September 28,2004 

Mr. Hmey R. Angle, Chairrnan 

Enterprise Ranch& 

Estom Yumeka Maidu Tribe 

1940 Father River Blvd, Suite B 

Oroville CA 95965 

Re: Approval of gaming ordinance 

Dear Chahw~ Angle: 

This is in response to your Jdy 20,2004, letter seekmg review and approval of the 

Enterprise Ranch& gaming ordinance, 04-01, together with Regulations 2004131, -02, -03, 

and -04. The ordinance and regulations are consistent with the requirements of the Indian 

Gaming Regulatory Act QGRA) and this agency's regulations, and they are therefore 

approved. In the future, the Tribe may wish to adoption technical amendments that correct 

various typographtcal and grammatical errors. Finally, it is important to note that the 

ordinance and regulations ate approved for gaming only on In& lands, as defined by 

IGRA, over has juris&ction. 

sion. If you have any questions or require further assistance, 

Attorney, at 202-632-7003. 

Chairman 

NATIONAL -US 1441 L St. NW. Suite 9100, Washin@on. DC MOO5 Tel: 202.632.7003 202.632.7066 wwW.mGC.GOV 

EGIOWU WFKE &dad. OR: Sacramento, CA; Phoenbt, AZ; St. Pad, MN; Tula. OK 
ESTOM YUMEKA MAIDU TRIBE 

OF THE 

ENTERPRISE RANCHERIA 

AMENDED & REVISED GAMING ORDINANCE NO. 04-01 

Be it enacted and ordained by the Enterprise Rancheria that: 

ARTICLE I 

POLICY AND FINDINGS 

Section 1. Policv of Enternrise Rancheria: The Estom Yumeka Maidu Tribe of 

the Enterprise Rancheria, a federally recognized Tribe (herein after referred to as 

"Tribe"), by the through the General Council of the Rancheria, based upon the exercise 

of its sovereign inherent authority, pursuant to Article IV, Section 1, of the Tribes 

Constitution adopted October 29,2003, do hereby find that in order to protect the general 

welfare, safety and health of its members and Rancheria and to protect the financial 

integrity of any and all Class I, Class I1 and Class 111 gaming facilities and activities, find 

it imperative to set forth the rules and regulations by which those gaming activities and 

operations shall be conducted within the exclusive jurisdiction of the Rancheria. 

Section 2. Findings of Enter~rise Rancheria: The substantive provisions of this 

Ordinance, which shall be referred to as the Estom Yumeka Maidu Tribe of Enterprise 

Rancheria Gaming Ordinance No. 04-01, adopted and promulgated by the General 

Council of the Tribe, pursuant to its authority under the Tribe's Constitution for the 

purpose of establishing the rules and regulations by which any and all gaming shall be 

conducted within the jurisdiction of the Tribe for governmental and charitable purposes 

in conformity with the Indian Gaming Regulatory Act, 25 U.S.C. 5 2701 et seq. 

(hereinafter referred to as "IGRA) and all rules and regulations promulgated under said 

Act. 

Based upon the foregoing the Tribe finds the following: 

(a) Revenues from gaming is a means by which the Tribe will be capable of 

sustaining economic growth for all of it's members and the Rancheria as a 

whole through the revenues fiom said gaming operations; 

(b) The Tribe finds that it is necessary to establish regulations and rules for 

said gaming operations and enterprises to protect the financial integrity 

and in turn the general welfare of the Tribe; 

Amended & Revised Gaming Ordinance 

Ratified: 

Page I of 14 
(c) The Tribe's established gaming operations shall be under the sole 

ownership of the Tribe and management and all external and internal 

operations shall be supervised and all authority oversight and ownership 

shall be vested in the Tribe. 

ARTICLE II 

GENERAL PROVISIONS 

Section 1. Gaming Activities Authorized and owners hi^. This Ordinance governs 

all gaming activities relating to Class I, 11, I11 as defined by this Ordinance and the Indian 

Gaming Regulatory Act, 25 U.S.C. $2701 et seq. and the sole proprietary ownership of 

any and all Class 1, Class I1 and Class I11 gaming shall be owned and operated by the 

Estom Yumeka Maidu Tribe of the Enterprise Rancheria. 

Section 2. Environment and Public Health and Safety. All tribal gaming 

operations and facilities shall be constructed, maintained and operated in compliance with 

federal law if applicable to federally recognized Indian tribes, Tribal Law and 

Ordinances to protect the environment and the public health and safety of all tribal 

members and patrons. 

(a) If the Tribe permits the consumption of alcoholic beverages in a gaming 

facility, no person under the age of twenty-one (21) years shall be 

permitted to be present in any area in which class 11 or class I11 gaming 

activities are being conducted and in which alcoholic beverages may be 

consumed, to the extent required by a tribal Alcohol Ordinance and the 

Department of Alcohol Beverage Control of the State of California. No 

person under the age of eighteen (18) years shall be permitted to be 

present in any room in which class I1 or class I11 gaming activities are 

being conducted unless the person is en-route to a non-gaming area of the 

facility. 

(b) Possession of firearms shall be prohibited at all times in class I1 and class 

I11 gaming facilities operated under this Ordinance, except for possession 

of firearms by state, local, or tribal security or law enforcement personnel 

authorized by federal, state or tribal law. 

Section 3. Use of Gamine Revenues. The Tribal Council reserves the right to 

adopt and impose any uniform and comprehensive plans for revenue distribution and 

taxation relating to gaming and to provide such plan as adopted and promulgated in 

compliance with the Indian Gaming Regulatory Act. 

Amended & Revised Gaming Ordinance 

Ratiped: 

Page 2 of 14 
(a) Net Revenues from gaming shall be used only for the following purposes: 

to fund tribal government operations and programs; to provide for the 

general welfare of the Rancheria (Tribe) and its members; to promote 

Tribal economic development; to donate to charitable organizations; to 

help and assist funding of local government agencies. 

(b) If the Council elects to make per capita payments to Tribal members, it 

shall authorize such payments only upon approval of a plan submitted to 

the Secretary of the Interior or delegated authority under 25 U. S.C. 5 27 10 

(b)(3) and such rules as may be promulgated by the Council andlor 

Secretary under lawful authority. 

Section 4. Audit. The Tribal Council shall require and cause to be conducted an 

annual outside audit by a recognized independent accounting firm for the gaming 

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

Gaming Commission or another entity as may be required by law. 

