David J. Rapport 

Rapport and Marston 

405 W. Perkins Street 

PO Box 488 

Ukiah, CA 95482 

Dear Mr. Rapport: 

This letter responds to your request to review and approve the amended gaming 

ordinance of the Blue Lake Rancheria (Tribe) submitted on December 3,2001. The 

Tribe adopted the amended ordinance on May 6,2001. This letter constitutes approval 

under the Indian Gaming Regulatory Act (IGRA). 

Under the IGRA and the regulations of the NIGC, the Chairman is directed to review 

ordinances and amendments with respect to the requirements of the IGRA and the 

implementing regulations. 

We note that the Ordinance at Section 15 provides that, "to the extent any provision of a 

Tribal-State Compact is inconsistent with the provisions of this Ordinance, such compact 

shall prevail.. ." Please be advised that, regardless of the terms of any Tribal-State 

compact, the ordinance requirements of the IGRA must be met and must be enforced by 

the Tribe. 

Thank you for submitting the amended ordinance of the Blue Lake Rancheria. The 

NIGC staff and I continue to look forward to working with you and the Tribe in 

implementing the IGRA. 

Sincerely yours, 

Montie R. Deer 

Chainnan 

NATIONAL HEADQUARTERS 1441 L Street NW, Suite 91 00, 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 
GAMING ORDINANCE 

TABLE OF CONTENTS 

Section 1 . ................................ Findings and Policy . 

Section 2 .................................. Ownership of Gaming . 

Section 3 .......................................... Definitions . 3.01 ..................................... "Business Council" 

3.02 ............ "Closely Associated Independent Contractor" 

3.03 ............................................... Compactu 

3.04 ..................................... "Financial Source" 

3.05 ............................................... "Gaming" 

3.06 .................................... "Gaming Activities" 

3.07 ...................................... Gaming Commission" 

3.08 .................................... "Gaming Contractor" 

3.09 ........................................ Gaming Employee" 

3.10 .................................... "Gaming Enterprise" 

3.11 ...................................... "Gaming Facility" 

3.12 ..................................... "Gaming Operation" 

3.13 ....................................... Gaming Resources" 

3.14 ............................. "Gaming Resource Supplier" 

3.15 ......................................... "Key Employee" 

3.16 ................................ "Management Contractor" 

3.17 .................... "National Indian Gaming Commission" 

3.18 ........................................... Net Revenues" 

3.19 ................................................ Person" 

3.20 .......................... "Primary Management Official" 

3.21 ........................................... "Related to" 

3.22 ........................................... Reservation" 

3.23 ................................................ "State" 

3.24 ................................... State Gaming Agency" 

3.25 ........................................ "Tribal Court" 

3.26 .......................................... Tribal Member" 

Section 4 . ................................... Gaming Commission 

4.01 ..................... Establishment of Gaming Commission 

4.02 .............................. Qualifications for Office 

4.03 ........................... Disqualifications for Office 

4.04 ........................................ Terms of Office 

4.05 .................................... Removal from Office 

4.06 .................................................Q uorum 

4.07 .................................... Officers and Duties 

4.08 ................................................. Voting 

4.09 ............................................... Meetings 

4.10 ............................... Compensation for Serving 

4.11 ...................................... Powers and Duties 

4.12 ......................................... Annual Reports 

C-U)ocurnen!s and Sen~np\arla\Lowl Sectings\Temporary Internet Files\OLKD\Gami6LEAN.doc 
4.13 ........................... Other Reporting Requirements 

4.14 ................................... Conflict of Interest 

4.15 .................................. Contact with the NIGC 

4.16 ......................... Mandatory Duty to Report Theft 

Section 5 . ......................... Permitted Gaming Activities 

5.01 ......................... Unauthorized Gaming Prohibited 

Section 6 . ..................................... Gaming Revenues 

6.01 ...................................... Tribal Property 

6.02 .................................. Use of Net Revenues 

Section 7 ..................... Operation of Gaming Establishments 

7.01 ........................... Gaming Permitted as Licensed 

7.02 ................... Protection of Environment and Public 

7.03 ..................................... Dispute Resolution 

Section 8 ............................................... Audits . 8.01 ........................................ Annual Audits 

8.02 ................................... Audit Requirements 

8.03 .................... Minimum Internal Control Standards 

8.04 ............................. Cash Transaction Reporting 

8.05 ....................................... Minimum Bankroll 

Section 9 . ..... Licenses. Applications and Licensing Procedures 

9.01 ................................... Authority to License 

9.02 ............................. Types of Licenses Required 

9.03 ................................... License Requirements 

9.04 ................................ Application for License 

9.05 ........................ Release of Information Required 

9.06 ............ Fingerprint Cards Required and Use of CLETS 

9.07 ................. Continuing Duty to Provide Information 

9.08 ... Term of License; License Fees; Parameters of License 

9.9 ........................................ Facility License 

9.10 .Temporary Employment Pending Issuance of License and ............................ During Temporary License Period 

9.11 ................................. Assignment or Transfer 

Section 10 .... Background Investigations and Licensing Decisions 

10.01 .................. Required Background Investigations 

10.02 ............... Standards for Background Investigations 

10.03 .... Information Required for Background Investigations 

10.04 ...................... Background Investigation Process 

10.05 ......... Eligibility Determination; Licensing Decision 

10.06 Procedures for Forwarding Applications and Reports for 

Key Employees and Primary Management Officials to the 

National Indian Gaming Commission; Issuance of 

Temporary Licenses .................................... 10.07Granting Licenses to Key Employees or Primary Management 

C.\Documenrs and Sen~n@Lrla\Local Settinp\Temponry InternH Flles\OLKD\Gam~ngLEAN.doc 

November 15 . ~)0 12 
Officials ................................................. 28 

10.08 ....................... Denial of a License Application 29 

10.09 ... License Revocation and Suspension Following Receipt .................................. of Information from NIGC 29 

10.10 .................... License Cancellation or Suspension 30 

10.11Revocation Based on Notice from the State Gaming Agency 30 

Section 11 . ......... Rules of Procedure for Commission Hearings 

11.01 ........................... Scope of Rules of Procedure 

11.02 .............................................. Hearings 

11.03 .................................... Notice of Action 

11.04 .............................. Affect of Pending Appeal 

11.05 ..................................... Notice of Hearing 

11.06 ............................... Ex Parte Communications 

11.07 ............................ Appearance through Counsel 

11.08 ......... Discovery Procedures for Enforcement Hearings 

11.09 ................................ Confidential Materials 

11.10 ............................................. Subpoenas 

11.11 .................................... Hearing Procedures 

11.12 .............................................. Evidence 

11.13 ...................................... Hearing Officers 

11.14 ...................... Determinations by the Commission 

11.15 ............................................. Sanctions 

11.16 ....................................... Right to Appeal 

11.17 ....... Arbitration in the absence of a Tribal Court 

Section 12 . ............. Exclusion or Rejection of Individuals 42 

12.01 ............... Prohibition Against Certain Individuals 42 

12.02 ............................ Right to Exclude or Remove 42 

Section 13 . .................................... Prohibited Acts 42 

13.01 ....................................... Prohibited Acts 42 

13.02 ...................................... Crimes; Penalties 44 

13.03 ....................................... Civil Penalties 45 

Section 14 . .......................... Miscellaneous Provisions 45 

14.01 ......... Minors. Employees Prohibited from Playing 45 

14.02 ..................... Prizes: Assignment and Forfeiture 45 

14.03 .................................. Identification Badge 46 

Section 15 .............. Class I11 Gaming; Tribal-State Compacts 46 

Section 16 . Interest in Management Contracts by Tribal Officials . 4 6 

Section 17 .................................... Service of Process 46 

Section 18.' ............................ Tribal Gaming Corporation 47 

Section 19 ...... Repeal of Prior Gaming Ordinance; Effective Date 47 

C.\Documents and Sen~np\arla\Local Senings\Temporary lntemt FII~S\OLKD\G~~~~LEAN doc 

November 15.200 13 
'--v?, 

Section 20. ......................................... Severability 4 7 

Section 21. ........................................... Amendments - 4 7 

21.01. ................................ Amen permitted 47 

21.02. ............................ Prior Notice of Actions - 4 7 

ORDINANCE NO. 2000- 

AN ORDINANCE OF THE BLUE LAKE RANCHERIA 

AUTHORIZING AND REGULATING GAMING ON THE 

BLUE LAKE RANCHERIA 

The Blue Lake Rancheria of California, a federally 

recognized Indian Tribe ("Tribe"), as the beneficial owner of 

the Blue Lake Rancheria ("Reservation"), and acting through its 

Business Council in the exercise of its inherent sovereign power 

to enact ordinances and otherwise safeguard and provide for the 

health, safety and welfare of the Reservation and the members of 

the Tribe, and Article V, Section 6, of the Constitution of the 

Blue Lake Rancheria, as amended, hereby enacts this Ordinance 

which shall hereinafter be cited as the Blue Lake Rancheria 

Gaming Ordinance of 2000 ("Ordinance"). This Ordinance and any 

regulations promulgated thereunder shall constitute the entire 

gaming regulations for the Tribe. 

Section 1. ind dings and Policy. 

This Ordinance is adopted by the Business Council, pursuant 

to its authority granted under the Tribe's Constitution, for the 

purpose of establishing the terms for gaming on the Reservation 

for tribal governmental and charitable purposes, and to develop, 

operate, and regulate such gaming consistent with the findings 

herein and in conformity with the federal Indian Gaming 

Regulatory Act 25 U.S.C. § 2701 et seq. ("IGRA"), the TribalState Compact and the regulations promulgated thereunder. 

The Tribe finds that: 

1. Gaming on its Reservation is a valuable means of 

generating revenues that are needed for economic development, to 

promote tribal self-sufficiency, economic development, 

employment, job training, and a strong tribal government, and to 

fund and ensure essential social programs and services; 

2. The Tribe desires to conduct certain forms of gaming 

to provide needed revenues to the Tribe, and to regulate and 

C.U>ocurnents and Sen~npbrla\Lml Sen~np\Temporary Internet FII~s\OLKD\G~~~~&CLEAN doc 

November IS. 200 14 
control such gaming in a manner that will protect the 

environment, the Reservation, the health, security and general 

welfare of the Tribe, the players, and the community; and 

3. The Tribe desires to own all gaming on tribal trust 

lands and all lands within the Reservation, and to manage and 

regulate such gaming in a manner that will adequately address 

such special interests and needs of the Tribe. 

Section 2. Ownership of Gaminq. The Tribe shall have the sole 

proprietary interest in and responsibility for the conduct of 

any gaming operation facilities and/or enterprise(s) authorized 

by this Ordinance, except to the extent the Tribe may contract 

with and license a person or entity to, operate or manage the 

enterprise pursuant to the provisions of IGRA and the 

regulations promulgated thereunder, or as otherwise permitted by 

law. 

Section 3. Definitions. Unless specified otherwise, the terms 

used herein shall have the same meaning as in IGRA, including 

but not limited to references to "Net Revenues," "Class I," 

"Class 11," and "Class 111" gaming, and except for references to 

"Commissioners", "Commission", or "Gaming Commission" which 

shall mean the Blue Lake Rancheria Gaming Commission or its 

Commissioners, established and described herein. 

3.01 "Business Council" shall mean the governing body of 

the Tribe, as set forth in the Tribe's Constitution. 

3.02 "Closely Associated Independent Contractor" shall mean 

any contractor that shares common ownership, officers or 

directors with any management principal or person related 

thereto. 

3.03 "Compact" shall mean the Tribal-State Gaming Compact 

between the Blue Lake Rancheria of California, a federally 

recognized Indian Tribe, and the State of California, approved 

by the United States Secretary of Interior on May 5, 2000, and 

published in the Federal Register on May 16, 2000, as amended, 

if the amendments become effective under the IGRA. 

3.04 "Financial Source" shall mean any person extending 

financing, directly or indirectly, to the Tribe's Gaming 

Facility or Gaming Operation. The term shall not include a 

Gaming Resource Supplier who provides financing exclusively in 

connection with the sale or lease of Gaming Resources obtained 

from that Supplier, or a federally regulated or state-regulated 

bank, savings and loan, or other federally- or state-regulated 

lending institution; or any agency of the federal, state, or 

C:\Documenls and Se~tinps\arla\Local Sctl~nys\Temporary Internet Files\OLKD\GammgCLEAN doc 

November IS. 200 15 
local government; or any investor who, alone or in conjunction 

with others, holds less than 10% of any outstanding indebtedness 

evidenced by bonds issued by the Tribe. 

