
note (a) of table 600 (Chapter 6) of the Standard
Building Code, but including Appendices A, C, E, J, K,
M, and R. Available from the Southern Building Code
Congress International, Inc., 900 Montclair Road,
Birmingham, Alabama 35213.

(iii) | Uniform Building Code, 1991 Edition, including the
1993 Accumulative Supplement, but excluding Part I--
Administrative, and the reference to fire retardant
treated plywood in section 2504(c)3 and to fire
retardant treated wood in 1-HR type III and V
construction referenced in paragraph 4203.2., but
including the Appendix of the Code. Uniform Plumbing
Code, 1991 Edition, including the 1992 Code Changes
but excluding Part I--Administration, but including the
Appendices of the Code. Uniform Mechanical Code,
1991 Edition, including the 1993 Accumulative
Supplement but excluding Part I--Administrative, but
including the Appendices of the Code. All available
from the International Conference of Building Officials,
5360 South Workman Mill Road, Whittier, California
90601.

(B) National Electrical Code, NFPA 70, 1993 Edition, including
appendices. Available from the National Fire Protection
Association, Batterymarch Park, Quincy, Massachusetts 02269.

(C) National Standard Plumbing Code, 1993 Edition. Available from the
National Association of Plumbing-Heating-Cooling Contractors,
P.O. Box 6808, Falls Church, Virginia 22046.

1.1.2 Model Code Compliance Requirements.

(A) When a multifamily or care-type property is to comply with one of the
model building codes set forth in paragraph 1.1.1 (A) of this
section, the following requirements of those model codes shall not
apply to those properties:

(i) Those provisions of the model codes that do not pertain
to residential or institutional buildings;

68


4.2

43

44

4.6

Business Council, as Tribal Commissioners, shall comply with the
background check and licensing requirements of the Code, herein.

Location and Place of Business.

4.2.1 Gaming Facility The Tribal Commission may maintain its headquarters,
principal place of business and office within the Gaming Facility.

4.2.2 Other Locations The Tribal Commission may, however, with a majority
vote from the Business Council , establish other places of business in such
other locations as the Tribal Commission may from time to time determine
to be in the best interest of the Tribe.

Duration. The Tribal Commission shall have perpetual existence and succession
in its own name, unless dissolved by the Business Council pursuant to Tribal law.

Attributes. As a governmental subdivision of the Tribe, the Tribal Commission
is under the directive and control of the Business Council , but it is the purpose
and intent of the Business Council that the operations of the Tribal Commission
be conducted on behalf of the Tribe for the sole benefit and interests of the Tribe,
its members and the residents of the Reservation.

4.4.1 Arm of Tribe In carrying out its purposes under this Code, the Tribal
Commission shall function as an arm of the Tribe.

44.2 Tribe Actions Notwithstanding any authority delegated to the Tribal
Commission under this Code, the Tribe reserves to itself the right to bring
suit against any Person or entity in its own right, on behalf of the Tribe or
on behalf of the Tribal Commission, whenever the Tribe deems it
necessary to protect the sovereignty, rights and interests of the Tribe or the
Tribal Commission.

Recognition as a Political Subdivision of the Tribe. The Tribe, on behalf of the
Tribal Commission, shall take all necessary steps to acquire recognition of the
Tribal Commission as a political subdivision of the Tribe, recognized by all
branches of the United States Government as having been delegated the right to
exercise one or more substantial governmental functions of the Tribe.

Sovereign Immunity of the Tribal Commission.

4.6.1 Authority The Tribal Commission is cloaked by Federal and Tribal law
with all the privileges and immunities of the Tribe, except as specifically
limited by this Code, including sovereign immunity from suit in the State,

Federal or Tribal Court.

4.6.2 No Waiver Nothing in this Code shall be deemed or construed to be a


SECTION 6.