(a) All gaming relating contracts that result in the purchase of supplies, 

services, or concessions in excess of $25,000.00 annually, except contracts 

for professional legal and accounting services, shall be specifically 

included within the scope of the audit. 

Section 6. Procurement. The General Council shall adopt procurement policies from 

time to time. All purchases of services or supplies shall comply with the tribally adopted 

procurement policies and procedures for gaming operations. 

Section 7. Indian Preference. Any management and investment gaming contracts 

or other contracts must make provisions for the preferential hiring of all duly enrolled 

members of the Tribe in 'good standing", followed by a preference for any duly enrolled 

member of any other federally recognized Indian tribe or Indians with verifiable Indian 

descent for any and all employment and contracting for jobs in the construction and 

operation of any gaming facility or activities. 

Section 8. Patron Dis~utes. Patrons of the Tribe's class I1 and class I11 gaming 

facilities who have complaints against the gaming establishment, including disputes with 

any management contractor or its employees, shall have as their sole remedy the right to 

file a petition for relief with the Commission. Complaints shall be submitted in writing 

no later than thirty (30) days after the occurrence of the incident in which the complaint is 

based. At the discretion of the Commission, the petitioner may be allowed to present 

evidence. The Commission will render a decision in a timely fashion and all such 

decisions will be final when issued. Each claim by a patron shall be limited to a 

maximum recovery of ten thousand dollars ($10,000.00), and a cumulative limit of ten 

thousand dollars ($10,000.00) per patron in any twelve (12) month period. 

Amended & Revised Gaming Ordinance Page 3 of14 

Ratrfied: 
ARTICLE III 

DEFINITIONS 

Section 1. General Terms Defined. Unless otherwise specified in this Ordinance, the 

terms used herein shall have the same meaning as defined in the Indian Gaming 

Regulatory Act § 2701 et seq. and those regulations promulgated pursuant to said Act, 

under 25 CFR $500 et seq. 

(a) COMPACT: "Compact" means the Tribal-State Compact between the 

Tribe and the State of California authorizing Class I11 gaming activities, as 

required by IGRA, 25 U.S.C. § 2710(d)(I)(C) and as amended from time 

to time; 

(b) CONFIDENTIAL RECORDS AND INFORMATION: "Confidential 

Records and Information" shall mean: 

(i) Records or information maintained by the Commission about 

individuals (such as, but not limited to, personal records and records 

containing information about applications for Commission licenses, 

permits or benefits); 

(ii) Records or information maintained by the Commission about business 

transactions and finances of a gaming facility or an applicant for a license 

such as , but not limited to, real or personal property transactions, financial 

records (e.g., income statements, balance sheets, profit and loss 

statements), except for financial information subject to disclosure under 

other provisions of this Ordinance; 

(iii) Records or information about complaints to the Commission or 

investigations of those complaints by Commission officials or other 

investigations conducted by the Commission; 

(iv) Correspondence of and to the Commission or the Commission 

Chairman, and 

(v) Records which reveal the deliberative processes, impressions, 

evaluations, opinions, recommendations, meeting minutes, research, work 

product, theories, or strategy of the Commission. 

(c) EXECUTIVE DIRECTOR: "Executive Director" means the individual 

described herein, pursuant to Article IV; 

Amended &Revised Gaming Ordinance 

Rat13ed: 

Page 4 of 14 
GAMING: "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. 

GAMING ACTIVITIES: "Gaming Activities" shall mean any Class I 

games as defined pursuant to 25-CFR -6 502.1; Class II. iames as 

defined pursuant to 25 CFR -6 502.2 and Class III games as defined 

pursuant to 25 CFR -6 502.3, conducted by or under the jurisdiction of 

the Tribe. 

GAMING COMMISSION: "Gaming Commission" means the 

Enterprise Rancheria Gaming Commission, as established herein to 

monitor and oversee all gaming activities, pursuant to Article IV, of this 

Ordinance; 

GENERAL COUNCIL: "General Council" means the General 

Council of the Tribe as described in Article V, of the Tribe's Constitution; 

IGRA: "IGRA means the Indian Gaming Regulatoy Act, 25 U. S. C. j 

2701 et seq. and any and all regulations promulgated pursuant to said Act, 

25 C. F. R 500 et seq. ; 

IMMEDIATE FAMILY: "Immediate Family" means parents, spouse, 

siblings and children; 

INVESTOR: "Investor" means any person, entity, corporation, sole 

proprietorship, or other entity that manages or leases equipment and 

facilities used in gaming activities and who invests financial resources, 

develops financial resources to the development of construction and 

development of a gaming facility and enterprise, including all hrnishing, 

fixtures and equipment or controls ten percent (10%) or more of the entity 

or is an investor who has contributed more than five thousand dollars 

($5,000.00) to such person or entity and said definition does include any 

and all chartered banks, savings and loan facilities; 

Amended & Rev~sed Gaming Ordinance 

Ratified: 
(k) KEY EMPLOYEE: "Key employee" means: 

(1) A person who performs one or more of the following functions: . , 

bu&uAkr, -isor, cbiefof 

seewky, chief of surveillance, yes, head 

cashier, floor supervisors, -$-bas, -ehk,-r,-sdit 

qjmwer,-es, including all persons 

who have access to cash and accounting of records relating to 

all financial transactions of the facility; all drop team members; Z . (2) If not otherwise included, any other person whose total cash 

compensation is in excess of fifty-thousand dollars 

($50,000.00) per year in total compensation; or 

(3) If not otherwise included, the four (4) most highly 

compensated persons in the gaming operation. 

(1) NET REVENUES: "Net Revenues" shall mean gross revenues from all 

gaming activities of the gaming enterprises, less amounts paid-out as, or paid for, 

prizes and less total gaming-related operating expenses, excluding management 

fees. 

(m) NATIONAL INDIAN GAMING COMMISSION: "National Indian 

Gaming Commission" (NIGC) shall mean the Commission established pursuant 

to the Indian Gaming Regulatory Act. 

(n) PUBLIC INFORMATION: "Public Information" shall mean any and all 

information in the Commission records that is not confidential records and 

information. 

(0) PERSON: "Person" shall mean any natural person or entity, 

including but not limited to, corporations, partnerships and trusts. 