3.05 "Gaming" shall mean an activity in which a person 

stakes or risks something of value on the outcome of a contest 

of chance or a future contingent event, not under his or her 

control or influence, upon an agreement or understanding that 

the person, or someone else, will receive something of value in 

the event of a certain outcome, but shall not include bona fide 

business transactions. 

3.06 "Gaming Activities" shall mean any Class I, Class 11, 

or Class I11 gaming activity conducted by or under the 

jurisdiction of the Tribe. 

3.07 "Gaming Commission" or "Commission" shall mean the 

Blue Lake Rancheria Gaming Commission, as established herein to 

monitor the Gaming Activities, investigate wrongdoing, conduct 

background investigations, issue licenses, and perform other 

duties as set forth in this Ordinance or that are required for 

the regulation of Gaming on the Reservation. 

3.08 "Gaming Contractor" shall mean any person or entity 

that supplies gaming devices or other gaming equipment, 

personnel, or services (including gaming management or 

consulting services) to any gaming activity or enterprise. 

3.09 "Gaming Employee" means any person who (a) operates, 

maintains, repairs, assists in any Class I11 gaming activity, 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 Qr 

tribal gaming law requiring licensing, (c) is an employee of the 

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. 

3.10 "Gaming Enterprise" shall mean any gaming business, 

event, enterprise or activity conducted by or under the 

jurisdiction of the Tribe. 

3.11 "Gaming Facility" or "Facility" means any building in 

which Class I11 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 parking lots and walkways, a principal purpose of 

C.\Documents and Seningsbrla\Loul Senings\Temporary Interne1 F~lcs\OLKD\GarningCLEAN.doc 

November 15.2001 6 I 

l' I 
which is to serve the activities of the Gaming Operation, 

provided that notHing herein prevents the conduct of Class I1 

gaming (as defined under IGRA) therein. 

3.12 "Gaming Operation" means the business enterprise that 

offers and operates Class I11 Gaming Activities, whether 

exclusively or otherwise. 

3.13 "Gaming Resources" means any goods or services 

provided or used in connection with Class I11 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 I11 gaming activities, 

maintenance or security equipment and services, and Class I11 

gaming consulting services. "Gaming Resources" does not include 

professional accounting and legal services. 

3.14 "Gaming Resource Supplier" means any person or entity 

who, directly or indirectly, manufactures, distributes, 

supplies, vends, leases, or otherwise purveys Gaming Resources 

to the Gaming Operation or Gaming Facility, provided that the 

Commission may exclude a purveyor of equipment or furniture that 

is not specifically designed for, and is distributed generally 

for use other than in connection with, Gaming Activities, if the 

purveyor is not otherwise a Gaming Resource Supplier as 

described by of Section 6.4.5 of the Compact, the compensation 

received by the purveyor is not grossly disproportionate to the 

value of the goods or services provided, and the purveyor is not 

otherwise a person who exercises a significant influence over 

the Gambling Operation. 

3.15 "Key Employee" shall mean a person who performs one or 

more of the following functions: bingo caller, counting room 

supervisor, chief of security, custodian of gaming supplies or 

cash, floor manager, pit boss, dealer, croupier, approver of 

credit, or custodian of gaming devices including those persons 

with access to cash and accounting records within such devices. 

If not otherwise included, any other person whose total cash 

compensation is in excess of $50,000 per year, and the four (4) 

most highly compensated persons in the Gaming Enterprise are 

included in the definition of key employees. At the discretion 

of the Gaming Commission, other positions or persons may be 

included under and subject to the requirements for key 

employees. 

3.16 "Management Contractor" means any Gaming Resource 

Supplier with whom the Tribe has contracted for the management 

of any Gaming Activity or Gaming Facility, including, but not 

C.Documenls and SentngsLla\Local Sett~ngs\Tempoary lntcmcl Flles\OLKD\GamlngCLEAN doc 

November IS, 2001 7 
limited to, any person who would be regarded as a management 

contractor under IGRA. 

3.17 "National Indian Gaming Commission" ("NIGC") shall 

mean the commission established under IGRA. 

3.18 "Net Revenues" shall mean gross gaming revenues from 

all Gaming Activities of a Gaming Enterprise, less amounts paid 

out as, or paid for, prizes and less total gaming-related 

operating expenses, excluding management fees. 

3.19 "Person" shall mean any natural person or entity, 

including but not limited to corporations, partnerships and 

trusts or any group or combination acting as a unit. 

3.20 "Primary Management Official" shall mean the person 

who has management responsibility for a management contract; any 

person who has authority to hire and fire employees or to set up 

working policy for the Gaming Enterprise; or the chief financial 

officer or other person who has financial management 

responsibility. At the discretion of the Gaming Commission, 

other positions or persons may be included under and subject to 

the requirements for primary management officials. 

3.21 "Related to" shall refer to persons who are related to 

each other in the first degree as a father, mother, sister, 

brother, or child. 

3.22 "Reservation" shall mean all lands within the exterior 

boundaries of the Blue Lake Rancheria restored as Indian Country 

by the 1985 Stipulation for Entry of Judgment (Humboldt County), 

the 1986 Stipulation to Restoration of Indian Country (Humboldt, 

Mendocino, Lake, Plumas and Tuolumne Counties) and Order and any 

lands the title to which is held by the United States of America 

in trust for the Tribe or is subject to a restriction by the 

United States against alienation and over which the Tribe 

exercises governmental power, and any other land designated by 

the Secretary of the Interior as reservation land for the Blue 

Lake Rancheria. 

3.23 'State" shall mean the State of California. 

3.24 "State Gaming Agency" shall mean the California State 

Gambling Control Commission or such other Agency of the State as 

the State designates to perform the functions of the State 

Gaming Agency as def,ined in the Compact. 

3.25 "Tribal Court" shall mean any court established by the 

Tribe to hear disputes provided the court is a separate and 

C:Wurnents and Settinphrla\Local Scninp\Temporary Internet Flla\OLKD\GamingCLEAN.doc 

November 15.200 1 8 
independent branch of tribal government (whether a stand-alone 

court or a court serving multiple tribes) and the court complies 

with due process requirements as contained in the Indian Civil 

Rights Act, 25 U.S.C. S1302. In the absence of a Tribal Court, 

the term "Tribal Court" shall refer to arbitration pursuant to 

Section 11.16. 

3.26 "Tribal Member" shall mean any duly enrolled member of 

the Tribe. 

Section 4. Gaminq Commission. 

4.01 Establishment of Gaming Commission. There is 

established by the Tribe a Commission, acting under the 

authority of the Tribe, to be known as the Blue Lake Rancheria 

Gaming Commission. The Gaming Commission shall be composed of 

three (3) persons who would themselves qualify for licensing 

under this Ordinance, and shall be appointed by the Business 

Council. 

4.02 Qualifications for Office. The following are the 

qualifications for serving as a Commissioner: 

(1) At least one Commissioner must be a tribal member; 

(2) At least one Commissioner shall have a legal or 

law enforcement background; 

(3) At least one Commissioner shall have at least five 

years of business experience; 

(4) All Commissioners must be determined to meet the 

suitability standard contained in Section 9.05(2) and shall 

be subject to a background investigation as provided in 

Section 10. The Business Council shall conduct the 

suitability determination for the appointment of the first 

Commissioners. Thereafter, no Commissioner shall be 

qualified and seated until the Commission has determined 

that he or she meets the suitability standards set forth 

herein. 

4.03 Disqualifications for Office. The following persons 

may not serve as Commissioners: 

(1) Employees of any Gaming Enterprise on the 

Reservation; 

(2) Persons related to any Gaming Contractor 

(including any principal thereof or Closely Associated 

C.Documents and Sctttnpshrla:Local Setttnp\Temporary Internet Files\0LKD\Gam1n&l.EAN doc 

Novemkr IS. 200 I9 
Independent Contractor); 

(3) Persons who would not be eligible to be officers 

of the Tribe pursuant to the Tribe's Constitution; and 

(4) No more than one member of the Business Council. 

4.04 Terms of Office. The Business Council shall appoint 

two members of the Commission for an initial term of two (2) 

years. The remaining member of the Commission shall be 

appointed by the Business Council for an initial term of three 

(3) years. Thereafter all terms of the Commissioners shall be 

three (3) years. 

4.05 Removal from Office. Commissioners may only be 

removed from office before the expiration of their terms by a 

majority vote of the Business Council for neglect of duty, 

misconduct, malfeasance, or other acts that would render such 

persons unqualified for such duties or for licensure hereunder. 

Commissioners may not be removed for exercising their discretion 

or judgment or for how they voted on a particular issue. A 

Commissioner can only be removed from office by an affirmative 

vote of at least four (4) members of the Business Council after 

being served with a ten (10) day written notice setting froth 

the grounds for removal and setting a day, time, and place where 

the Commissioner upon whom the notice was served is given an 

opportunity to address the Council and present evidence and 

arguments on the Commissioner's behalf in opposition to the 

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

issue, the hearing may be held in executive session. The 

Business Council may also elect to receive in executive session 

any evidence public disclosure of which might compromise any ongoing law enforcement investigation, land acquisition for the 

Tribe or negotiations by the Tribe with a third party. 

4.06 Quorum. Two (2) members of the Gaming Commission 

shall constitute a quorum. 

4.07 Officers and Duties. The Gaming Commission shall 

select, by majority vote, a Chairman, Vice-Chairman and 

Secretary. The Chairman shall preside over meetings of the 

Gaming Commission and the Vice-Chairman shall preside in absence 

of the Chairman. The 

Secretary shall record or arrange for and supervise the 

recording in writing of the minutes of all Gaming Commission 

meetings and all official actions taken by the Gaming 

Commission. 

4.08 Voting. All actions of the Gaming Commission shall be 

C.U)ocurnents and Seninp\arla\Lowl Srninp\T crnporary Internet Files\OLKD\bin&CLEAN.doc 
taken by majority vote. The Commission Chairman may vote on any 

issue. 

4.09 Meetings. Meetings shall be held at least once per 

month, on a date tp be determined by the Commission at the 

Tribe's primary meeting facility, or such other location as 

shall be determined by the Commission and approved by the 

Business Council. Additional meetings shall be held as called 

by the Chairman or by at least two (2) other Commissioners. 

Notice of meetings shall be given in writing to each 

Commissioner, served by first class mail or personal delivery at 

least forty-eight(48) hours prior to such meeting. Meetings may 

be called at any time, by any means, with unanimous consent of 

the Commissioners. 

4.10 Compensation for Serving. The Business Council shall 

determine and authorize the compensation to be paid to 

Commissioners by adoption from time to time of a resolution 

based on a determination of time required to be expended upon 

Commission duties and the qualifications of the appointed 

Commissioners. 