6.2

6.3

6.4

6.6

5.4.4 A discussion of the ways that negative off-reservation impacts can, or
have been, addressed.

5.4.5 An examination of how the Project fits into local land use patterns.

5.4.6 The name of the person or persons who prepared the report.

BUSINESS COUNCIL REVIEW OF AN ENVIRONMENTAL
ASSESSMENT

Review. Following the completion of an Environmental Assessment, the
Business Council shall review its findings and determine whether the entire
record, including that study, justifies the issuance of a proposed Finding of No
Significant Impact or the development of an expanded Environmental Assessment
or an Environmental Report. In so doing, the Business Council shall utilize the
criteria set forth in Sections 7 through 9 below.

Expanded Environmental Assessments. The Business Council shall call for the
production of an expanded Environmental Assessment when it determines that the
proposed Project will have an impact on the off-reservation environment, but such
impact is limited enough that it can be addressed in a shorter more concise study.

Limited Environmental Assessments. The Tribe may require an ER on only
those aspects of the Project that present a significant adverse impact off-
reservation.

Urban and Rural Distinctions. A determination of whether a Project may have
a significant off-reservation impact on the environment calls for careful judgment
on the part of the Business Council, based to the extent possible on scientific and
factual data. An impact that may not be significant in an urban area may be
significant in a rural area.

Mitigating Effects. If the Tribe determines that a Project will have off-
reservation impacts, but this impact is mitigated to the point that the impact is no
longer significant and the whole record taken together shows no significant
impact, a FONSI shall be issued.

Evidentiary Requirements. The existence of a public controversy over the off
reservation impact will not require an ER, if the evidence in the report does not
show that significant impact. Substantial evidence shall not be found from
opinion or narrative but only from facts, reasonable assumptions predicted on
facts and expert opinions supported by facts.

55


TITLE Ill

ADOPTION OF FEDERAL OCCUPATIONAL SAFETY AND

HEALTH STANDARDS FOR

THE CLASS III GAMING FACILITY

The adoption of 29 C.F.R. part 1910 — Occupational Safety and Health Standards and part 1926
— Safety and Health Regulations for Construction, together will serve to regulate the safety and
inspection of retail sale, wholesale/commercial and light industrial labor practices, along with the
standard of tribal labor force protections from hazardous workforce environments and exposure
to potential contaminants within each of these areas, establishment of contract work hours and
other labor safety standards as deemed necessary by the tribal government, along with the
enforcement of these codes including the setting of penalties.

SECTION 1. ADOPTION BY REFERENCE

11

1.2

13

Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA (“Tribe”
or “Tribal”) finds that:

1.1.1

A certain document, three copies of which are on file in the office of the
Tribal Secretary, being marked and designated as 29 C.F.R. part 1910 -
Occupational Safety and Health Standards and part 1926 — Safety and
Health Regulations for Construction, published by the U.S. Department of
Labor, Occupational Safety and Health Administration, is hereby adopted
as the Tribal OSHA Standards, for regulating the safety and inspection of
retail sale, wholesale/commercial and light industrial labor practices, along
with the standard of tribal labor force protections from hazardous
workforce environments and exposure to potential contaminants within
each of these areas, establishment of contract work hours and other labor
safety standards as deemed necessary by the tribal government, along with
provisions for submission of labor contracts, building plans and hazardous
activity permits for tribal government approval, collection of fees, and
enforcement of these codes including the setting of penalties, where
necessary.

Inconsistent Codes Repealed. All articles, titles, chapters, or other codes or
portions thereof, in conflict herewith are hereby repealed in that respect only.

Certification of Adoption and Publishing. The Tribal Secretary shall certify the
adoption of this Tribal Ordinance and cause the same to be published as required

by law.

61


4.9

4.10

Reservation, or to be a consent to the alienation, attachment or encumbrance of
any such land.

Assets of the Tribal Commission. The Tribal Commission shall have only those
assets specifically assigned to it by the Business Council or acquired in its name
by the Tribe or by it on its own behalf. No activity of the Tribal Commission nor
any indebtedness incurred by it shall implicate or in any way involve any assets of
tribal members or the Tribe not assigned in writing to the Tribal Commission.

Membership.