(p) PRIMARY MANAGEMENT OFFICIAL: "Primary Management 

Official" shall mean any person who has management responsibilities for a 

management contract; any person who has authority to hire and fire employees or 

to set up working policy for the gaming enterprises; 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. 

Amended & Revised Gaming Ordinance 

Ratrfied: 

Page 6 of 14 
(q) REGULATIONS: "Regulations" shall mean regulations that are 

promulgated by the General Council regarding regulations under and pursuant the 

Gaming Ordinance. 

(r) STATE: "State" shall mean the State of California. 

(s) TRIBAL COURT: "Tribal Court" shall mean any court established by 

the Tribe to hear disputes of civil or criminal nature relating to the jurisdiction of 

the Tribe Pursuant to Article VIII, of the Tribe's Constitution adopted October 29, 

2003. 

(t) TRIBAL COUNCIL: "Tribal Council" shall mean the sevenmember council to act on behalf of the Tribe and Enterprise Rancheria pursuant to 

Article W, Section 1, of the Tribe's Constitution adopted October 29,2003. 

(u) TRIBAL MEMBER: "Tribal Member" shall mean any duly enrolled 

lineal member of the Estom Yumeka Maidu Tribe of the Enterprise Rancheria that 

meets all membership requirements pursuant to Article III, Section 1, of the 

Tribe's Constitution adopted October 29, 2003. 

(v) TRIBE: "Tribe" shall mean the Estom Yumeka Maidu Tribe of the 

Enterprise Rancheria. 

Amended & Revised Gaming Ordinanc 

Rat1j7ed: 

Page 7 of 14 
ARTICLE IV 

EXECUTIVE DIRECTOR 

Section 1. Powers and Duties of the Executive Director. The Executive 

Director shall be responsible for the day-to-day management of the affairs of the 

Commission as well as overseeing the establishment and operation of all gaming 

activities for compliance with all applicable federal, state and federal gaming laws and 

regulations. In addition, the Executive Director shall perform such duties as may be 

delegated by resolution of the Commission from time to time. 

Section 2. Position. The Executive Director shall be hired by the Gaming 

Commission and report directly and only to the Commission. The Executive Director 

may be terminated for cause by a majority vote of the Commission. 

Section 3. Oualifications. 

(a) The Executive Director must be at least twenty-five (25) years of 

age, U.S. Citizen and all due diligence shall be utilized to retain a 

duly enrolled member or member of another federally recognized 

tribe who has experience in gaming management and gaming 

regulatory responsibilities, including minimum internal control 

standards (MICS). 

(b) The Executive Director must satisfy the licensing and background 

investigative requirements set out in the background and licensing 

requirements of Regulation 2004-02,04. 

(c) Any person who has been convicted of, or is currently being 

prosecuted for, a felony or a crime involving fraud, theft and 

embezzlement is not eligible to serve as the Executive Director of 

Gaming. 

Section 4. Com~ensation. The Executive Director shall be compensated in 

accordance with the terms of his or her employment. Compensation shall not be based, 

in whole or in part, on the profitability of the gaming operation. Compensation shall be 

paid out of the Commission's budget. 

Section 5. Protections Against Conflicts of Interests. The restrictions imposed on 

all Commissioners pursuant to Article V of this Ordinance shall apply equally to the 

Executive Director. 

Amended & Revised Gaming Ordrnance 

Ratified Page 8 of1 4 
Section 6. Re~orts. The Executive Director shall make at least monthly reports 

to the Commission within thirty (30) days after the close of the month for which the 

information is being provided. The report shall, at a minimum, include a full and 

complete statement of auditing activities, expenses and all other financial transactions of 

the Executive Director and a summary of licensing and enforcement actions, including 

any and all violations of the gaming facilities minimum internal control standards. 

ARTICLE V 

CONFLICTS OF INTEREST 

Section 1. Conflicts of Interest Prohibited. No number of the Tribal Council or 

Gaming Commission for the Enterprise Rancheria shall: 

(a) Be employed by any gaming operation, be a Primary Management 

Oflicial or Owner or Controlling Person with respect to any 

Management Contract. 

(b) Participate in the approval, denial or renewal of any application for 

a gaming license by, or participate in the revocation or suspension 

of any license granted hereunder to any immediate relative of such 

member of the Tribal Council or the Commission. 

(c) Engage in any business, transaction or professional activity or 

incur any obligation of any nature which conflicts with the proper 

discharge of his or her official duties in administering this 

Ordinance; provided that a member's conflicting obligation that is 

not otherwise disqualified under this Section shall be: 

(i) Promptly disclosed as to any activity or obligation to the 

Tribal Council or Commission and refrain from voting on 

any matter, regarding which such activity or obligation, 

which may constitute a conflict of interest. 

Section 2. Prohibitions A~ainst Particbation In gamin^. Except as provide 

herein, no Primary Management Oficial or employee of the Enterprise Rancheria gaming 

facility shall: 

(a) Participate as a player in any Class I1 or Class I11 games conducted 

by the Enterprise Rancheria where they are employed, except: 

(i) Employees of the Rancheria in any of its Class I1 gaming 

operations may participate as players in any of the 

Rancheria's Class I11 gaming operations; 

Amended & Revrsed Gaming Ordinance 

Ratified: Page 90f 14 
(ii) Employees of the Rancheria in any of its Class I11 gaming 

operations may participate as players in any of the 

Rancheria's Class I1 gaming operations; 

(iii) Primary Management Oficials in any of the Rancheria's 

Class I1 or Class I11 gaming operations may not participate 

at any time; 

(iv) Engage in any business transactions or professional activity 

or incur any obligation of any nature which conflicts with 

the proper performance of any Management contract or 

employment duties, as the case may be. 

Section 3. conflict in^ Interests. No employee of the Rancheria's gaming 

operation shall own, be employed by or have any direct or indirect pecuniary interest in 

any management contract or other gaming related contract with the Rancheria. 

Section 4. Surveillance and Com~liance. No employee of the Rancheria7s 

gaming operations who is employed in the Surveillance and Compliance areas may 

participate in any Class II or Class I11 games. 

Section 5. Table Games. No Blackjack, floor person, pit boss, dealer, shift 

supervisor, or trainer shall participate in the play of Blackjack or any other table game. 

Section 6. Promotions. No Primary Management Official, employee of the 

Rancheria's gaming operations, members of the Tribal Council or Gaming Commission 

may participate in any Class I1 or Class I11 marketing or promotional programs offered by 

the gaming operation. 