4.11 Powers and Duties. Consistent with the provisions of 

this Ordinance, the Gaming Commission shall have the power and 

duty to: 

(1) Inspect, examine and monitor Gaming Activities, 

including the power to demand access to and inspect, 

examine, photocopy and audit all papers, books and records 

respecting such Gaming Activities; 

(2) Investigate any suspicion of wrongdoing in 

connection with any Gaming Activities; 

(3) Conduct, or cause to be conducted, such 

investigations as may be necessary to determine in 

connection with any Gaming Activities, compliance with law 

or this Ordinance or any contracts, agreements, goods, 

services, events, incidents, or other matters related to 

Gaming Activities; 

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

investigations regarding any person in any way connected 

with any Gaming Activities and issue licenses to, at 

minimum, all Key Employees, Primary Management Officials, 

Gaming Resource Suppliers, Management Contractors, and 

Financial Sources according to requirements at least as 

stringent as those in 25 C.F.R. parts 556 and 558; 

C.\Documen~s and Senings\arla\Lowl Smlngs\Ternponry Internet Files\OLKD\GarninbCLEAN.doc 

November l5.2OOl 1 1 
(5) Hold such hearings, sit and act at such times and 

places, summo'n persons on the Reservation or over whom they 

have jurisdiction to attend and testify at such hearings, 

take such testimony, and receive such evidence as the 

Gaming Commission deems relevant in fulfilling its duties; 

(6) Administer oaths or affirmations to witnesses 

appearing before the Gaming Commission; 

(7) Implement and administer a system for 

investigating, licensing and monitoring employees and 

others connected with Gaming Activities, as described 

below, including the issuance of licenses to gaming 

facilities, individuals and entities as required under this 

Ordinance and IGRA; 

(8) Hear patron complaints against the Gaming 

Establishment, in accordance with the procedures 

established in this Ordinance; 

(9) Subject to the appropriation of funds and 

approval by the Business Council, adopt a budget to finance 

the operations of the Gaming Commission including but not 

limited to the employment of such staff and support 

services as reasonably required to fulfill its 

responsibilities under this Ordinance; compensation of such 

employees shall be limited to that which is comparable to 

compensation paid to persons performing similar duties in 

other governmental gaming regulatory agencies; 

(10) To the extent required, comply with any reporting 

requirements established under the Compact and other 

applicable law, including the IGRA; 

(11) Promulgate and issue such regulations as it deems 

appropriate, in order to implement and enforce the 

provisions of this Ordinance including, but not limited to, 

adopting rules of procedure governing how its meetings will 

be conducted; 

(12) Promulgate regulations establishing minimum 

standards for the operation of any Gaming Activities 

conducted on the Reservation including but not limited to, 

auditing, internal fiscal controls, technical standards for 

electronic gaming and Gaming Resources, and describing and 

establishing rules for each Class I1 or Class I11 game 

authorized to be conducted on the Reservation, and 

providing that no form of such gaming may be conducted on 

the Reservation without the prior approval of the Gaming 

C.U)ocuments and Sen~npbrla\Local Sm~ngs\Ternponry Internet FII~S\OLKD\G~~I~CLEAN doc 
Commission; 

(13) Car,ry out such other duties with respect to 

Gaming Activities on the Reservation as the Business 

Council shall direct from time to time by amendment to this 

Ordinance or adoption of a written policy resolution; 

(14) Levy a tax or fee on Gaming Activities, Gaming 

Facilities, Gaming Enterprise and applicants for gaming 

licenses to cover the cost of conducting background 

investigations, issuing gaming licenses to persons engaged 

or wishing to engage in Gaming Activities on the 

Reservation, and funding the operation of the Commission; 

(15) Levy fines or suspend or revoke gaming licenses 

for violations of this Ordinance or the Gaming Commission's 

regulations; and 

(16) Carry out all responsibilities of a Tribal Gaming 

Agency required by the Compact. 

(17) The Tribal Gaming Commission shall not have 

jurisdiction over or authority to hear any claim against a 

Management Contractor for breach of the Management Contract. 

Nothing contained herein shall limit the Tribal Gaming 

Commission's jurisdiction over violations of the Tribe's Gaming 

Ordinance which shall be resolved in accordance with the Tribal 

Gaming Ordinance. 

4.12 Annual Reports. On or before April 30th of each year, 

the Gaming Commission shall provide to the Business Council an 

Annual ~eport summarizing its activities during the prior twelve 

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

all receipts and disbursements. The Business Council shall 

cause copies of the Annual Report to be made available to Tribal 

Members within thirty (30) days after receipt. 

4.13 Other Reporting Requirements. As required, the 

Gaming Commission shall comply with any reporting requirements 

established under the Compact and other applicable law, 

including the IGRA and regulations promulgated thereunder. 

4.14 Conflict of Interest. No Commissioner or person 

working for the Commission either as an employee or independent 

contractor ("staff person") shall use his or her official 

position to make, participate in making or attempt to influence 

a decision by the Commission as to which the Commissioner or 

staff person has a conflict of interest. Conflicts of interest 

shall be determined based on a conflict of interest code adopted 

C.Wocuments and Settinphla\Local Sen~ng.s\Temporary Internet Files\OLKD\GamigCLEAN.doc 
by the Business Council. At a minimum, a conflict of interest 

shall exist if the decision, including, but not limited to, 

licensing decisions, affects a significant financial interest 

of: 

(1) the Commissioner or staff person; 

(2) an immediate family member of the Commissioner or 

staff person; 

(3) a business entity of which the Commissioner or 

staff person is an owner, employee, or officer; 

(4) the Tribe, if the Commissioner is also a member of 

the Business Council; and 

(5) a source of income to the Commissioner or staff 

member. 

As used in this Section: 

(1) "immediate family member" means a spouse or 

meretricious spouse, a sibling, including a step-sibling, a 

parent, including a step-parent, an adult or minor child, 

including a step-child, or a grand-parent. 

(2) "source of income" means an employer of the 

Commissioner or staff person or a person or entity which has 

provided the Commissioner or staff person with more than $250 in 

the 12 consecutive months preceding the act of making, 

participation in or attempting to influence the decision. 

(3) "sign,if icant financial interest" means a 

foreseeable increase or decrease in annual income of more than 

$1,000 or a foreseeable increase or decrease in the value of 

real or person property of either more than $10,000 in fair 

market value or more than $1,000 in annual fair rental value. 

4.15 Contact with the NIGC. Members of the Commission and 

Commission staff are prohibited from contacting the NIGC with 

regard to the internal affairs of the Commission, the Gaming 

Enterprise, or the Tribe. The term "internal affairs" shall 

include any matter relating to Tribal political affairs, and any 

personnel or policy matters of the Tribe, the Commission or the 

Gaming Enterprise not specifically regulated by the NIGC under 

federal law. A violation of this regulation on the part of a 

Commissioner shall be grounds for removal by the Business 

Council, and any such failure on the part of any staff member, 

including Investigators, shall be grounds for suspension or 

C.\Documents and Sett~np.s\arla\Loc.aI Scttings\Temporary Internet F~lrs:OLKD\Gamin@EAN.dof 

November IS. 14 
termination. 

4.16 Mandatory Duty to Report Theft. Whenever the Gaming 

Commission knows or has reason to know, based upon reliable 

information, that a theft or embezzlement ("theft") of Gaming 

Enterprise funds has occurred, the Commission shall immediately 

notify the Business Council and the General Manager of the 

Facility, or, in the event that the suspect is the General 

Manager, then only the Business Council, that such a crime has 

been committed and shall immediately report the theft and file a 

complaint with the appropriate law enforcement agency (i.e., 

Federal Bureau of Investigation, Hurnboldt County Sheriff's 

Department and the State Gaming Agency, if required by the 

Compact) . 

Section 5. Permitted Gaminq Activities. 

5.01 Unauthorized Gaminq Prohibited. All Gaming Activities 

on the Reservation (whether Class I, I1 or 111) are prohibited 

except as expressly authorized under this Ordinance. 

(1) Class I Gaminq. Class I Gaming Activities are 

hereby permitted to the extent consistent with tribal 

custom and practice. The Gaming Commission may prohibit and 

prevent any conduct which is claimed to be Class I gaming 

if the Business Council finds that such conduct is not in 

accordance with tribal customs or practices or violates 

IGRA or any other law. 

(2) Class I1 and Class I11 Gaminq. Class I1 and 

Class 111 gaming on the Reservation is hereby authorized, 

provided the ~ribe has the sole proprietary interest in and 

responsibility for the conduct of any gaming enterprise, or 

to the extent the Tribe may contract with and license a 

person or entity to own, operate or manage the enterprise 

pursuant to the provisions of IGRA or as otherwise 

permitted by law. Nothing herein shall prohibit the Tribe 

from engaging the services of non-tribal persons as 

employees thereof or engaging any person or entity to 

provide consulting or other technical assistance or to 

assist the Tribe in the management of Gaming Activities 

pursuant to a management agreement entered into under the 

provisions of IGRA. Class I11 gaming shall be conducted in 

accordance with the Compact, or any alternative thereto as 

provided by IGRA. 

Section 6. Gaminq Revenues. 

6.01 Tribal Property. Except as provided for under the 

C:\Documents and Sctl~npbrla\LocaI Senings\Temporary lnlernet FII~S\OLKD\-CLEAN.~OC 
terms of an agreement pursuant to the provisions of IGRA or as 

otherwise permitted by law, all revenues generated from any 

Class I1 or Class I11 Gaming Activities are the property of the 

Tribe. Subject to any security arrangements in connection with 

financing Gaming Activities, a Gaming Facility or a Gaming 

Enterprise which security arrangements are permitted by law, any 

profits or net revenues from Gaming Activities shall be 

deposited into the Tribe's general treasury or such other tribal 

account as the Tribe shall determine. Once becoming part of the 

treasury such funds shall lose any identity as gaming revenues 

except to the extent necessary to identify them as such in order 

to comply with applicable law. No Tribal Member shall be deemed 

to have any interest in such profits or net revenues, provided 

that the Business Council may adopt rules for distributing 

gaming proceeds to Tribal Members on a per capita basis provided 

such plan meets the requirements of IGRA, 25 U.S.C. 5 2710 

(b)(3). Payments from the general treasury funds to Tribal 

Members under other tribal programs, including those related to 

health, welfare, education, elderly care, and housing, shall not 

be deemed to be per capita payments. 

6.02 Use of Net Revenues. Net Revenues from Gaming 

Activities shall not be used for purposes other than: 

(1) To fund tribal government operations or programs; 

(2) To provide for the general welfare of the Tribe 

and its members; 

(3) To promote economic development for the Tribe; 

(4) To donate to charitable organizations; 

(5) To help fund operations of local government 

agencies; or 

(6) To make per capita distributions to Tribal 

Members in accordance with Section 6.01 above. 

Section 7. Operation of Gaminq Establishments. 

7.01 Gaming Permitted as Licensed. Except to the extent 

authorized by an agreement pursuant to the provisions of IGRA or 

as otherwise permitted by law, Gaming Activities shall only be 

conducted in tribally owned, operated and licensed facilities 

pursuant to the provisions of this Ordinance. Such activities 

shall be conducted in accordance with the terms and conditions 

of any license issued by the Tribe or Gaming Commission for such 

purposes as to each facility before any Gaming Activities may 

C 'Documenls and Sett~npmla\Local Sentnps\Temporary lnremcl FII~~\OLKD\G~~I~$LEAN doc 
occur therein. Such licenses shall specify the hours of 

operation, type and scope of Gaming Activities allowed therein, 

permitted uses of the facility for other activities, rules of 

conduct for employees and patrons, regulation of alcoholic 

beverages, food handling and entertainment, and such other 

matters as the Gaming Commission or the Business Council may 

deem necessary to the conduct of Gaming Activities therein. 

7.02 Protection of Environment and Public. Any 

construction or maintenance of any gaming facility, and the 

operation of gaming therein, shall be in accordance with the 

Uniform Building Codes or any ordinance of the Tribe 

establishing uniform standards for construction on the 

Reservation and conducted in a manner which adequately protects 

the environment and the public health and safety. 

7.03 Dispute Resolution. Patrons who have complaints 

against the Gaming Enterprise shall have as their sole remedy 

the right to file a petition for relief with the Gaming 

Commission. For such purposes, disputes with any management 

contractor or its employees shall be made to the Gaming 

Commission, and such shall be the exclusive remedy for patron 

complaints. Complaints shall be submitted in writing and, at 

the discretion of the Gaming Commission, the petitioner may be 

allowed to present evidence. The Gaming Commission will render 

a decision in a timely fashion and all such decisions will be 

final when issued. Any patron having a claim against the Gaming 

Enterprise or a management contractor or its employees must 

submit such claim to the Gaming Commission within thirty (30) 

days of its occurrence or within such time periods as the 

Commission shall establish by regulation. All claims by patrons 

shall be limited to a maximum recovery of $10,000 per 

occurrence, and a cumulative limit of $20,000 per patron in any 

twelve (12) month period. 

Section 8. Audits. 

8.01 Annual Audits. Annual outside auditing by a 

recognized independent accounting firm shall be conducted of 

each-gaming activity in accordance with the auditing and 

accounting standards for audits of casinos of the American 

Institute of Certified Public Accountants and the results 

thereof reported to the Business Council, and, to the extent 

required by law, the Bureau of Indian Affairs, the NIGC, and the 

State Gaming Agency. 

8.02 Audit Requirements. All contracts for supplies, 

services, or concessions for a contract amount in excess of 

Twenty-five Thousand Dollars ($25,000.00) annually (except 

C.\Dwuments and Seningsbrla\Local Seninps\Temporary Internet FII~s\OLKD\-CLEAN.~OC 
contracts for prof~essional legal or accounting services) 

relating to Class I1 or Class I11 gaming on the Reservation 

shall be subject to independent audits, and such contracts shall 

so specify. 