4.10.1 Number of Commissioners The Tribal Commission shall be comprised of
five (5) Tribal Gaming Commissioners, none of whom may be members
of the Tribal Business Council.

4.10.2 Organization The Tribal Commission will consist of a Chairman, Vice-
Chairman, Secretary and two (2) Commissioners.

(1) The Chairman shall direct Tribal Commission meetings and be the
supervisor and is responsible for the day-to-day operations of the
Tribal Commission.

(2) The Chairman shall be the agent for service of process.

(3) The Vice-Chairman shall direct Tribal Commission meetings, be the
supervisor, be the agent for service of process, and be responsible for
the day-to-day operations of the Tribal Commission, when the

Chairman is unavailable.

(4) The Secretary shall keep minutes of meetings and provide a copy to
the Business Council.

4.10.3 Qualifications for Tribal Commission Positions

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

(2) Must pass the scrutiny of a background check pursuant to 4.10.5
below.

(3) Tribal Commissioners shall have expertise, experience, education
or a combination thereof in the following areas: finance,
management, legal, business, governmental regulation, and Tribal
policy and law.

(4) Tribal Commissioners shall be at least twenty-one (21) years of
age and show proof of High School Diploma or equivalent.


SUSANVILLE INDIAN
RANCHERIA

TRIBAL GAMING ORDINANCE
OF THE
SUSANVILLE RANCHERIA

Ordinance No. 2001 — 004
Amendment 3

TITLE |
REGULATION OF CLASS I AND CLASS II GAMING

A law to authorize, license and regulate the conduct of Class II and Class III Gaming within the
jurisdiction of the Susanville Indian Rancheria California.

SECTION 1. FINDINGS, INTENT AND POLICY

1.1. Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA (“Tribe”
or “Tribal”) through the General Council, which is the Governing Body of the
Tribe, finds that:

1.1.1 Tribal regulation and control of Gaming within the jurisdiction of the
Tribe is essential for the protection of public health and welfare of the
Tribe and visitors to the Tribal community.

1.1.2 The Tribe has the legal authority to license and regulate any Gaming
Activity within the jurisdiction of the Tribe.

1.1.3. Properly licensed and regulated Gaming is in conformance with
announced Federal policy promoting Indian self-government and Indian
Tribal economic self-sufficiency.

1.1.4 It is essential that the General Council regulate Gaming in a manner
commensurate with applicable Federal, State of California (“State”) and
Tribal law and policy.

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

Federal programs including the need for increased employment, training,

1
745 JOAQUIN STREET e SUSANVILLE, CA 96130 ¢ (530) 257- 6264 * FAX 257-7986


5.16

SECTION 6.

6.1

6.2

(2) The denial by the State Gaming Agency is based on reasons that
antedate the filing of the Person’s initial application to the State
Gaming Agency;

(3) The Person is not an Employee of another Gaming Enterprise;

(4) The Person has been in continuous employ for at least three years by
the Tribe prior to the effective date of the Compact.

5.15.3 Notwithstanding Section 5.15.1, the Tribe may employ a Person who has
been denied for a determination of suitability by the State Gaming Agency
if?

(1) The Person is an Enrolled Member of the Tribe;

(2) The Person holds a valid and current Tribal License;

(3) The denial by the State Gaming Agency is based on reasons that
antedate the filing of the Person’s initial application to the State
Gaming Agency;

(4) The Person is not an Employee of another Gaming Enterprise;

Miscellaneous Licensing Provisions.

5.16.1 No License shall be sold, lent, assigned or otherwise transferred.

5.16.2 Each Licensee shall have a copy of the Code and regulations readily
available for inspection by any Person at each authorized Gaming site.

5.16.3 The Tribe shall monthly provide the State Gaming Agency with the name,
badge identification number, and job descriptions of all non-key Gaming
Employees.

BANK ACCOUNTS AND RECORDKEEPING

Bank Account. The Tribe shall open a separate bank account for the Enterprise
and all receipts of each Gaming Activity shall be deposited in the account.