Section 7. Elected Officials. No elected official of the Enterprise Rancheria shall 

participate in any wide area progressive or stand alone progressive slot machine programs 

offered by the gaming operation. 

Section 8. gamin^ Commission. No Commissioner who is a member of the 

Enterprise Rancheria Gaming Commission may participate in any of the Rancheria's 

games of chance, whether Class I1 or Class 111. 

Section 9. Re~ulations. All regulations promulgated by the General Council shall 

be binding upon the Commission and shall have full force and effect under the Gaming 

Ordinance. 

Amended & Revised Gaming Ordrnance 

Ratrfied: Page 100 14 
ARTICLE VI 

CONFIDENTIALITY 

Each Commissioner, Executive Director and any staff employed by the 

Commission shall be required to sign a confidentiality agreement and will be responsible 

for ensuring the strictest standards of confidentiality with respect to all information 

concerning the gaming operation or the Commission's business. All information provided 

to or obtained by the Commission, the Executive Director or any staff employed by the 

Commission in performance of their duties shall be kept confidential and shall not be 

disclosed to any person or organization without the written consent of the Tribal Council 

and signed and executed release of information by the individual who is the subject of 

disclosure. 

ARTICLE VII 

BUDGET 

At least ninety (90) days prior to the end of each fiscal year, the Commission shall 

prepare a budget for the next year's operation and shall submit the budget to the General 

Council at the annual meeting for the purpose of approving the Annual Budget of the 

Rancheria (Tribe). In preparing the annual budget, all actual and anticipated surplus fbnds 

of the Commission shall be taken in account. The General Council shall adopt, amend, or 

replace the annual budget and, based thereon, shall authorize the transfer of the annual 

capital required in accordance with the approved Annual Budget of the Rancheria 

(Tribe), except the Commission may deviate from the terms of the adopted budget by a 

margin of not more than five (5%) during the budget year without hrther approval of the 

General Council. 

ARTICLE VIII 

REVIEW 

Section 1. Executive Director. Any persons or entity adversely affected by a 

decision of the Executive Director , including but not limited to the gaming operation or 

any employee thereof, may petition the Commission for review of such decision within 

(30) days after receiving notice of the decision. Said decision shall only be reversed by a 

majority vote of the Commission at a duly held meeting at which such matter has been 

placed on the agenda at least (1 5) days prior to such meeting. 

Amended & Hevrsed Gam~ng Ordrnance 

Rat~j?ed Page I I of1 4 
Section 2. Gaminp Commission's Decisions. Any person or entity adversely 

affected by a decision of the Commission, including but not limited to the gaming 

operation or any employee thereof, may petition the General Council for review of such 

decision within (30) days after receiving notice of the decision. Said decision shall only 

be reversed by a majority vote of the General Council at a duly held meeting at which 

such matter has been placed on the agenda at least (15) days prior to such meeting. The 

General Council is authorized to reverse a decision made by the Commission only where 

the General Council finds, by a majority vote of those present at that meeting conclude: 

(a) The Commission's decision was unreasonable, arbitrary, 

capricious, an abuse of discretion, or otherwise not in accordance 

with applicable tribal, federal and state laws; 

(b) The Commission exceeded its jurisdiction, authority, or 

limitations, under applicable tribal laws; 

(c) The Commission's decision is unsupported by substantial evidence 

or unwarranted by the facts presented, either orally or 

substantively. 

Section 3. General Council Decisions. The decisions of the General Council shall 

be final and binding upon the petitioner, Executive Director and Commission and shall 

not be subject to Tribal Council review, but may be reviewed by the Enterprise 

Rancheria's Trial Court and the Tribal Court's decision shall be final. 

ARTICLE IX 

SOVEREIGN IMMUNITY 

As an agency of the Tribe's government, the Commission and employees and 

agents shall enjoy the full benefits of the Tribe's sovereign immunity, and any and all 

attributes of sovereignty enjoyed by Enterprise Rancheria. 

ARTICLE X 

INDEMNIFICATION 

The General Council of Enterprise Rancheria shall indemnify any Commissioner, 

Executive Director, employee or agent of the Commission, against expenses actually and 

reasonably incurred in connection with the defense of any action, suit or proceeding, civil 

or criminal, in which that individual is made a party by reason of being, or having been 

such a Commissioner or Officer of the Commission shall be adjudged in such action, suit 

or proceeding to be liable for gross negligence, fraud or willful misconduct in the 

performance of their duties for the Commission or the Tribe. 

Amended &Revised Gaming Ordinance 

Ratified: Page 12 of 14 
ARTICLE XI 

SEVERABILITY 

If any provision of this Ordinance shall in the hture be declared invalid by a court 

of competent jurisdiction, the invalid provision or provisions shall be severed and the 

remaining provisions shall continue in full force and effect. 

ARTICLE XII 

AMENDMENTS TO ORDINANCE 

This Ordinance may be amended or repealed by a majority vote of the General 

Council at which a quorum is present. 

ARTICLE XIII 

EFFECTIVE DATE 

The Ordinance shall become effective and binding upon adoption by a majority 

vote of the General Council at which a quorum is present and upon the approval of the 

Chairman of the National Indian Gamin2 Commission and uublished uursuant to 25 

U. S. C 8 2 71 0 (d) (2) (c). 

ARTICLE XIV 

SERVlCE OF PROCESS 

The Estom Yumeka Maidu Tribe of the Entmrise Rancheria, do herebv 

designate the Tribal Chairperson as the apent for the Tribe for anv and all service of 

process, which shall be served on the Chairperson at the below indicated address: 

Enterprise Rancheria 

Attn: Chairperson 

1940 Feather River Blvd, Suite B 

Oroville. California 95965 

Amended &Revised Gamrng Ordinance 

Ratrfied: 
CERTIFICATION 

I, the undersigned, as Secretary of the Estom Yumeka Maidu Tribe, also known as 

Enterprise Rancheria, do hereby certify this Gaming Ordinance was ratified at a duly held 

meeting of the General Council on June 20, 2004, by a vote of -41- in favor, none 

against and -1 abstaining, and that this Gaming Ordinance has not been amended or 

rescinded in any other manner. 