8.03 Minimum Internal Control Standards. Prior to the 

initiation of any Class I11 Gaming, the Commission shall adopt, 

subject to approval of the Business Council, and thereafter 

maintain Minimum Internal Control Standards which are 

substantially consistent with or superior to the Minimum 

Internal Control Standards adopted by the National Indian Gaming 

Commission. 

8.04 Cash Transaction Reportinq. The Commission shall 

ensure that all Class I11 Gaming Operations - - comply - - with currency 

transaction reporting requirements as provided in the Compact. 

8.05 Minimum Bankroll. All Gaming Operations shall 

maintain cash or cash equivalents in an amount sufficient to 

reasonably protect the Gaming Operation's patrons against 

defaults in gaming debts owed by the Gaming Operation. 

Section 9. Licenses, Applications and Licensing Procedures. 

9.01 Authority to License. The Commission shall have the 

authority to issue Licenses for the conduct of all Gaming 

authorized by the Business Council consistent with this 

Ordinance, IGRA and the Compact. 

9.02 Types of Licenses Required. 

(1) Persons. The following Persons must obtain 

Licenses as a precondition to employment in, management of 

or contracting with any Gaming Operation: 

a. any Management Contractor; 

b. any Financing Source; 

any Gaming Resource Supplier who, directly 

or indirectly, provides, has provided, or is 

deemed likely to provide at least twentyfive thousand dollars ($25,000.00) in Gaming 

Resources in any 12-month period, or who has 

received at least twenty-five thousand 

dollars ($25,000.00) in any consecutive 12- 

month period within the 24-month period 

immediately preceding application for a 

License; 

d. any Gaming Employee; 

C.U)ocurnents and Sen~np\arla\Local Sen~ngs\Temporar). Inlemc F1les\0LKD\(;arntn&LEAN doc 

November I 5. ~WI 1 8
e. all Primary Management Officials; and 

f. all Key Employees. 

(2) Gaming Facilities. Each Gaming Facility must 

obtain a separate License from the Commission. 

9.03 License Requirements. 

(1) Licenses shall be issued for Class I1 or Class 

I11 Gaming, and shall indicate the type and class of 

License on the face of the License. A combined Class I1 

and Class I11 License may be issued if appropriate. A 

License shall be valid for one (1) Facility or location 

only, and the location shall be identified on the face of 

the License. 

(2) Licenses issued pursuant to this Ordinance shall 

be issued according to the requirements at least as 

stringent as those set forth at 25 C.F.R. Parts 556 and 

558, and any amendments thereto. 

9.04 Application for License. 

(1) No License shall be issued under this Ordinance 

except upon a sworn Application filed with the Commission, 

in such form as may be prescribed by the Commission, 

containing a full and complete showing, at a minimum, of 

the following: 

a. if applicable, a complete description of the 

premises at which Gaming will be conducted; 

b. the Applicantf s fulfillment of and 

compliance with all applicable requirements 

of IGRA, all provisions of this Ordinance 

and for Gaming Employees, Gaming Resource 

Suppliers, Management Contractors, and 

Financial SourceS, the applicable provisions 

of the Compact. 

(2) In reviewing an application for a gaming license, 

the Commission shall consider whether issuance of the 

license is inimical to public health, safety, or welfare, 

and whether issuance of the license will undermine public 

trust that the Tribe's Gaming Operations, or tribal 

government gaming generally, are free from criminal and 

dishonest elements and would be conducted honestly. A 

license may not be issued unless, based on all information 

and documents submitted, the Commission is satisfied that 

the applicant is all of the following: 

a. A person of good character, honesty, 

C.\Docurnents and Setunp\arla\Lccal Sectinp\Ternpomy Intern* Files\OLKD\-LEAN.doc 

Norcmba 15.200 1 1 9 
and integrity. 

b. A person whose prior activities, 

criminal record (if any), reputation, 

habits, and associations do not pose a 

threat to the public interest or to the 

effective regulation and control of 

gambling, or create or enhance the dangers 

of unsuitable, unfair, or illegal practices, 

methods, or activities in the conduct of 

gambling, or in the carrying on of the 

business and financial arrangements 

incidental thereto. 

(3) The issuance of Licenses shall also be subject to 

the provisions of Section 11 of this Ordinance regarding 

background investigations. 

(4) The following notices shall be placed on the 

application form for an Applicant before such form is 

completed by the Applicant: 

a. "In compliance with the Privacy Act of 1974, 

the following information is provided: 

Solicitation of the information on this form 

is authorized by Chapter 25 U.S.C. 52701 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 

the Commission, the State of California, 

and/or the National Indian Gaming Commission 

members and staff who have need for the 

information in the performance of their 

official duties. The information may be 

disclosed to appropriate Federal, Tribal, 

State, local, or foreign law enforcement and 

regulatory agencies when relevant to civil, 

criminal or regulatory investigations or 

prosecutions or when pursuant to a 

requirement by a tribe or the National 

Indian Gaming Commission in connection with 

the hiring or firing of an employee, the 

issuance or revocation of a gaming License, 

or investigations of activities while 

associated with a tribe or a gaming 

operation. Failure to consent to the 

disclosures indicated in this notice will 

result in a tribe's being unable to hire you 

in a Primary Management Official or Key 

Employee position. 

The disclosure of your Social Security 

Number (SSN) is voluntary. However, failure 

C \Documents and Sett~np\arla\Local Sect~np\Temporary lntrmd FII~~\OLKDU~~~CLEAN doc: 

Novernba IS. 200 120 
I to supply a SSN may result in errors in 

processing your application." 

b. "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 

901) ." 

9.05 Release of Information Required. All Applicants for a 

License shall be required to wrovide releases to the State 

Gaming Agency to make available to the Commission background 

information regarding the Applicant. 

9.06 Fingerprint Cards Required and Use of CLETS. 

(1) All Applicants for a License are required to 

submit fingerprint cards. The Tribal Police, the state 

police of the state in which the Applicant resides, and the 

Humboldt County Sheriff' s Department are hereby identified 

as law enforcement agencies with law enforcement authority 

to take fingerprints ("Enforcement Agencies"). Pursuant to 

25 C. F. R. S522 -2 (h) , the Enforcement Agencies shall forward 

an Applicant's fingerprint card to the Federal Bureau of 

Investigation National Criminal Information Center. The 

Commission may submit an Applicant's fingerprint card to 

any additional tribal, local or state criminal history 

check system or center as the Commission deems necessary or 

appropriate. Reports obtained from such fingerprint 

processing shall be incorporated into the Applicant's file. 

(2) For purposes of receiving information from the 

California Law Enforcement Telecommunications System 

("CLETS") ,members, investigators and staff of the 

Commission shall be subject to and comply with Article 6 

(commencing with section 11140) of Chapter 1 of Title I of 

Part 4 of the California Penal Code, and shall be entitled 

to receive state summary criminal history information 

within the meaning of subdivision (b) (12) of Penal Code 

Section 11105. The Commission may comply with any terms or 

conditions imposed by the CLETS advisory committee as part 

of its determination that the Commission is qualified for 

receipt of services from the California Department of 

Justice through the CLETS. 

9.07 Continuing Duty to Provide Information. Applicants 

and Licensees shall have a continuing duty to provide any 

materials, assistance or other information- requibed by the 

Commission, and to fully cooperate in any investigation 

conducted by or on behalf of the Commission. If any information 

provided on the Application changes or becomes inaccurate in any 

way, the Applicant or Licensee shall promptly notify the 

Commission of such changes or inaccuracies. 

C Uhumen~s and Serr~npwla\Lowl ~ett~np\~en(porruy Intan* FII~s\OLKD:G~~I~~CLEAN.~OC 

November IS. 200 12 1 
9.08 Term of License; License Fees; Parameters of License. 

(1) Licenses, except Temporary Licenses, shall be for 

a term of two years, and shall expire on the second 

anniversary of the effective date of such License (s) . The 

effective date and period shall be stated on the face of 

the License. A License may be renewed by submission not 

less than sixty days prior to expiration of the currently 

effective License of an application which updates and does 

not repeat information contained in the original License 

application. 

(2) In order for the Tribe to recover the costs of 

complying with federal, Tribal, and State regulatory 

processes applicable to Gaming, the Commission may adopt by 

resolution from time-to-time and impose reasonable fees for 

License Applicants. 

9.9 Facilitv License. 

(1) The Commission may issue an annual Facility 

License to a Gaming Establishment, if the Gaming Facility: 

a. is a sound physical structure with adequate 

and safe plumbing, electrical, heating, 

cooling and ventilation systems in place and 

operational; 

b. has been inspected and approved for safety 

by a building and fire inspector designated 

by the Commission or otherwise authorized to 

conduct such inspections by Tribal law; 

c. is adequate in all respects to accommodate 

the Gaming intended to be carried out within 

the structure; 

d. meets all requirements of applicable federal 

and tribal and any state law made applicable 

by the Tribe, including the current edition 

of the Uniform Codes adopted by the 

International Conference of Building 

Officials, or such Tribal building codes, 

including electrical, mechanical and 

plumbing codes as have been adopted by the 

Tribe; 

e. is equipped with security and surveillance 

equipment meeting or exceeding standards 

adopted by the Commission by resolution; and 

f. has paid all applicable License fees, taxes 

and costs. 

C:\Documents and Sen~npbrla\Local Senings\Ternporary Intemd Files\OLKD\GamqCLEAN.doc 

November 15.2W I 22 
(2) The Licensed Facility shall: 

a. at all times maintain an orderly, clean and 

neat Gaming Facility, both inside and 

outside the premises of the Gaming Facility; 

b. be subject to patrol by the Tribef s security 

and law enforcement personnel and, when 

authorized, local and state law enforcement, 

and the Licensee shall cooperate at all 

times with such security and law enforcement 

officials; and 

c. be open to inspection by authorized Tribal 

officials at all times during business hours 

and to such inspection by authorized 

officials of the State Gaming Agency as are 

required by the Compact; 

9.10 Temporary Employment Pending Issuance of License and 

During Temporary License Period. 

Notwithstanding anything herein to the contrary, if the 

Applicant has completed a license application in a manner 

satisfactory to the Commission, and the Commission has conducted 

a preliminary background investigation, and the investigation or 

other information held by the Commission does not indicate that 

the Applicant has a criminal history or other information in his 

or her background that would either automatically disqualify the 

Applicant from obtaining a License or cause a reasonable person 

to investigate further before issuing a License, or is otherwise 

unsuitable for licensing, the Commission may issue a temporary 

license and may impose such specific conditions thereon pending 

completion of the Applicant's background investigation, as the 

Commission in its sole discretion shall determine. Special fees 

may be required by the Commission to issue or maintain a 

temporary license, which the Commission may adopt and revise by 

resolution from time to time. A temporary license shall remain 

in effect until suspended or revoked, or a final determination 

is made on the application. At any time after issuance of a 

temporary license, the Commission may suspend or revoke it in 

accordance with Sections 10.09, 10.10, or 10.11. Temporary 

employment shall be terminated upon the occurrence of any of the 

following: 

a. denial of a relevant License by the Commission; 

c. unsatisfactory completion of a background 

investigation or NIGC review resulting in 

nullification of a Temporary License, as 

described in Section 10.09; or 

d. to the extent required under 25 C.F.R. Part 558 

C::Documen~s and Sctt~np\arla\Local Senlnp\Tcmpor+ lnlernet F1les\OLKD\Garni6LEAN.doc 

Novembu 15.200123 
and, at the end of thirty (30) days after the 

starting date of temporary employment, if at the 

end of such period no License has been issued 

hereunder or if a License issued hereunder 

remains effective only on a temporary basis; 

provided, however, that temporary employees 

terminated for the reason described in this 

subsection shall be qualified for re-employment 

upon the satisfactory completion of background 

investigations and NIGC reviews. 

9.11 Assignment or Transfer. No License issued under this 

Ordinance may be assigned or transferred unless the proposed 

assignee or transferee would independently be qualified to hold 

the License proposed to be assigned or transferred and the 

Commission approves of such assignment or transfer. 

Section 10. Background Investigations and Licensing Decisions 

10.01 Required Background Investigations. Background 

investigations shall be conducted by the Commission, or other 

agent retained by the Commission, under the supervision and 

direction of the Commission, on all Persons specified in Section 

9.02(1)0£ this Ordinance. 