Record Keeping. Accounting records of the Gaming, Enterprise, and Facility
shall be kept on a double entry system of accounting, maintaining detailed
supporting and subsidiary records. The Tribe shall maintain the following records
for not less than three (3) years:


4.25

SECTION 5.

5.f

5.2

or may issue a decision on the written record. The Tribal
Business Council shall make its best effort to issue a
written decision within ten (30) days of any hearing or
within thirty (10) days if it does not conduct an appeal
hearing.

4.23.7.2 Any decision of the Tribal Business Council on appeal
shall be final and not subject to further appeal.

Quarterly Report to the Business Council. The Tribal Commission shall file a
quarterly report to the Business Council summarizing reports received from each
of the Tribe's Gaming Facilities and make such comments as it deems necessary
to keep the Business Council fully informed as to the status of the Tribal
Commission’s activities.

GAMING LICENSES
Applicability.

5.1.1 Every Employee, Key Employee. Primary Management Official, Gaming
Enterprise, and Gaming Facility that aids, participates or is related to
Gaming is required to have a current and valid License as issued by the
Tribal Commission.

5.1.2 Every Gaming Vendor that provides or receives, or is likely to provide or
receive at least Twenty-five Thousand Dollars in any twelve (12) month
period from the Enterprise is required to have a current and valid License
as issued by the Tribal Commission.

5.1.3. Every Person extending financing, directly or indirectly, to the Facility or
Enterprise is required to have a current and valid License as issued by the
Tribal Commission, provided that any Person extending the financing
shall be licensed within Ninety (90) days of execution of such financing.

Application Procedure.
5.2.1 Submission to Tribal Commission An Applicant seeking a License shall

submit an Application to the Tribal Commission on such form as the
Tribal Commission may require.

5.2.2. Privacy Act and False Statement The application form shall include the
following notices:

22515 Privacy Act
In compliance with the Privacy Act of 1974, the solicitation
of information on this form is authorized by 25 U.S.C.

24


SUSANVILLE INDIAN
RANCHERIA

RESOLUTION NO. SU-BC-70-2008

RE: AMENDED TRIBAL GAMING ORDINANCE OF THE SUSANVILLE INDIAN
RANCHERIA

WHEREAS, the Susanville Indian Rancheria is formally recognized, constituted and
established pursuant to the Indian Re-Organization Act (IRA) of 1934 and is a
recognized Tribal government as defined by the Indian Self-Determination Act,
P.L. 93-638; and

WHEREAS, the Susanville Indian Rancheria’s General Council at a duly called meeting held
February 8, 1992 vested authority to the Tribal Business Council to enact
resolutions and conduct business on behalf of the General Council, effective
February 8, 1992; and

WHEREAS, the Susanville Indian Rancheria has entered into a Tribal-State Compact with the
State of California; and

WHEREAS, the Susanville Indian Rancheria Tribal Business Council has determined that the
existing gaming ordinance required revision to meet the needs of the Tribe; and

NOW THEREFORE BE IT RESOLVED, that the Susanville Indian Rancheria Tribal
Business Council hereby adopts the Tribal Gaming Ordinance of the Susanville
Indian Rancheria (Ordinance 2001-004 Amendment 3).

BE IT FURTHER RESOLVED, that this Gaming Ordinance will remain in force until such
time as it is rescinded by the Tribal Business Council.

CERTIFICATION

We, hereby certify that Resolution SU-BC-70-2008 was adopted by the Susanville Indian
Rancheria Tribal Business Council at a duly called meeting held September 2, 2008 with a
vote of 7 for, 0 against, 0 abstain.

Bre N . y ve 4

Mr. Aaron DixonSr. Mr. Stacy Dixon

Secretary/Treasurer Tribal Chairman

745 JOAQUIN STREET * SUSANVILLE, CA 96130 + (530) 257-6264 * FAX 257-7986


merit, whether further investigation is required, whether to take
any corrective action, etc.).