~@e$ ~/An~l< Chair 

/ 

June 20,2004 

Date 

, 

ATTEST: June 20,2004 

Lisa Angle, Secretary ~nter~rih~ancheria Date 
Enterprise Rancheria Gaming 

REGULATION 2004-01 

ENTERPRISE RANCHERLA GAMING COMMISSION 

Section 1. Establishment of Commission. 

(a) There shall be established a Enterprise Rancheria Gaming 

Commission consisting of five (5) Commissioners 

appointed by a majority vote of the General Council acting 

at a meeting at which quorum is present. 

(b) Each Commissioner shall be appointed by a majority vote 

of the General Council acting at a duly convened meeting 

at which a quorum is present. The Enterprise Rancheria 

encourages all persons who desire to serve on the 

Commission and who meet the qualifications set forth in 

Section 2 to apply to the General Council for appointment 

to the Commission. In hrtherance of this goal, the General 

Council shall noti@ members of the Enterprise Rancheria 

of any vacancies on the Commission under such notice 

provisions as deemed appropriate, and the members of the 

General Council shall actively recruit qualified applicants 

from the membership. 

(c) The General Council shall establish such application 

procedures deemed appropriate for members of the 

Enterprise Rancheria interested in serving on the 

Commission. 

(d) The Tribal Council shall select a least seven (7) applicants 

to be interviewed by the General Council for the initial 

appointments and at least two (2) applicants per vacancy 

thereafter. 

Section 2. Qualifications. In order to qualify for appointment to the 

Commission an applicant must satisfy all the following requirements: 

(a) Each applicant must be a duly enrolled member of the 

Enterprise Rancheria; 

(b) Each applicant must have attained the age of twenty-one 

(2 1) years or older; 

(c) Each applicant must have at least a high school or GED 

equivalent and have knowledge of or some experience in 

the gaming industry; 
(d) Have no prior criminal record of conviction of, or entry of 

plea of guilty or no contest to, any of the following tribal, 

county, state or federal court, unless he or she has been 

pardoned by the jurisdiction where the conviction was 

entered or said plea taken: 

(i) Any felony; 

(ii) Any gaming related offense; 

(iii) Fraud or misrepresentation in any connection; 

(iv) A violation of any provisions of this Gaming 

Ordinance, Regulations or any other ordinance of 

the Enterprise Rancheria regulating gaming. 

(e) Not be a person whose prior activities, criminal record, if 

any, or reputation, habits and associations pose a threat to 

the public interest or to the effective regulation or control 

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

unfair, or illegal practices, methods, or activities in the 

operation of gaming or the carrying on of the business and 

financial arrangements incidental thereto; 

(f) No applicant may be serving on the Tribal Council for the 

Enterprise Rancheria at the time of his or her appointment 

to, during his or her term of ofice on the Commission. 

This prohibition does not include persons serving on other 

Committees of the Enterprise Rancheria; 

(g) No applicant may be an immediate family member of any 

Tribal Council member; immediate family member as 

defined by the Gaming Ordinance; 

(h) No applicant may be a Primary Management Oficial or 

Owner or Controlling person with respect to any 

Management Contract, and not a relative of a Primary 

Management Official or Owner or Controlling Person with 

respect to any Management Contract; 

Section 3. Term of Otlice. Each Commissioner shall serve as a 

full time employee and shall not be terminated "without cause ". 

Section 4. Quorum. Any three (3) Commissioners present at a 

duly called meeting shall constitute a quorum. 

Section 5. Compensation. Commissioners shall serve on a full 

time basis, unless otherwise approved by the Tribal Council. Commissioners 

shall be paid the necessary travel expenses for meetings duly called under the 

Gaming Ordinance and Regulations, in accordance with established policies 

and guidelines of 

Ent Gum Reg. 2004-01-Page-2- 
Enterprise Rancheria. Additional compensation, if any shall be established by the 

Enterprise Rancheria Tribal Council in accordance with established policies and 

guidelines of the Tribe. 

Section 6. Removal. Any Commissioner may be removed by a 

majority vote of the Tribal Council acting at a meeting at which a quorum is 

present. Removal shall be initiated by petition presented to the Tribal Council by 

any member of the Tribal Council, including the Chairperson. Such removal 

shall only be for cause, including malfeasance, dereliction or neglect of duty, 

unexcused failure to meet and attend three successive meetings of the 

Commission, conviction of a felony in any tribal, county, state or federal court 

while in ofice, any willhl and persistent misconduct reflecting on the dignity and 

integrity of the Tribe, or failure to comply with any provisions of the Tribe's 

Constitution and laws and other applicable laws. Any Commissioner being 

considered for removal shall be provided an explanation by the Tribal Council in 

writing, which explanation shall be considered by the Tribal Council in voting on 

the question of removal. All removal questions shall be considered by the Tribal 

Council in open session at or after the end of the 30 day notice period at which 

time the Commissioner and his or her attorney shall have the right to be present 

and present evidence both oral and substantive and to call any witnesses of their 

choosing. The Tribal Council shall have ten (10) working days to provide a 

written decision to the Commissioner who is being considered for removal. 

Section 7. Vacancies. A vacancy on the Commission through 

death, resignation, or removal shall be filled by a majority vote of the Tribal 

Council at a duly called meeting in which a quorum is present to complete the 

unexpired term of employment. Subsequent to the Tribal Council being notified 

of a vacancy and making a temporary appointment, a General Council meeting 

for the purpose of filling the vacancy on the Commission shall be scheduled 

within ten (30) days of said notification. 

Section 8. Powers and duties of Commission. The Commission 

shall be responsible for enforcing this Regulation and shall ensure compliance 

with the Ordinance, IGRA and the Compact, any licenses issued, and any 

resolutions of the Tribal Council specifically delegated authority to the 

Commission. In addition to other duties specifically delegated to the Commission 

in this Regulation and Gaming Ordinance, the Commission shall have the 

following powers and duties: 

(a) The Commission may recommend policies and guidelines relating 

to gaming, including any amendments to the Ordinance; 

(b) The Commission shall monitor all Class I, Class I1 and Class I11 

gaming on the Ranchiera's lands and all monthly reports and 

annual audits of such activities to insure that such activities 

conform to the provisions of the Gaming Ordinance, Regulations, 

IGRA and the Compact; 

Ent. Cam Reg.2004-01-Page-3- 
Except as otherwise provided, the Commission shall issue and 

deny gaming licenses in accordance with the Gaming Ordinance 

and Regulations; 