10.02 Standards for Background Investigations. 

(1) All background investigations shall be conducted 

to ensure that Gaming Operations shall not employ as a 

Gaming Employee, Primary Management Official, Key Employee 

or contract with a Management Contractor, Gaming Resource 

Supplier, or Financial Source, any person whose prior 

activities, or reputation, habits and associations pose a 

threat to the public interest or to the effective 

regulation of Gaming, or create or enhance the dangers of 

unsuitable, unfair or illegal practices and methods and 

activities in the conduct of such Gaming. 

(2) Such investigations shall be conducted according 

to requirements at least as stringent as those set forth at 

25 C.F.R. Parts 556 and 558, the Compact, and this Section 

10. 

(3) Background investigations shall be conducted in a 

manner which takes all reasonable steps to ensure the 

confidentiality of the information generated by the 

investigation as well as that submitted by the Applicants. 

The Commission shall adopt by resolution rules and 

procedures to protect the confidentiality of such 

information. 

10.03 Information Required for Background 

Investigations. 

Each Person subject to a background investigation under Section 

C:U>ocuments and Settlnphrla\Lml Senlnp\Temporary Internet F1les\0LKD!Ganin~CLEAN.doc 

Novemba IS. 200124 
9.02 (1) of this Ordinance shall be required to provide, subject 

to the Privacy Act of 1974, at a minimum, and in such form as 

designated by the Commission, all of the following information: 

(1) full name, other names used, social security 

number (s) , birth date, place of birth, citizenship, gender, 

all languages (spoken or written); 

(2) currently and for the previous ten (10) years, 

all business and employment positions held, ownership 

interests in those businesses, business and residence 

addresses, and driver's license numbers; 

(3) the names and current addresses of at least three 

(3) personal references, including one personal reference 

who was acquainted with the Applicant during each period of 

residence listed under Section 9.03 (2) ; 

(4) current business and residence telephone numbers; 

(5) a description of any existing and previous 

business relationships with any Native American Indian 

tribe, including but not limited to a description of the 

amount and type of ownership interest in those businesses; 

(6) a description of any existing and previous 

business relationships with gaming, including but not 

limited to a description of the amount and type of 

ownership interest in those businesses; 

(7) the name and address of any licensing or 

regulatory agency with which the Person has filed an 

application for a license or permit related to any gaming 

or gambling, whether or not such license or permit was 

granted; 

(8) for each felony for which there is an ongoing 

prosecution or conviction, the charge, the name and address 

of the court involved, and the date and disposition, if 

any; 

(9) for each misdemeanor conviction or ongoing 

misdemeanor prosecution (excluding minor traffic 

violations), within ten (10) years of the date of the 

application, the name and address of the court involved and 

the date and disposition; 

(10) for each criminal charge (excluding misdemeanor 

traffic charges, but including any DWI, reckless or 

careless driving charges), whether or not there is a 

conviction, if such criminal charge is within ten (10) 

years of the date of the application and is not otherwise 

listed, the type of criminal charge, the name and address 

of the court involved and the date and disposition of such 

C.\Documents and Seninphla\Lowl Sctt~ng\Temporary lntmt Files\OLKD\Gmia~€LEAN.doc 

Novembcr 15.2001 25 
charge; 

(11) the name and address of any licensing or 

regulatory agency with which the person has filed an 

application for an occupational license or permit, whether 

or not such license or permit was granted; 

(12) a current photograph; 

(13) any other information the Commission deems 

relevant; and 

(14) fingerprints consistent with the provisions of 

Section 9.07. 

10.04 Backaround Investiaation Process. 

(1) The Commission or its investigator shall, at a 

minimum: 

a. Verify all information on the Application 

and related documents; 

b. To the extent deemed necessary, interview or 

obtain references from current and prior 

employers and immediate supervisors for the 

preceding five (5) years; 

c. To the extent deemed necessary, interview 

any or all personal references; 

d. Obtain and verify the Applicant's criminal 

history record; and 

e. To the extent deemed necessary interview the 

Applicant. 

(2) The investigator shall make a written report of 

the investigation to the Commission, including therein the 

steps taken in conducting the investigation, the names, 

addresses and relationship to the Applicant of any persons 

interviewed, the information obtained from each person 

interviewed regarding the Applicant's reputation, habits 

and associations, the apparent candidness (or lack thereof) 

of the persons interviewed, and any other information 

garnered or learned about the Applicant and the source of 

the information, and shall particularly identify all 

potential problem areas and sources of the information. 

Eligibility Determination; Licensing Decision. 

(1) The Commission shall review the report and any 

additional information known to it, taking into account the 

Applicant' s prior activities, criminal record, if any, and 

C:\Documents and Sentnp\arla\Lowl Seninp\Ternporary Internet F~I~~\OLKD\GJ~~&LEAN.Q~~ 

Novemtu 15.m126 
reputation, habits and associations, and shall make a 

determination concerning the Applicant's eligibility for a 

License under the suitability standards in Section 9.05(2). 

The Commission shall deny an application for a License, if 

it determines that the Applicant does not satisfy said 

suitability standard. A Gaming Operation shall not employ 

that person as Gaming Employee, Key Employee or Primary 

management official or shall not contract with the Person 

as a Management Contractor, Gaming Resource Supplier or 

Financial Source, unless the Person has received a 

temporary license or if the license application is denied. 

(2) In addition to the requirements of Section 

9.05(2), the Commission shall not issue a permanent License 

until it has determined that the following minimum 

requirements have been met: 

a. the Applicant has fully completed all 

required Application forms and has provided 

the Commission with all other information 

that the Commission has requested; 

b. the Applicant meets all of the licensing 

requirements of this Ordinance; 

c. the Commission has reviewed the Applicant's 

criminal history record and deems the 

Applicant's criminal history to be 

satisfactory to hold a License; and 

d. all applicable License fees, taxes and costs 

have been paid. 

10.06 Procedures for Forwarding Applications and 

Reports for Key Employees and Primary Management Officials to 

the National Indian Gaming Commission; Issuance of Temporary -. Licenses. 

(1) If the Commission determines that an Applicant is 

eligible for a License, it may issue a temporary License if 

it determines that the Applicant must start work 

immediately, pending a review of the Applicant's 

eligibility by the National Indian Gaming Commission. 

Within ten days of the issuance of a temporary License or 

upon a determination of eligibility, whichever occurs 

first, the Commission shall forward copies of the 

Applicants' employment and License application, and 

background investigation report and related information to 

the National Indian Gaming Commission. An investigative 

report shall include all of the following: 

a. Steps taken in conducting a background 

investigation; 

C:\Documenrs and Se~~~npwrla.LocaI Se~unp\Temporary Intoner F~les'.OLKD\GamingLEAN.doc 

November IS. 2001 27 
b. Results obtained; 

c. Conclusions reached; and 

d. The bases for those conclusions. 

The Commission shall submit, with the report, a copy of the 

eligibility determination made under this section. 

(2) If a temporary License is not issued to an 

Applicant or if the Commission determines an Applicant is 

not eligible for a License, the Commission: 

a. Shall notify the National Indian Gaming 

Commission; and 

b. May forward copies of its eligibility 

determination and investigative report (if 

any) to the National Indian Gaming 

Commission for inclusion in the Indian 

Gaming Individuals Records System. 

(3) With respect to Key Employees and Primary 

Management Officials, the Commission shall retain 

Applications for employment and reports (if any) of 

background investigations for inspection by the Chairman of 

the National Indian Gaming Commission or his or her 

designee for no less than three (3) years from the date of 

termination of employment. The Commission shall adopt by 

regulation policies governing the retention of all other 

records. 

10.07 Granting Licenses to Key Employees or Primary 

Manaaement Officials. 

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

National Indian Gaming Commission receives the information 

required in Section 10.6, the National Indian Gaming 

Commission notifies the Tribe that it has no objection to 

the issuance of a License to the Applicant, the Commission 

may issue a permanent License to such Applicant. 

(2) The Commission shall respond to a request for 

additional information from the Chairman of the National 

Indian Gaming Commission concerning a Key Employee or a 

Primary Management Official who is the subject of a report. 

Such a request shall suspend the 30-day period under 

paragraph (1) of this section until the Chairman of the 

National Indian Gaming Commission receives the additional 

information. 

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

above, the National Indian Gaming Commission provides the 

Tribe with a statement itemizing objections to the issuance 

C Wocuments and Sen~ngshrla\Lowl Sen~np\Temporary Internet Flles\OLKD\=&CLEAN doc 

November 15.100 I 2 8 
of a license) to a Key Employee or to a Primary Management 

Official for whom the Tribe has provided an application and 

investigative report to the National Indian Gaming 

Commission, the Tribal Gaming Commission shall make the 

final decision whether to issue a license to such 

Applicant. 

(4) To the extent permitted by the IGRA and its 

implementing regulations, the Commission may contract with 

the State Gaming Agency for the conduct of background 

investigations, may rely on a state certification of nonobjection previously issued under a gaming compact 

involving another tribe, or may rely on a State gaming 

license previously issued to the applicant, to fulfill some 

or all of the Commission's background investigation 

obligation under this Section 10. 

10.08 Denial of a License Application. The Commission, 

after any required hearing conducted pursuant to Section 11 of 

this Ordinance, may deny an Applicant a License only after it 

has determined that the requirements contained in this Ordinance 

have not been met by the Applicant or the Applicant's 

Application, or if the Commission determines that the Applicant 

does not meet the suitability standards in Section 9.05(2). 

10.09 License Revocation and Suspension Following 

Receipt of Information from NIGC. 

(1) If, after the issuance of a License, the Tribe 

receives information from the NIGC indicating that a 

Management Contractor, Key Employee, or Primary Management 

Official is not eligible for employment under this 

Ordinance, the Commission shall suspend such License, shall 

notify the Licensee in writing of such suspensicn and the 

potential revocation of the Licensee's License, and if 

required by Section 11 shall conduct a hearing in 

accordance with that section regarding the proposed License 

revocation. 

(2) After a hearing, if required, the Commission 

shall revoke or reinstate a License suspended pursuant to 

subsection (1) of this Section. The Commission shall 

notify the NIGC of its decision. A Management Contractor 

whose License has been revoked or suspended pursuant to 

this Section may not operate a Gaming Operation. 

10.10 License Cancellation or Sus~ension. 

(1) Any License issued hereunder may be canceled, 

limited, revoked, suspended, terminated or modified by the 

Commission, after a hearing, if required, as provided in 

Section 11, for the breach of any of the provisions of the 

License, the IGRA, the Compact or this Ordinance. In 

addition a License may be summarily suspended, without a 

C \Documen~s and Scnlngsarlo\Local Sen~ngdTemporary Interne1 Flles\OLKD\GamlngCLEAN.doc 1 November IS. m129 
prior opportunity for a hearing, only if the continued 

employment or involvement of the Licensee in a Gaming 

Operation would pose a danger to the safety, welfare or 

integrity of the Gaming Operation, or upon notice to that 

effect from the NIGC or the State pursuant to the terms of 

the Compact. 

(2) After a revocation hearing, if required, the 

Commission shall decide to revoke or to reinstate a gaming 

license. The Commission shall notify the National Indian 

Gaming Commission of its decision. 

(3) A copy of the Commission's decision regarding the 

revocation of a permanent License shall be sent to the 

NIGC. 

10.11 Revocation Based on Notice from the State Gamina 

Agency. 

(1) Except as provided in subsection 10.11 (2) 

below, upon receipt of notice that the State Gaming Agency 

has determined that a Gaming Employee, Gaming Resource 

Supplier, Management Contractor or Financial Source would 

be unsuitable for licensure in a gambling establishment 

subject to the jurisdiction of the State Gaming Agency, the 

Commission shall promptly revoke any license that has 

theretofore been issued to said Person; provided that the 

Commission may, in its discretion, re-issue a license to 

the Person following entry of a final judgment reversing 

the determination of the State Gaming Agency in a 

proceeding in state court conducted pursuant to section 

1085 of the California Code of Civil Procedure. 