(2) | Gaming management shall conduct an investigation, if appropriate
and inform the complainant, either orally or in writing, about its
initial determination as soon as is reasonably practicable. At that
time, if the complainant indicates that he or she has additional
concerns or is not satisfied, gaming management shall schedule an
informal hearing, if practical and appropriate, and thereafter inform
the complainant of its final determination and inform the
complainant that if they are dissatisfied with the final
determination they may request a review of the initial
determination by the Tribal Commission.

10.3. Formal Dispute Resolution Procedure.

10.3.1

10.3.2

10.3.3

Complainants who have followed the initial dispute resolution procedure,
and who are unsatisfied with gaming management's initial determination,
may request a review of the initial determination by the Tribal
Commission in writing no later than 5 days after being informed about the
initial determination.

The Tribal Commission may review the initial determination and
investigate the dispute in any manner it chooses. The Tribal Commission,
if it accepts to review the initial determination, may offer the complainant
a fair opportunity to be heard in person or through counsel about the
dispute, either before or after the Tribal Commission makes its own
inquiries. The complainant’s opportunity to be heard, if granted, shall take
place within thirty (30) days after the Commission receives the
complainant’s written request.

After reviewing and/or investigating (if the Tribal Commission chooses),
and within thirty (30) days after affording the complainant an opportunity
to be heard (if the Tribal Commission chooses), the Tribal Commission
shall issue a written opinion on the complainant’s written request for
review, and shall mail a copy of the opinion to the complainant at his/her
last known address. The decision of the Tribal Commission is final.

48


5.12

visibly display their Identification Card during working hours and must produce
such Identification Card upon the request of any Person.

5.11.1 Proper display shall be the upper left shirt pocket area.
License Suspension or Revocation of License.
5.12.1 Temporary Suspension or Revocation The Tribal Commission may

suspend or revoke a License, after notice and an opportunity for a hearing
pursuant to Section 4.23 herein, for any of the following reasons:

(1) The Licensee withheld pertinent information on the Application:
(2) The Licensee made false statements on the Application;

(3) The Licensee participated in Gaming that was not authorized by
any Gaming License or regulatory approvals, and therefore
deemed illegal;

(4) The Licensee attempted to bribe a Business Council member,
Commissioner or other Person, in an attempt to avoid or
circumvent Tribal law;

(5) The Licensee offered something of value to a Tribal Commission
member;

(6) The Licensee knowingly promoted, played or participated in any
Gaming operated in violation of Tribal or Federal law:

(7) The Licensee is knowingly involved in the falsification of books or
records which relate to a transaction connected with the operation
of Gaming:

(8) The Licensee violated this Code or the rules and regulations of the
Tribal Commission;

(9) The Licensee has been convicted or has entered a plea of nolo
contendere to any crime involving Gaming, fraud, theft, or
embezzlement.

(10) | The Licensee has refused to comply with any lawful order, inquiry
or directive of the Tribal Commission, the Business Council, the
Federal Government or any court of competent jurisdiction;

wa
v


8.2.10

8.2.11

8.2.12

Ss

8.2.14

8.2.15

8.2.16

8.2.17

8.2.18

8.2.19

8.2.20

8.2.21

8.2.22

8.2.23

8.2.24

Allowing or participating in the sale of liquor when such sale is prohibited
by Tribal law.

Accepting consideration other than money, tokens or chips for
participation in any Gaming Activity.

Using bogus or counterfeit chips or charitable Gaming tickets, or to
substitute or use any cards, charitable Gaming tickets or Gaming
equipment that has been marked or tampered with.

Employing or possessing any cheating device or to facilitate cheating in
any Gaming Activity.

Willfully using any fraudulent scheme or technique to change the odds of
any game of chance.

Soliciting, directly or indirectly, or using inside information on the nature
or status of any Gaming Activity for the benefit of an individual.

Tampering with a Gaming Device, attempting to conspire to manipulate
the outcome or the payoff of a Gaming Device. or otherwise unlawfully
tampering with or interfering with the proper functioning of the machine.
Alter or counterfeiting a Gaming license.