The Commission or the Tribal Council shall refer any apparent 

violations of the Ordinance, Regulations, IGRA, the Compact, or 

violations of License Conditions to the Tribal Council for 

investigation; 

The Commission may refer any violations of the Tribe's laws of 

general applicability, such as Policy and Procedures and Budgetary 

violations to the Tribal Council for its consideration and action as 

it may determine appropriate; 

The Commission or the Tribal Council for Enterprise Rancheria 

may impose penalties for any violations of this Ordinance, any 

Order of the Commission, or any License condition in accordance 

with this Ordinance. The Commission may enjoin or otherwise 

prevent any violation of the Ordinance, Regulations, or any Order 

of the Commission, any license condition or other laws relating to 

gaming on Ranceria lands; 

The Commission shall prepare and recommend an annual budget 

for the purpose of allocating hnds to the Commission for its 

necessary activities and expenses, which must be approved by the 

General Council. The Commission may in accordance with any 

approved budget employ such staff from time to time as it deems 

necessary to hlfill its responsibilities under the Ordinance and 

Regulations; 

The Commission shall use the Tribal Attorney's Office as its 

counsel, or such other counsel the Commission so chooses, based 

upon a budgeted line item; 

The Commission shall have the authority and responsibility to 

interpret the Ordinance and Regulations and its rules in 

proceedings before its body; 

Except as otherwise provided in this Regulation or any NIGC 

approved Management Contract, the Commission shall comply 

with all policies, guidelines, laws, resolutions and regulations of 

the Tribal Council and General Council; 

Nothing in this section shall prevent the Commission from 

attempting to obtain voluntary compliance through warning, 

conference or any other appropriate means. 
Section 9. Meetin~s and Hearings of the Commission. 

(a) All meetings and hearings of the Commission (except executive 

sessions shall be open to all duly enrolled members of the 

Enterprise Rancheria, and non-members upon invitation of the 

Commission, the Tribal Council, or the Tribal Attorney. Balloting 

at all sessions shall be as the presiding officer shall direct. The 

Commission may, upon motion duly passed, go into executive 

session. At such sessions all persons shall be excluded from the 

meeting chamber, and any persons whose presence shall be 

required before the Commission shall be designated by the 

presiding officer, and no other person shall be allowed to be 

present other than the Commissioners. 

(b) The Commission shall post notice of any meeting or hearing in an 

prominent, noticeable place in the Rancheria's Ofice(s) no less 

than 48 hours prior to the meeting or hearing, if possible, such 

notice at or before the date of posting in a local newspaper or tribal 

newspaper serving the local community. The notice shall state the 

date, time and place of the hearing. 

Section 10. Commission Rules of Practice and Procedure. 

Subject to the approval of the Tribal Council, the Commission may adopt Rules of 

Practice and Procedure, otherwise not inconsistent with the Ordinance and Regulations, 

to regulate its proceedings. Such rules may provide for the issuance of subpoenas, upon 

application to the Commission, to compel attendance or the production of documents, and 

for pre-hearing discovery. Subject to any limitations set forth in the Ordinance and 

Regulations, such rules may be amended by the Commission at any time, but 

amendments shall not be effective until approved by the General Council. 

CERTIFICATION 

I, the undersigned, as Secretary of the Estom Yumeka Maidu Tribe, also known as 

Enterprise Rancheria, do hereby certifL Gaming Regulation No. 2004-01, was ratified at 

a duly held meeting of the General Council on March 6, 2004, by a vote 26 in favor, none 

against and 1 abstaining, and that this Gaming Regulation has not been amended or 

rescinded in any other manner. 

March 6. 2004 

Date 

ATTEST: March 6. 2004 

Lisa Angle, Secretary ~nterprisebncheria Date 

Ent. Cam Reg. 2004-01-Page-5- 
Enterprise Rancheria Gaming 

AMENDED REGULATION 2004-02 

LICENSING PROCEDURES 

Section 1. Gaming License Reauired. 

(a) Persons. Every person employed in any of the Enterprise 

Rancheria's Gaming Facilities is required to obtain a tribal gaming license. The 

following persons must obtain tribal licenses under the procedures of this Regulation, as a 

condition to employment in any Gaming Operation on the Rancheria's lands: 

(i) Any Owner and Controlling person; 

(ii) Primary Management Oficial; 

(iii) Key Employee; and 

(iv) Any other employee or class of employees as determined 

by the Tribal Council. 

The licensing requirement under this Ordinance is in addition to any state certificates 

required under the Compact, if any by the State of California. The Rancheria shall issue 

to any individual a Class I1 License which shall be valid for any Class I1 facility and a 

Class I11 License which shall be valid for any Class 111 facility owned and operated by the 

Enterprise Rancheria. 

Section 2. Gamin9 Facilitv License. The Enterprise Rancheria shall by 

and through its Gaming Commission issue a license hereunder to each place, facility 

or location on the Rancheria's lands to be designated for the operation and conduction 

of gaming activitieehat meets the definition of lands pursuant to the Indian Gaming 

Regulatory Act, 25 U.S.C. 8 2701 d seq. 

Section 3. Standard for License. Licenses issued hereunder shall be 

issued according to requirements that are at least as stringent as those set forth in 

regulations promulgated by the MGC in parts 556 and 558 of Chapter 25 of the Code of 

Federal Regulations, including any amendments thereto, and also, in the case of Class I11 

gaming, according to the requirements that are at least as stringent as those set forth in 

the Compact. 

Section 4. A~~lication for License. 

(a) No License shall be issued under this Article except upon 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: 

Amend Ent. Cam Reg.2004-02-Page-1- 
(i) Satisfactory proof that the applicant is of good character 

and reputation among the members of the Rancheria, and is 

financially responsible; 

(ii) A description of the premises at which the games are to be 

conducted, with proof of the contractual or other basis upon 

which the applicant shall conduct the games, or be 

employed, at such premises; 

(iii) Agreement by the applicant to accept and abide by all 

conditions of the License as provided by this Ordinance; 

(iv) Satisfactory proof that neither the applicant, nor any Owner 

or Controlling person of any applicant which is a party to a 

Management Contract, nor any of the applicant's 

employees has in any jurisdiction ever been convicted of, 

or entered a plea of guilty or no contest to, any of the 

following criminal offenses, unless the person has been 

pardoned: 

(a) A felony, other than a felony conviction for an 

offense under b, c, or d, within the immediately 

proceeding ten (1 0) years; 

(b) Any gaming-related offenses; 

(c) Fraud or misrepresentation in any connection; or 

(d) A violation of any provisions of California Penal 

Code relating to gaming offenses or other 

appropriate state regulatory body, or this Ordinance 

or any other ordinance of the Rancheria regulating 

or prohibiting gaming. 