(2) Notwithstanding a deternination of unsuitability 

by the State Gaming Agency, the Commission may, in its 

discretion, decline to revoke a tribal license issued to a 

person employed by the Tribe pursuant to subsections 1 and 

2 below. 

the Tribe may retain in its employ a Person 

whose application for a determination of 

suitability, or for a renewal of such a 

determination, has been denied by the State 

Gaming Agency, if: (i) the Person holds a 

valid and current license issued by the 

Commission that must be renewed at least 

biennially; (ii) the denial of the 

application by the State Gaming Agency is 

based solely on activities, conduct, or 

associations that antedate the filing of the 

Personr s initial application to the State 

Gaming Agency for a determination of 

suitability; (iii) the Person is not an 

employee or agent of any other gaming 

C \Documents and Sett~np.aIa',L~ml Setrings\Tcmporary Intanel Files\OLKD\GeLEAN doc 

November 15.30 1 3 0 
Section 11 

operation; and (iv) the Person has been in 

the continuous employ of the Tribe for at 

least three years prior to the effective 

date of this Compact. 

Notwithstanding subdivision 1, above, the 

Tribe may employ or retain in its employ a 

Person whose application for a determination 

of suitability, or for a renewal of such a 

determination, has been denied by the State 

Gaming Agency, if the Person is an enrolled 

member of the Tribe, as defined in this 

subdivision, and if (i) the Person holds a 

valid and current license issued by the 

Commission that must be renewed at least 

biennially; (ii) the denial of the 

application by the State Gaming Agency is 

based solely on activities, conduct, or 

associations that antedate the filing of the 

Person's initial application to the State 

Gaming Agency for a determination of 

suitability; and (iii) the Person is not an 

employee or agent of any other gaming 

operation. For purposes of this subdivision, 

"enrolled member" means a Person who is 

either (a) certified by the Tribe as having 

been a member of the Tribe for at least five 

(5) years, or (b) a holder of confirmation 

of membership issued by the Bureau of Indian 

Affairs. 

Rules of Procedure for Commission Hearinas 

11.C1 Scope of Rules of Procedure. All License 

hearings, enforcement hearings and exclusion hearings conducted 

pursuant to this Ordinance shall be governed by this Section. 

Hearings. 

(1) The Commission shall afford an Applicant an 

opportunity for a hearing prior to any final action by the 

Commission on an Application, other than an unconditional 

grant of a License. 

(2) The Commission shall afford a Licensee the 

opportunity for a hearing prior to taking final action 

resulting in the revocation of the License or the 

imposition of any penalties which the Commission is 

authorized to impose pursuant to this Ordinance. 

(3) Nothing in this Section shall limit the 

Commission's authority to summarily suspend or revoke a 

License without a hearing pursuant to Section lO.lO(l)of 

this Ordinance. 

C \Documents and Settlnps\arla\LocaI Sett~np\Temponry lntanet FII~S\OLKD\G~~&!LEAN doc 

November 15.200 13 1 
11.03 Notice of Action. The Commission or its agent 

assigned by the Commission to make initial licensing decisions, 

shall provide an ~pplicant, Licensee or other Person ("Affected 

Party") with a Notice of its intended action. 

(1) The Notice shall contain all of the following 

information. 

a. The proposed action. 

b. Its effective date, if it involves the 

suspension, modification, or revocation of a 

license or another penalty. 

c. The reasons for the action. 

d. The factual basis for the action. 

e. A statement that the Affected Party has a 

right to a hearing on the proposed action, 

if he or she requests a hearing by filing a 

written request therefor with the Commission 

not later than 10 days from the date of the 

Notice. The Notice must state reasons the 

party requesting the hearing believes the 

proposed action is incorrect and the factual 

errors in the Notice of proposed action. 

(2) The Notice shall be served on the Affected Party 

by certified mail, return receipt requested or by personal 

service. The Notice shall be delivered to the Affected 

Partyf s address as stated in a license application, license 

or in the Commission's official records. The Notice served 

within Humboldt County shall be deemed received twenty-four 

(24) hours after it is deposited in the United States mail 

or on the date of receipt in the case of personal service. 

Notices served outside Humboldt County shall be deemed 

received seventy-two hours after it is deposited in the 

United States mail or on the date of receipt in the case of 

personal service. "Personal Service" includes delivery by 

fax or email, if the Affected Party has agreed to accept 

service by those means, o.r overnight courier. Failure to 

receive a return receipt or an indication of non-delivery 

on the receipt shall not affect the validity of the service 

or the time period within which a hearing request must be 

received by the Commission. 

(3) If the request for a hearing is received by the 

Commission within the required ten (10) day period, the 

Commission shall conduct a hearing as further provided 

herein. If the Commission fails to receive the written 

request within that time, the proposed action shall become 

the final action of the Commission, unless the Commission 

C Documen~s and Se~rings\arla\Lwl Seninp\Tempoary lnlemet Files\OLKD\Gam~n~C~N.doc 

1 November IS. 2001 32 
grants a time extension, for good cause shown, but only if 

it receives a written request for a time extension from the 

Affected Party within ten (10) days of the original hearing 

request deadline. The Commission may grant or deny the 

request for a time extension in its sole discretion, which 

decision shall not be subject to further judicial review. 

(4) Any hearing conducted in response to a written 

request for a hearing shall be limited to the issues 

identified in the request. 

11.04 Affect of Pendinq Appeal. An appeal of a 

proposed denial of a license application shall not reinstate a 

temporary license and the Applicant shall not be employed or 

contracted with while the appeal is pending. A suspension, 

revocation or other penalty shall not become effective while the 

appeal is pending, unless authorized by Sections 10.09, 

10.10(1), or 10.11, and by specific order of the Commission. 

11.05 Notice of Hearing. The Commission shall provide 

written notice to the Affected Party of the hearing at least 

seven (7) days prior to the date set for the hearing. The 

notice shall state the date, time and place of the hearing. The 

Notice shall be served as provided in Section 11.03(2). 

11.06 Ex Parte Communications. 

(1) No ex parte communication relative to the 

action(s) being considered by the Commission, or a threat 

or offer of reward shall be made, before a decision is 

rendered, to any member of the Commission by or on behalf 

of the Applicant or Licensee, or any legal representative 

or counsel of the Applicant or Licensee. 

(2) Nothing in this Section shall prohibit the 

Applicant, Licensee or its authorized agent from 

communicating with the Commission's legal counsel, its 

investigators or other authorized agents. 

(3) Any member of the Commission who receives an ex 

parte communication shall immediately report such 

communication to the Commission's legal counsel or agent. 

(4) For purposes of this Section only, the action(s) 

being considered by the Commission shall be those matters 

identified in the written notice as provided in Section 

11.03(2)of this Ordinance, as well as any other matters 

that are actually considered by the Commission during a 

hearing. All matters identified in the written notice 

shall be subject to the prohibition against ex parte 

communications. All matters not identified in the written 

notice that are considered by the Commission during a 

hearing become subject to the prohibition against ex parte 

communications as soon as they are discussed during the 

C.\Documen~s and Senlnpiarle LccaI Setr~np\Temponry Intcmc! Files\0LKD\Gam1n&CLEAN,doc 

November IS. 200133 
hearing. 

(5) The Commission shall have the power to impose any 

sanction pursuant to this Section upon its determination 

that an Applicant or Licensee has made an ex parte 

communication in violation of this Section. 

Appearance through Counsel. 

(1) Parties to all hearings governed by this 

Ordinance may appear personally or through an attorney, 

except that a party must personally attend any hearing on 

the merits unless his attendance has been waived, in 

writing, by the Commission. 

(2) When a party has appeared through an attorney, 

service of all notices, motions, orders, decisions and 

other papers shall thereafter be made upon the attorney, 

unless the party requests otherwise in writing. 

(3) When a party is represented by an attorney, the 

attorney shall sign all motions, notices, requests, and 

other papers on behalf of the party, including a request 

for subpoenas. 

(4) Any attorney appearing before the Commission must 

be duly admitted and licensed to practice law before the 

Courts of the State of California and before the Tribal 

Court, if the Tribe has established one. 

11.08 Discoverv Procedures for Enforcement Hearinas. 

(1) The Commission's legal counsel or agent and the 

Licensee shall exchange a list of persons that each party 

intends to call as witnesses no later than five (5) ' 

business days before a scheduled enforcement hearing. The 

day the list is received shall be considered a full day's 

notice under this Section. Each witness shall be 

identified by name, if known, position, and business 

address. If no business address is available, a home 

address for the witness shall be provided. Any witness not 

identified in accordance with this Section may be 

prohibited from testifying at a hearing in the Commission's 

discretion. 

(2) The Commission's legal counsel or agent and the 

Licensee shall exchange a copy of all documents or tangible 

things that they intend to offer as evidence in support of 

the party's case in chief. This exchange shall be made to 

the opposing party no later than five (5) business days 

before a scheduled enforcement hearing. The day the 

documents are received shall be considered a full day's 

notice under this Section. Failure to make available any 

document or tangible thing in accordance with this section 

C.\Documen\s and Senmp'\aria\LocaI Sell~n~\~en(~orary In~ernct F1les\0LKD\Gamin&CLUN.doc 

November IS, 2001 34 
may, in the Commissionf s discretion, be grounds to deny the 

admission into evidence of such document or tangible thing. 

Confidential Materials. 

(1) Prior to making any documents available to the 

Commission's legal counsel or designated agent, the 

Applicant or Licensee may designate any document it 

believes to contain confidential information as "Subject to 

a Confidentiality Claim" by so marking the document prior 

to providing a copy of the document to the Commission's 

legal counsel. 

(2) No document provided to the Commissionf s legal 

counsel or designated agent which has been marked in 

accordance with subsection 11.09(2) above, and no nonpublic information contained within the document, shall be 

made a part of the public record of the Commission 

proceedings or otherwise disclosed by the Commission to any 

Person other than its authorized agents (or except as may 

be required under any applicable law, rule, regulation, 

court or administrative order, or the Compact), without 

first providing the Applicant or Licensee with the 

opportunity to seek a ruling by the Commission that the 

document or non-public information contained therein should 

not be made public. The request for such a ruling and any 

discussions relating to the document shall be heard and 

ruled upon by the Commission in an Executive Session 

meeting. If the request for such a ruling is made during a 

public hearing session, the hearing session shall be 

adjourned and the Commission shall conduct an Executive 

Session meeting in order to hear and rule upon the 

applicant's or respondent's request. The Applicant or 

Licensee may present to the Commissicn in Executive Session 

written and oral argument regarding the confidentiality 

claim, along with any facts the Applicant or Licensee 

believes to be relevant to such argument. 

(3) Prior to producing any documents, the Applicant 

may designate any document it believes to contain 

confidential information as "Subject to a Confidentiality 

Claimn by so marking the document prior to providing a copy 

of the document to the Commission or its authorized agents. 

(4) In determining whether a document marked in 

accordance with subsection (3) above should be made part of 

the public record of the Commission proceedings on the 

Application, the Commission will balance the Applicant's 

claimed confidentiality concerns against the materiality of 

the information to the Application, the public's right to 

be made aware of the information, and the Commission's need 

to make the information part of the public record in order 

to remain fully accountable for the licensing decision. In 

making this determination, the Commission shall consider 

C.\Documents and Sertinp\Jlla\Lwl Smlnp\Tmponry Infanel Files\OLKD\Gamin~CLEAN doc 

I November 15.2001 35 
all facts and circumstances relevant to making a proper 

ruling. 

Subpoenas. 

(1) The Commission has the power and discretion to 

issue subpoenas and to impose such reasonable penalties for 

noncompliance. 

(2) Subpoenas may be issued only to compel any Person 

to appear at the hearing on the merits of the case, to give 

oral testimony, or to produce documents or other tangible 

things. 

11.11 Hearing Procedures. 

(1) Except as provided in subsection 11.13 below, the 

Chairperson of the Commission shall preside over all 

hearings, and shall call the proceedings to order, control 

the presentation of evidence, the appearance of witnesses, 

and the order of the proceedings. 

(2) The Commission may require any Person, including, 

but not limLted to, any Applicant or Licensee, or any 

agent, employee or representative of any Applicant or 

Licensee, to appear and testify before it with regard to 

any matter within its jurisdiction at such time and place 

as it may designate. Such testimony shall be under oath 

and may include any matters which the Commission deems 

relevant to the discharge of the Commission's official 

duties. Testimony shall be recorded by a duly certified 

court reporter or by audiotape and may be used by the 

Commission as evidence in any proceeding or matter before 

the Commission. Failure to appear and testify fully at the 

time and place designated shall result in sanctions. 