Aiding, abetting, or conspiring with another Person knowingly or
knowingly to cause any Person to violate any provision of this Code or

any rules and regulations adopted hereunder.

Operating, using or making available to the public any illegal Gaming
Device, apparatus, material or equipment.

Selling, holding out for sale or transporting into or out of the jurisdiction
of the Tribe any illegal Gaming Device, apparatus, material or equipment.

Assisting or allowing a Person who is under the age of Twenty-one (21) to
participate in a Gaming activity.

Possessing any illegal narcotics or controlled substances on any licensed
Gaming site.

Stealing or attempting to steal funds or other items of value from any
Gaming Facility or from the Tribal Commission.

Employing any Person at a licensed Gaming Facility whom the Licensee
knows has been convicted of a Gaming crime or a crime of fraud.

41


ns

(16)

(17)

(18)

(19)

(20)

A complete disclosure of any pending or anticipated civil or
criminal action against the Applicant.

A sworn statement that if the License applied for is issued, the
Applicant will submit to the jurisdiction of the Tribe and the Tribal
Court.

A sworn statement that the Applicant will abide by all applicable
Tribal and Federal laws, regulations and policies.

Two (2) photographs of the Applicant taken within the past year.
A written statement that the information contained in the

Application is true and correct to the best of Applicant’s
knowledge.

5.2.5 Business Entities In addition to the relevant information requested in
5.2.4, business entities shall also submit the following:

()
Q)

@)
4)

Each of its officers and directors:

Each of its principle management employees, including any chief
executive officer, chief financial officer, chief operating officer,
and general manager:

Each of its owners or partners, if an unincorporated business;

Each of its shareholders who own more than 10 percent of the
shares of the corporation; and

Each person or entity that, alone or in combination with others, has
provided financing in connection with Gaming authorized under
this Compact.

Review of License Application. The Tribal Commission shall thoroughly review
and conduct a background investigation for each Tribal Gaming License
Application sufficient to make a determination of eligibility as required under this
Code. The Tribal Commission’s review and background investigation shall
include, but is not limited to the following:

5.3.1 The Tribal Commission may enter into an agreement with the Lassen
County Sheriff's Office, located in Lassen County, State of California, to
take the applicant’s fingerprints. Each applicant shall submit the
completed fingerprint card along with his/her application to the Tribal
Commission.


2.57 "Pull-tabs, Punchboards and Tip Jars" means a form of Gaming in which
preprinted cards utilizing symbols or numbers in random order which are
uncovered by random choice in expectation of cash prizes if prescribed
combinations of symbols and numbers are revealed.

2.58 "Rancheria" means lands defined as “Indian Lands” herein.

2.59 "Raffle" means a form of Gaming in which each player buys a ticket for a chance
to win a prize with the winner determined by a random method. "Raffle" does not
include a slot machine.

2.60 "Reservation" means lands defined as “Indian Lands” herein.

2.61 "State" means the State of California.

2.62 “State Gaming Agency” _ means the entity of the State pursuant to the
Gambling Control Act, pursuant to Division 8 of the Business and Professions

Code, Chapter 5, Sec. 19800 et. seq.

2.63 “State Gaming Facility Compliance Agent” means the Person appointed
pursuant to Section 6.4.2(d) of the Compact.

2.64 "Tribal Commission" means the Tribe’s Gaming Commission described in
Section 4 of this Code.

2.65 "Tribal Court" means a Tribal Court created in accordance the Tribe’s
Constitution.

2.66 "Tribe" or “Tribal” means the Susanville Indian Rancheria California.
2.67 “Non-Gaming Vendor” means any purveyor of goods or services, other than
professional accounting and legal services, to the Gaming Facility that is not

otherwise classified as a Gaming Resource Supplier.

2.68 "Wager" means the initial bet made in any game.

SECTION 3. GENERAL PROVISIONS

3.1 Authority. This Code is enacted pursuant to the inherent sovereign powers of the
Tribe pursuant to Article VI of the Tribal Constitution and Bylaws and pursuant
to the powers of the Business Council pursuant to Article VI, Section 2(a) of the
Tribal Constitution and Bylaws.