Except in the case of Owners or Controlling Persons or 

persons designated in any Management Contract as having 

management responsibilities of all or any part of any 

Gaming Operations, the Tribal Council may in its 

discretion waive by legislative resolution any requirement 

set forth in this section for any applicant for a Class I11 

License as permitted by the Compact or for any applicant 

for a Class I1 License when the applicant has sufficient 

evidence of rehabilitation and present fitness to hold a 

License under the standard set forth in this Section. 

Decisions of the Tribal Council to grant or to deny a waiver 

under this subsection shall not be appealable to any tribunal 

of the Rancheria. 

That the applicant has fblfilled any applicable requirements 

of IGRA and the Compact as may be required. 

Amend EnL Gam Reg.2004-02-Page-2- 
(b) No License shall be issued to any applicant who has been 

determined by the Tribal Council or the Commission to be a 

person whose prior activities, criminal record, if any, or reputation, 

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

effective regulation and control of gaming, or create or enhance the 

dangers of unsuitable, unfair or illegal practices, methods, or 

activities in the operation of gaming or the carrying on of the 

business and financial arrangements incidental thereto. 

(c) The issuance of licenses hereunder also shall be subject to the 

provisions of Regulation 2004-04, relating to background 

investigations. 

(d) The following notice shall be inserted on the application form for a 

key employee or a Primary Management Oficial before that form 

is filled out by an applicant: 

9 

In compliance with the Privacy Act of $74, the following 

information is provided: Solicitation of the information on 

this form is authorized by 25 U.S.C. $2701 et seq. . The 

purpose of the requested information is to determine the 

eligibility of individuals to be employed in a gaming 

operation. The information will be used by the National 

Indian Gaming Commission members and staff who have 

need of the information in the performance of their official 

duties. The information may be disclosed to appropriate 

Federal, State, Tribal, 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 the Rancheria 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 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 Oficial 

or Key Employee position. The disclosure of your Social 

Security Number (SSW is voluntary. However, failure to 

supply a SSN may result in errors in processing your 

application. 

(e) Key Employees and Primary Management OEcials hired prior to 

the effective date of this Ordinance shall be notified in writing that 

they shall either; 

Amend Ent Gam Reg. 2004-02-Page-3- 
(i) Complete a new application form that contains a 

Privacy Act Notice; or 

(ii) Sign a statement that contains a Privacy Act Notice 

and consent to the routine uses described in this 

Notice. 

(f) The following notice shall be place in the application form for a 

Key Employee or a Primary Management Oficial before that form 

is filled out by an applicant. 

A false statement on any part of your application 

may be grounds for not hiring you, or for 

termination of your employment subsequent to your 

hiring. Also you may be punished by fine or 

imprisonment pursuant to U.S.C. Title 18, 3 1001. 

The Commission shall notify in writing any Key Employees and 

Primary Management Officials hired prior to the effective date of 

this Ordinance that they shall either: 

(i) Complete a new application form that contains a 

notice regarding false statements; or 

(ii) Sign a statement that contains the notice regarding 

false statements. 

Section 5. Procedures. All applicants shall be considered by the 

Commission in accordance with vacancies under the regular procedures of the 

Commission at duly called meetings hereunder described in Regulation 2004-01. 

Section 6. Authoritv to Issue License. The Commission shall grant or deny 

all Applications for a License, except that the Commission shall deny an application for a 

License where the applicant or Licensee does not meet the restrictions relating to criminal 

offenses contained in this Regulation, in which case, in the discretion of the applicant, the 

applicant may proceed to make a record of findings by the Commission by as to the 

Applicant's sufficient rehabilitation and present fitness to hold a license. Any license 

granted by the Commission shall be effective upon the date of the grant, which 

effectiveness shall be provisional as set forth in this Regulation herein pending the 

satisfactory completion of all background investigation and pending expiration of the 30- 

day period of review by the NIGC provided for in regulations promulgated by the NIGC 

in part 558 of Chapter 25 of the Code of Federal Regulations, including any amendments 

thereto; provided, however, that the Commission must provide written notice to the 

Tribal Council of the granting of any Licenses, and the Tribal Council shall have the 

power to overturn the granting of any License on its own motion at any time provided the 

Tribal Council has conducted a hearing consistent with the provisions set forth herein. If 

Amend Eni. Cam Reg.200402-Page-4- 
overturned by the Tribal Council, a License issued by the Commission shall have no 

force or effect. Any such denial shall be final, however, any applicant may reapply in 

two (2) years from the date of the denial to show cause why a License should not be 

issued. 

Section 7. ADD^^ of Denial of License.The applicant may appeal any denial 

of a license as provided herein to the Tribal Council of Enterprise Rancheria and then to 

the Trial Court of the Enterprise Rancheria. 

Section 8. Effectiveness of License. Any license granted hereunder shall 

be effective on a provisional basis pending the satisfactory completion of all background 

investigations required under this Ordinance, IGRA, the Compact or any agreement to 

which the Rancheria is a party, and pending expiration of the 30-day period for review by 

NIGC provided for in regulations promulgated by the NIGC in part 558 of Chapter 25 of 

the Code of Federal Regulations, including any amendments thereto, if applicable. Upon 

the satisfactory completion of all required background investigations and such review by 

the NIGC, such license shall continue to be effective until it expires. If background 

investigations or NIGC review are not satisfactorily completed, a provisional license shall 

have no fbrther force or effect. 

Section 9. Term of License and License Fee. 

(a) Licenses shall be for a term of two (2) years, and shall expire on 

the anniversary of the date of issue. 

(b) In order to recover the costs to the Rancheria of complying with 

federal, tribal, annual license fees shall be imposed as follows: 

(i) License fees in the amount of $25,000.00 shall be imposed 

upon any party to a Management Contract with the 

Rancheria every two (2) years, which may not be paid as 

an operating expense of any of the Rancheria's gaming 

facilities. 

(ii) License fees shall be imposed on any persons required to 

obtain a license in accordance with the fee schedule 

imposed by the Commission. 