Failure to appear may constitute grounds for: 

a. the refusal to grant a License to the Person 

summoned, and /or that Person's principal, 

or employer; 

b. the revocation or suspension of a License 

held by the Person summoned, and/or that 

Personf s principal, or employer; or 

c. the inference that the testimony of the 

Person summoned would have been adverse to 

that Person and/or that Person's principal 

or employer. 

(3) Any party to the hearing may call and examine 

witnesses. The Commission shall exercise its discretion to 

limit the testimony of witnesses where that testimony is 

argumentative or repetitive. 

C \Docllments and Set~~nphrla\Local Seninp\Temporary 1nrcmr.l Files\OLKD\GamingCLEAN.doc 

November 15.200 136 
(4) The Commission shall have the authority to eject 

from the hearings any Person who is disruptive, disorderly, 

or who shows a lack of proper respect for the Commission or 

the nature of the proceedings. 

(5) Persons shall be permitted to speak only when 

recognized by the Chairman. 

(6) Any member of the Commission may ask questions of 

witnesses, and may request or allow additional evidence at 

any time. 

(7) Any party to the hearing may conduct crossexaminations reasonably required for a full and true 

disclosure of the facts. 

(8) All hearings held under this Ordinance shall be 

open to the public. 

(9) The Commission, in its discretion, has the power 

to sequester witnesses. 

11.12 Evidence. 

(1) In hearings governed by this Section, the 

Commission shall not be bound by technical rules relating 

to evidence and witnesses. The Commission shall admit all 

testimony having reasonable probative value, but shall 

exclude immaterial, irrelevant or unduly repetitious 

testimony. Basic principles of relevancy, materiality and 

probative force shall govern the proof of all questions of 

fact. Objections to evidentiary offers and offers of proof 

of evidence not admitted may be made and shall be noted in 

the record. 

(2) All evidence, including records and documents in 

the possession of the Commission or which the Commission 

desires to avail itself, shall be duly offered and made a 

part of the record in the case. Every party shall be 

afforded adequate opportunity to rebut or offer 

countervailing evidence. 

(3) The Commission may take official notice of any 

generally recognized fact or any established technical or 

scientific fact; but parties shall be notified either 

before or during the hearing or by full reference in 

preliminary reports or otherwise, of the facts so noticed, 

and they shall be afforded an opportunity to contest the 

validity of the official notice. 

(4) Documentary evidence may be received in the form 

of copies or excerpts. Upon request, parties shall be 

given an opportunity to compare the copy to the original, 

C Documents and Sen~np\Yla\Lowl Setc~ngs'~Temporary internet FIIC~\OLKD\G~I~~CLEAN doc 

November IS. 2001 3 7 
if the original is readily available. 

(5) The record in a hearing governed by this 

Ordinance shall include: 

a. All Applications, intermediate rulings and 

exhibits and appendices thereto. 

b. Evidence received or considered, 

stipulations and admissions, including but 

not limited to confidential evidence 

received pursuant to Section 2 of this 

Section. 

c. A statement of matters officially noticed. 

d. Questions and offers of proof, objections, 

and rulings thereon. 

e. Any decision, opinion, findings or report by 

the Commission. 

The transcript of the hearing. 

11.13 Hearing Officers. The Commission may appoint a 

hearing office to conduct the hearing in accordance with the 

procedures specified in Sections 11.05-11.11. A hearing officer 

shall be an attorney licensed to practice law in the State of 

California who has at least five years experience as a licensed 

attorney. After conducting the hearing the hearing officer 

shall prepare a written recommended decision which he shall file 

with the Commission not later than 15 days after the conclusion 

of the hearing. The recommended decision shall contain a 

summary of relevant facts as determined by the hearing officer 

and an explanation of the reason for the recommended action. 

11.14 Determinations by the Commission. 

(1) The Commission shall make all determinations of 

issues before it by a majority vote of at least a quorum of 

the Commission. 

(2) All determinations made by the Commission 

involving the grant, denial, cancellation or revocation of 

a License, a finding of a violation of this Ordinance, the 

Compact, IGRA, the conditions of any License issued by the 

Commission, any order by the Commission, or any other 

applicable laws, regulations or agreements, and the 

imposition of any sanctions or penalties shall be made by 

motion and on the record. 

(3) A copy of any resolution reached pursuant to 

Section 11.14 (B) shall be served upon the Affected Person 

as provided in Section 11.03(2). 

C.\Documents and Sen~ngs\arla:Local ~enlngs\~emporar~ lntm Filcl\OLKD\GamlnbCLEAN doc I November l5.200138 
(4) If a recommended decision has been filed by a 

hearing officer, the Commission may adopt, modify or reject 

the decision and may conduct such additional hearings as it 

determines to be useful. 

11.15 Sanctions. If any party or its attorney fails to 

comply with any provision of this Ordinance, the Compact, IGRA, 

the conditions of any License issued by the Commission, any 

order by the Commission, or any other applicable laws, 

regulations or agreements, including, but not limited to any 

agreement, regarding any matter, including, but not limited to, 

discovery matters and the failure to appear at a hearing at the 

scheduled time, the Commission upon motion or upon its own 

initiative, may in its discretion impose upon such party or 

attorney, or both, appropriate sanctions in regard to the 

failure(s) as are just, including, but not limited to, the 

following: 

(1) An order prohibiting the use of any witness, 

document or tangible thing which should have been 

disclosed, produced, exhibited or exchanged pursuant to 

this Ordinance or any order of the Commission; 

(2) An order that designated facts shall be taken to 

be established; 

(3) An order that the disobedient party may not 

support or oppose designated claims or defenses; 

(4) An order striking out pleadings or parts thereof, 

or staying further proceedings or dismissing the proceeding 

or any part thereof, or entering a judgment by default 

against the disobedient party; 

(5) A finding against the disobedient party; or 

(6) Any sanction otherwise set forth in this 

Ordinance. 

11.16 Right to Appeal. An Affected Party shall have a 

right to appeal the determination of the Commission to the 

Tribal Court. Such appeal must be filed with such court in 

written form on or before the tenth (loth) day following receipt 

of the written determination of the Commission. In the absence 

of a Tribal Court, "filed" shall mean served the Commission with 

a written request for arbitration. A determination of such 

appeal by the Court shall be final and no further action may be 

had. In any appropriate case which has been referred to the 

Tribal Court, the Tribal Court shall determine whether the 

Commission committed a prejudicial abuse of discretion. An 

abuse of discretion shall be found to exist if the Commission 

failed to adopt written findings, if the findings are not 

supported by substantial evidence in light of the whole record, 

C \Documents and Sen~np\arla\Local Sett~ngs\Tmporaq inremet Files\OLKD\GamtnkCLEAN doc 

I November 15.200 13 9 
if the findings do not support the Commission's determination, 

if the Commission failed to proceed in the manner required by 

law, or if the decision is contrary to law. In any such appeal 

the Affected Party may not raise issues or offer evidence not 

presented to the, Commission, unless the Affected Party, in the 

exercise of due diligence, could not have presented such 

evidence or issue to the Commission. The Tribe and the Tribal 

Gaming Commission expressly waive sovereign immunity in Tribal 

Court for the purpose of allowing appeals under this Section and 

for actions brought under Sections 11.17,including actions to 

compel and enforce arbitration, and Section 21. 

11.17 Arbitration in the absence of a Tribal Court. 

(1) Arbitration. In the absence of a Tribal Court, 

all disputes, controversies, claims or appeals of 

Commission action which arise out of Tribal enforcement, 

interpretation, or amendment of the Tribal Gaming Ordinance 

shall be settled by binding arbitration in accordance with 

the Commercial Arbitration Rules of the American 

Arbitration Association in effect on the date demand for 

arbitration is made, and the Federal Arbitration Act, and 

subject to the standard of judicial review set forth in 

Section 11.16. 

(2) Choice of Law. In determining any matter 

involving a Management Contract the arbitrator (s) 

shall apply the terms of the Management Contract, without 

adding to, modifying or changing the terms in any respect, 

and shall apply Tribal law and applicable federal law. If 

no Tribal law applies, the arbitrator shall apply 

California law and applicable federal law. 

(3) Place of Hearing. All arbitration hearings shall 

be held at a place designated by the arbitrator(s) in Blue 

Lake, California or at such other place agreed to by the 

parties. 

(4) Confidentiality. The parties and the 

arbitrator(s) shall maintain strict confidentiality with 

respect to the arbitration. 

(5) Effect of License Revocation. A Management 

Contract may not be terminated based on revocation of a 

Tribal Gaming license if within fifteen days of the initial 

revocation action the Management Contractor promptly 

invokes and diligently pursues the remedies provided 

pursuant to section 11. In that event any termination of a 

Management Contract shall not be effective until after 

Management Contractor exhausts the remedies provided 

therein. However, pending the exhaustion of such remedies, 

the license of a management contractor or any of its 

employees may be summarily but temporarily suspended and 

the management contractor's right of access to gaming 

C.Documenls and Smlnpkrla\Local ~enln~s\~e&~otary internet F~les\OLKD\GarninbCLEAN.doc 

November 15.200140 
operations or property or assets of the Tribe's gaming 

enterprise denied, if necessary to protect the integrity of 

gaming or to prevent the immediate loss of or damage to 

property or to protect persons from injury. Any such 

temporary suspension of a gaming license shall not result 

in termination of a Management Contract or compensation 

therein. 

(6) Notice and Opportunity to Cure Alleged 

Violations. The Tribe will give the Management Contractor 

notice of any alleged violation of the Gaming Ordinance and 

except as provided below, thirty (30) days opportunity to 

cure the violation from the date the notice is served as 

provided in Subsection 11.03 (2) before the Gaming Commission 

may take any action based on such alleged violation. To the 

extent that any such alleged violation is cured, no adverse 

action, apart from notice of the facts, a fine not to 

exceed Five Thousand Dollars ($5,000.00) and/or a license 

suspension pursuant to Section 1117(5), shall be taken 

against Management Contractor with respect to the cured 

violation. The Tribe shall not be prohibited from taking 

adverse action as provided in this Ordinance, if (1) the 

violation cannot be cured; (2) the violation constitutes a 

willful and serious violation of applicable law which bears 

on the Management Contractor's honesty or integrity or the 

capacity of the Management Contractor to conform his 

behavior to legal requirements; or (3) the Management 

Contractor has been determined by a final decision of the 

Commission to have violated the Gaming Ordinance on five or 

more separate occasions, not counting each day of a 

continuing violation as a separate violation. For purposes 

of this Section, "final decision" shall mean a decision and 

exhaustion of or failure to exhaust remedies as provided by 

this Section. 

Section 12. Exclusion or Rejection of Individuals 

12.01 Prohibition Against Certain Individuals. The 

Commission shall maintain a list of individuals barred from any 

Gaming Facility on the Tribe's Reservation. 

12.02 Right to Exclude or Remove. If the Commission 

deems it in the best interest of the Tribe, the Commission may 

exclude or remove any persons from the premises of any Gaming 

Operation. Any person so excluded shall be entitled as an 

Affected Person to a hearing as provided by Section 11. The 

Manager of any Gaming Operation shall also have the authority to 

exclude or remove any person from the Gaming Facility, and all 

such actions shall be reported to the Commission within twentyfour (24) hours; the Commission may then ratify, reverse or 

condition the decision of the Manager, which decision of the 

Commission shall be subject to the hearing requirements in 

Section 11. 