3.2 Title, Repeal of Prior Laws, and Effect of Repeal. This Code may be cited as
the Susanville Indian Rancheria California Gaming Code or “Code.” This Code


TITLE IV

ADOPTION OF AMERICANS WITH DISABILITIES ACT
STANDARDS FOR CLASS HI GAMING FACILITY

The adoption of 28 C.F.R. part 35, the Nondiscrimination on the Basis of Disability in State and
Local Government Services, will serve to effectuate subtitle A of Title II of the Americans with
Disabilities Act of 1990 (104 Stat. 327, Pub. L. 101-336, as amended), which prohibits
discrimination on the basis of disability by public entities.

SECTION 1. ADOPTION BY REFERENCE

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1.4

15

Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA (“Tribe”
or “Tribal’”) finds that:

1.1.1 A certain document, three copies of which are on file in the office of the
Tribal Secretary, being marked and designated as 28 C.F.R. part 35 -
Nondiscrimination on the Basis of Disability in State and Local
Government Services, is hereby adopted as the Tribal ADA Standards,
which prohibits discrimination on the basis of handicap in tribally assisted
programs and activities.

Inconsistent Codes Repealed. All articles, titles, chapters, or other codes or
portions thereof, in conflict herewith are hereby repealed in that respect only.

Certification of Adoption and Publishing. The Tribal Secretary shall certify the
adoption of this Tribal Ordinance and cause the same to be published as required
by law.

Effective Date. This Tribal Ordinance and the rules, regulations, provisions,
requirements, orders, and matters established and adopted hereby shall take effect
and be in full force and effect from and after the date of its final passage and
approval.


SECTION 1.

1.1

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1.4

TITLE Il

REGULATION OF THE ENVIRONMENT
FOR CLASS III GAMING

INTRODUCTION

Title. This Title shall be known as “THE SUSANVILLE INDIAN RANCHERIA
CALIFORNIA ENVIRONMENT OFF-RESERVATION IMPACT CODE.”

Authority. This Title is enacted pursuant to the inherent sovereign powers of the
Tribe pursuant to Article VI of the Constitution, and pursuant to the powers of the
Business Council pursuant to Article VI, Section 2.a, of the Constitution.

Purpose. The basic purposes of this Code are to:

1.3.1 Inform Inform the Tribe and the public about the potential significant off-
reservation environmental impacts of any (1) expansion or significant
renovation or modification of an existing Tribal Gaming Facility and/or
(2) significant excavation, construction, or development associated with a
Tribal Gaming Facility or proposed Tribal Gaming Facility.

1.3.2 Identify Identify ways that environmental impacts of the aforementioned
activities can be avoided or significantly reduced through the use of
reasonable alternative or mitigation measures such as changes in the
construction plans.

1.3.3. Disclosure Disclose to the public the reasons why the Business Council
approved a Gaming Facility construction plan if significant off-reservation
environmental impacts are likely to occur.

Scope or Coverage of This Ordinance. This ordinance shall apply solely to
studies of and decisions related to the potential off-reservation impacts of any:

1.4.1. Expansion or significant renovation or modification of an existing Tribal
Gaming Facility; and

1.4.2 Significant excavation, construction, or development associated with a
Tribal Gaming Facility or proposed Tribal Gaming Facility.

Repeal of Prior Laws, and Effect of Repeal. All titles, chapters and sections of
the Tribal Code which pertain to the environment and are in effect as of the date
that this Code becomes operative, are hereby repealed as to Gaming Activities
only, and all other laws, or parts thereof, inconsistent with the provisions of this

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2.6

SECTION 3.

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“Project” means any: (1) expansion or significant renovation or modification of
an existing Tribal Gaming Facility and/or (2) significant excavation, construction,
or development associated with the Tribe’s Gaming Facility or proposed Tribal
Gaming Facility.