C-kumen~s and Scningsala\Local Seninp\Temporary Intemel Files\0LKD\Gam1n&CLEAN.doc 

November IS. 2001 4 1 
Section 13. Prohibited Acts 

13.01 Prohibited Acts. In addition to other civil and 

criminal acts that may be regulated or prohibited by this 

Ordinance, the Compact, other Tribal law or applicable federal 

law, the following shall constitute prohibited activities and 

unauthorized Gaming under this Ordinance and shall subject any 

perpetrator to Commission action, including, but not limited to, 

the imposition of civil penalties, referral to appropriate law 

enforcement authorities for criminal proceedings, and License 

suspension or revocation: 

(1) altering or misrepresenting the outcome of Gaming 

or other event on which wagers have been made after the 

outcome of such Gaming or event has been determined but 

before such outcome is revealed to the players; 

(2) placing or increasing a bet or wager after 

acquiring knowledge of the outcome of the Gaming or event 

which is the subject of the bet or wager, including pastposting and pressing bets; 

(3) aiding anyone in acquiring such knowledge 

referred to in subsection (2) of this Section for the 

purposes of increasing or decreasing any bet or wager, or 

for the purpose of determining the course of play; 

(4) claiming, collecting or taking, or attempting to 

claim, collect or take, money or anything of value in or 

from a game with intent to defraud or claiming, collecting 

or taking an amount greater than the amount actually won in 

such game; 

(5) knowingly to entice or induce another to go to 

any place where Gaming is conducted or operated in 

violation of the provisions of this Ordinance, with the 

intent that the other person play or participate in such 

Gaming; 

(6) reducing the amount wagered or canceling a wager 

after acquiring knowledge of the outcome of the game or 

other event which is the subject of the bet or wager, 

including pinching bets; 

(7) manipulating, with intent to cheat or defraud, 

any component or part of a game in a manner contrary to the 

designed and normal operational purpose for such component 

or part, with knowledge that such manipulation will affect 

the outcome of the game, or with knowledge of any event 

that affects the outcome of the game; 

(8) defrauding the Tribe, any Licensee or any 

participant in any Gaming; 

C \Documents and Sm~nphrla\Local Senings\Ternporary Internu FI~~\OLKD\G~~I~~CLEAN doc 

November IS, 2001 42 
(9) participating in any Gaming not authorized by 

this Ordinance; 

(10) knowingly providing false information making any 

false statement, or failing to disclose a material fact 

with respect to an application for employment or for any 

License, certification or determination provided for in 

this Ordinance; 

(11) knowingly providing false or misleading 

information, making any false or misleading statement, or 

failing to disclose a material fact to the Tribe, the 

Commission or its agents in connection with any contract 

for services or property related to Gaming; 

(12) knowingly making any false or misleading 

statement, or failing to disclose a material fact in 

response to any official inquiry by the Commission or its 

agents; 

(13) offering or attempting to offer any thing of 

value, to a Licensee in an attempt to induce the Licensee 

to act or refrain from acting in a manner contrary to the 

official duties of the Licensee under this Ordinance, the 

Compact or IGRA; 

(14) acceptance by a Licensee of any thing of value 

with the expectation that receipt of such thing of value is 

intended, or may be perceived as intended, to induce the 

Licensee to act or refrain from acting, in a manner 

contrary to the official duties of the Licensee under this 

Ordinance, the Compact, or IGRA; 

(15) falsifying, destroying, erasing or altering any 

books, computer data, records, or other information 

relating to a Gaming Operation; 

(16) taking any action which interferes with or 

prevents the Commission or the Council from fulfilling its 

duties and responsibilities under this Ordinance, the 

Compact or IGRA; and 

(17) entering into any contract, or making payment on 

any contract for the delivery of goods or services to a 

Gaming Operation, when such contract fails to provide for 

or result in the delivery of goods or services of fair 

value for the payment made or contemplated. 

Crimes; Penalties. 

(1) It shall be unlawful for any person to: 

a. Operate or participate in Gaming on the 

Reservation in violation of the provisions 

C \Documents and Setttnp\arln~Loc~I Sen~np\Trmporaq lntcmet Ftla'0LKD\Garn1fl&CLkAN doc 

November 15.200143 
of this Ordinance; 

b. Knowingly make a false statement in an 

Application for employment with a Gaming 

Operation, or in an Application for a 

License to operate a Gaming Operation on the 

Reservation; or 

c. Bribe or attempt to bribe, or unduly 

influence or attempt to unduly influence, 

any person who licenses, operates, conducts, 

assists, or is otherwise employed in a 

Gaming Operation located on the Reservation. 

d. Violate any other provisions of tribal or 

federal law or state law made applicable by 

the Tribe on the premises of any Gaming 

Facility. 

(2) Any Tribal Member who violates a provision of 

this Ordinance or of other tribal law relating to Gaming 

may be fined not more than One Thousand Dollars ($1,000.00) 

and/or imprisoned for up to one year for each violation. A 

separate violation occurs on each day that a violation 

arises or continues. Any non-Member who violates a 

provision of this Ordinance shall be subject to a civil 

fine, and may be excluded from the Indian lands within the 

jurisdiction of the Tribe. 

(3) Any property used in the commission of a 

violation of a provision of this Ordinance may be seized by 

the Commission or its agents. The owner of the property 

shall be afforded an opportunity to object and be heard in 

accordance with the hearing procedures contained in Section 

12. If no objection is raised or the objection is not 

sustained, the Tribe may dispose of the seized property. 

13.03 Civil Penalties. Any person or entity who 

violates any term or condition of any license issued pursuant to 

this Ordinance may be assessed a civil penalty by the 

Commission. Each violation shall be treated separately and may 

be assessed as a separate violation. Civil penalties provided 

for in this Section may be imposed in addition to or as an 

alternative to the criminal penalties provided for in Section 

13.02 above. 

Section 14. Miscellaneous Provisims 

Section 14.01 Minors, Employees Prohibited from Playing. 

(1) No person under the age of 18 years shall be 

permitted to play any Class I1 or Class I11 game, or to 

loiter in or about the Gaming Facility. 

C.Documents and Seninghrla\Lowl Sen~np\Ternporary Internet F~les\OLKDGrnin&!N.doc 

Ncmrnbrr 15,20014q 
(2) No Gaming Employee at a Gaming Facility may play 

any game conducted therein. 

(3) No person shall be employed by a Gaming Operation 

on the Reservation who is under the age of eighteen (18), 

and no person shall be employed as a Primary Management 

Official or Key Employee who is under the age of twenty-one 

(21) 

14.02 Prizes: Assignment and Forfeiture. 

(1) Not Assignable, exception. The right of any 

Person to a prize shall not be assignable except that 

payment of any prize may be made to the estate of a 

deceased prize winner or to a Person pursuant to an order 

of the Tribal Court. 

(2) Forfeiture. 

a. Any unclaimed prize of a Gaming Activity 

shall be retained by the owner of the game 

for ninety days after the prize is available 

to be claimed. Any Person who fails to 

claim a prize during such time shall forfeit 

all rights to the prize, and the amount of 

the prize shall be awarded to the Tribe. 

b. Any prize won by a Person under the age of 

eighteen (18) shall be forfeited as a 

violation of Section 14.01 of this 

Ordinance. Any such prize shall be awarded 

to the Tribe, and the approximate 

consideration paid by the minor shall be 

refznded to the minor. 

14.03 Identification Badge. Every person employed by a 

Gaming Operation on the Reservation shall wear an identification 

badge during work hours which conspicuously states his or her 

full name, title, and place of employment. 

Section 15. Class 111 Gaminq; Tribal-State Compacts. 

In addition to the provisions set forth above, no Class I11 

gaming shall be engaged in on the Reservation unless it is 

conducted in accordance with the provisions of any applicable 

Tribal-State Compact obtained in accordance with the IGRA. All 

negotiations for such compacts shall be conducted through the 

Business Council, with the advice and suggestion of the Gaming 

Commission, and shall be finalized in accordance with tribal 

law. To the extent any provision of a Tribal-State Compact is 

inconsistent with the provisions of this Ordinance, such compact 

shall prevail and shall be deemed incorporated by reference 

herein. 

C \Doculnents and Senlnpsurla\Local Sen~np\Temporary Internet FII~S\OLKD\G~I~I~LCLEAN doc 

Novcmkr 15.200145 
Section 16. Interest in Management Contracts by Tribal 

Officials. 

No elected official of the Tribe, including the Gaming 

Commission or any other committee or agency of the Tribe, shall 

have a financial interest in or management responsibility for, 

any management agreement entered into pursuant to IGRA, nor 

shall such elected official serve on the board of directors or 

hold (directly or indirectly) ten percent (10%) or more of the 

issued and outstanding stock of any corporation, or ten percent 

(10%) or more of the beneficial interest in any partnership, 

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

trust or other entity, having a financial interest in, or 

management responsibility for, such contract. 

Section 17. Service of Process. 

The Tribe designates as its agent for the service of any 

official determination, order, or notice of violation, the 

Chairperson of the Tribe. 

Section 18. Tribal Gaming Corporation. 

Nothing in this Ordinance shall prevent the Tribe, through 

its Business Council, from delegating the authority to conduct 

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

Gaming Enterprises to which such authority is delegated agree to 

meet all criteria and requirements established under this 

Ordinance. 

Section 19. Repeal of Prior Gaminq Ordinance; Effective Date. 

This Ordinance and the regulations promulgated thereunder 

shall constitute the entire gaming regulations cf the Tribe. 

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

and this Ordinance shall become effective upon its approval by 

the NIGC. 

Section 20. Severability. 

If any provision or application of this Ordinance is 

determined by review to be invalid, such determination shall not 

be held to render such provision inapplicable to other Persons 

or circumstances, nor shall such determination render invalid 

any other provision of this Ordinance. 

Section 21. Amendments . 

21.01. Amendments permitted. Consistent with Section 

21.02 and this Section, all provisions of this Gaming Code are 

subject to amendment by the Blue Lake Rancheria Business Council 

and all regulations promulgated by the Commission are subject to 

proper revision, repeal or amendment by the Commission. Any 

amendments made to the Gaming Ordinance or regulations shall be 

C U)ocumcnts and Satlnp\arla\Lwnl Senlngs\Temporary Internei FIIS\OLKD\G~~I~&CLEAN doc 

Nowmber 15.200146 
a legitimate effort to ensure that Gaming is conducted in a 

manner that adequately protects the environment, the public 

health and safety, and the integrity of the Enterprise. No 

amendments shall be made to the Gaming Ordinance in violation of 

the foregoing standard and which adversely affect a party's 

rights under a Management Contract. 

21.02. Prior Notice of Actions. In adopting, amending and 

repealing regulations or any provision of this Code, the 

Commission or Business Council (in the case of changes to the 

Code) shall comply with Section 21.01 and shall give prior 

notice of the proposed action to all licensees and other persons 

whom the Commission or, in case of changes to the Code, the 

Business Council has reason to believe have a legitimate 

interest in such proposed action. Said notice shall inform such 

persons as to the general nature of the proposed action and 

advise them as to the manner in which comments on said proposed 

action shall be received by the Commission or the Business 

Council. In emergencies, the Commission or the Business Council 

may summarily adopt, amend or repeal any regulation or provision 

of this Code, if at the time the Commission or Business Council 

(in the case of changes to the Code) determines such action is 

necessary for the immediate preservation of the public peace, 

health, safety, morals, good order or general welfare, together 

with a statement of facts constituting the emergency; provided 

the Commission or the Business Council (in the case of changes 

to the Code) shall schedule such emergency action for a regular 

hearing within 15 days after taking the emergency action. 

Failure to provide such notice shall not invalidate any 

regulation or provision of this Code. 

CERTIFICATION 

The foregoing Ordinance was adopted on this - 6%ay of , 20014, at a regular meeting of the Blue Lake 

Busindss Council, with a quorum present, by the following vote: 

AYES: < 

NOES: 

ABSENT: Q 

ABSTAIN: 

u Claudia Brundin, Chairperson 

ATTEST : 

C:\Documcn~s and ScninpPiarla\Locsl Senlnp\Temporary Internet F!les\OLKD\Gamin&CLEAN.doc 

November IS. 200147 
manner in which comments on said proposed action shall be received by the Commission or the Business Council. In emergencies, 

the Commission or the Business Council may summarily adopt, amend 

or repeal any regulation or provision of this Code, if at the 

time the.Commission or Business Council (in the case of changes 

to the Code) determines such action is necessary for the immediate preservation of the public peace, health, safety, morals, 

good order or general welfare, together with a statement of facts 

constituting the emergency; provided the Commission or the 

Business Council (in the case of changes to the Code) shall 

schedule such emergency action for a regular hearing within 15 

days after taking the emergency action. Failure to provide such 

notice shall not invalidate any regulation or provision of this 

Code. 

The foregoing Ordinance was adopted on this day of 

/33~ , 20006, at a regular meering of the Blue Lake 

Busin ,s -Council, with a quorum present, by the following vote: 

AYES: 5- 

NOES: a. 

ABSENT : 

ABSTAIN: a 

ATTEST: P. 

.- - I 

L/ d 

3, &>i-;tcAn, \ 

Claudia ~rdriain, chairperion