BASIC REQUIREMENTS

Environment Assessment or Finding of No Significant Impact. Before
commencing any expansion or significant renovation or modification of an
existing Tribal Gaming Facility, or any significant excavation, construction, or
development associated with a Tribal Gaming Facility or proposed Tribal Gaming
Facility, the Tribe shall require the development of an Environmental Assessment
which the Business Council shall use to determine if there is substantial evidence
that the proposed Project will have a significant off-reservation environmental
impact. If the Business Council finds that it will not, it shall follow the
procedures detailed in this Code for the issuance of a Finding of No Significant
Impact (FONSI).

Off-Reservation Impact. If, however, the Business Council finds that there is
substantial evidence that the proposed Project will have a significant off-
reservation environmental impact, defined as a substantial adverse impact in the
physical conditions of the off-reservation areas as they existed at the time of the
study, the Business Council shall follow the procedures detailed in this Code for
the preparation of an Environmental Report (ER).

Response to Adverse Findings. When an Environmental Assessment shows that
an expansion or significant renovation or modification of an exiting Tribal
Gaming Facility or any significant excavation, construction, or development
associated with a Tribal Gaming Facility or proposed Tribal Gaming Facility
would cause substantial adverse changes in the off-reservation environment, the
Business Council shall respond to the finding by one or more of the following
methods:

3.3.1 Change the proposed Project.

3.3.2 Impose conditions on the approval of the Project.

3.3.3. Adopt plans or ordinances to control the adverse impact.

3.3.4. Choose an alternative way to meet the same need.

3.3.5. Disapprove the Project.

3.3.6. Find that changes in or alternatives to the Project are not feasible.

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4.7

48

waiver of sovereign immunity of the Tribal Commission from suit, which
shall only be waived pursuant to subsection 4.7 below.

4.6.3 No Consent to Jurisdiction Nothing in this Code shall be deemed or
construed to be a consent of the Tribal Commission to the jurisdiction of
the United States or of any state or of any other tribe with regard to the
business or affairs of the Tribal Commission.

Waiver of Sovereign Immunity of the Tribal Commission. Sovereign
immunity of the Tribal Commission may be waived upon the recommendation of
the Tribal Commission and only by express resolutions of both the Business
Council and the General Council after consultation with its attorneys.

4.7.1 Resolution Effecting Waiver All waivers of sovereign immunity must be
preserved with the resolutions of the Business Council and the General
Council of continuing force and effect.

4.7.2 Policy on Waiver Waivers of sovereign immunity are disfavored and shall
be granted only when necessary to secure a substantial advantage or
benefit to the Tribal Commission.

4.7.3 Limited Nature to Waiver Waivers of sovereign immunity shall not be
general but shall be specific and limited as to duration, grantee,
transaction, property or funds, if any, of the Tribal Commission subject
thereto, and court having jurisdiction pursuant thereto and law applicable
thereto.

4.7.4 Limited Effect of Waiver Neither the power to sue and be sued provided
in subsection 4.17 herein, nor any express waiver of sovereign immunity
by resolution of the Business Council and the General Council, shall be
deemed a consent to the levy of any judgment, lien or attachment upon
property of the Tribal Commission other than property specifically
pledged or assigned, or a consent to suit in respect of any land within the
exterior boundaries of the Reservation or a consent to the alienation,
attachment or encumbrance of any such land.

Sovereign Immunity of the Tribe. All inherent sovereign rights of the Tribe as
a Federally-recognized Indian Tribe, with respect to the existence and activities of
the Tribal Commission, are hereby expressly reserved, including sovereign
immunity from suit in any state, Federal or Tribal Court. Nothing in this Code
nor any action of the Tribal Commission shall be deemed or construed to be a
waiver of sovereign immunity from suit of the Tribe, or to be a consent of the
Tribe to the jurisdiction of the United States or of any state or any other Tribe
with regard to the business or affairs of the Tribal Commission or the Tribe, or to
be a consent of the Tribe to any cause of action, case or controversy, or to the levy
of any judgment, lien or attachment upon any property of the Tribe; or to be a
consent to suit in respect to any land within the exterior boundaries of the

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