(iii) Every gaming license has the responsibility during the term 

of each licensing term to assure that there exists a 

continued disclosure of facts and information relating to his 

or her suitability to hold a gaming license. Failure to 

disclose pertinent information in its entirety on a continuing 

basis shall be cause for revocation or suspension of a 

gaming license. 

Amend En& Gam Reg. 2004-02-Page-5- 
(iv) In addition, to the license fees imposed pursuant to this 

Section, the Commission may in its discretion impose such 

fees on licensed persons as are reasonable relating to costs 

of enforcement, including investigations and proceedings 

before the Commission, which will in the aggregate be 

sufficient to enable the Rancheria to recover its reasonable 

costs of enforcing this Ordinance. 

Section 10. Conditions of License. Any license issued under this 

Regulation shall comply with such reasonable conditions as may be fixed and created by 

the Commission, including but not limited to the following conditions: 

(a) Facilitv License: 

(i) The licensee shall at all times maintain an orderly, clean 

and neat establishment, both inside and outside the 

Licensed Premises; 

(ii) The Licensed Premises shall be subject to patrol by the 

Rancheria security force and local law enforcement, 

pursuant to a MOU with any local governments, which 

shall be approved by the General Council, and the licensee 

shall cooperate at all times with such security and law 

enforcement officials; 

(iii) The Licensed Premises shall be open to inspection by duly 

authorized Rancheria Oflicials at all times during the 

regular business hours; 

(iv) There shall be no discrimination in the operation under the 

License by reason of race, color, or creed, provided, 

however, nothing herein shall not require the licensee from 

granting Indian Preference in hiring and training required 

management and staff personnel for the gaming operation. 

Section 1 1. Reauired Notifications. The Commission shall promptly 

noti@ the NIGC and other appropriate federal regulatory body of the issuance or denial 

of a gaming license, as required by IGRA. 

Section 12. Assignment or Transfer. No license issued under this 

Regulation shall be assigned or transferred without the prior written approval of the 

Commission expressed by formal rule making relating to such actions. 

Amend En f. Gam Reg. 2004-02-Page-6- 
Section 13. Cancellation or Sus~ension. The Licensee and his or her or its 

employees shall be legally responsible for any violations of the Gaming Ordinance, 

Regulations, tribal law, Compact or IGRA or the License itself Any license issued 

hereunder may be canceled by the Commission for the breach of any of the provisions of 

the License, the Gaming Ordinance, or any rules promulgated pursuant to the Ordinance. 

(a) The Licensee and his or her or its attorney have the right to be 

present and to participate in any hearing relating to the revocation 

or suspension of a license; 

(b) Suspensions. A license may be summarily suspended for up to 

thirty (30) days without prior hearing for good cause by majority 

vote of the Commission; provided, however, that a license shall be 

suspended during such period as required under the IGRA, if the 

cancellation arises as a result of a notice from the NIGC under its 

own regulations; 

(c) Appeals. All decisions of the Commission regarding cancellations 

of licenses shall be final, unless appealed to the Tribal Council 

within thirty (30) day of notification of suspension, except that a 

license canceled by the Commission pursuant to an objection 

itemized by the NIGC as provided herein may not be appealed. 

There shall be no right of appeal of any suspension decision, and 

no gaming shall be conducted by any licensee during the period of 

suspension. No gaming shall be conducted by the licensee after 

cancellation, even during the pendency of an appeal proceeding. 

Section 14. Notice of Licensing Action. The Commission and the Tribal 

Council shall post public notices of all actions taken in regard to licenses and license 

applications in a prominent noticeable place in the Rancheria's offices, on gaming 

premises and shall publish such notice in the local newspaper if so required by the 

Commission Rules and Regulations. 

Section 15. Provisional Ern~lovment Pending Issuance of License and 

Durine Provisional License Period.Primary Management Officials and Key Employees 

may be employed in the Gaming Operations on the Rancheria's lands prior to the 

issuance of a license hereunder and during the period that a license shall be effective on a 

provisional basis as provided in Section 8 of this Regulation, but such employment shall 

be provisional only and subject to the requirements of this Section. Any person or entity 

who is required to apply for a waiver under Section 4 (a) (iv) is not eligible for a 

provisional license or employment in the gaming facility for the Rancheria, unless a 

waiver decision under that section is granted by the Tribal Council. Employment may 

begin prior to issuance of license only if the Commission or such other tribal entity or 

agency as may be authorized by the Tribal Council has made a preliminary determination 

Amend Ent Cam Reg.2004-02-Page- 7- 
that the Primary Management Official or Key Employee is not a person whose prior 

activities, criminal record, if any , or reputation, habits and associations pose a threat to 

the public interest or the effective regulation and control of gaming, or create or enhance 

the dangers of unsuitable, unfair, or illegal practices, methods or activities in the 

operation of gaming or the carrying on of the business and financial arrangements 

incidental thereto. Preliminary employment must be terminated upon the occurrence of 

any of the following: 

(a) Denial of a license by the Commission or the Tribal Council; 

(b) Unsatisfactory completion of background investigations or NIGC 

review resulting in nullification of provisional license, as described 

in Section 8, above, or; 

(c) To the extent required under regulations promulgated by the NIGC 

in part 558 of Chapter 25 of the Code of Federal Regulations, 

including any amendments thereto, at the end of 90 days after the 

starting date of provisional employment, if at the end of such 

period no license has been issued hereunder or if a licensed issued 

hereunder remains effective only on a provisional basis, as 

provided in Section 15, above; provided, however, that provisional 

employees terminated for reason described in this subsection, shall 

be qualified for reemployment upon satisfactory completion of 

background investigations and NIGC review. 

Section 16. Licensure Fees. The Gaming Commission shall establish a 

fee schedule for all licenses issued to individuals herein referred to and such fees shall be 

made payable to the Tribe (Enterprise Rancheria). 

CERTIFICATION 

I, the undersigned, as Secretary of the Estom Yumeka Maidu Tribe, also known as 

Enterprise Rancheria, do hereby certifL Gaming Regulation No. 2004-02, was ratified at 

a duly held meeting of the General Council on June 20, 2004, by a vote of - 41 - in 

favor, 0 against and 1 abstaining, and that this Gaming Regulation has not been 

amended or rescinded in any other manner. 

June 20.2004 

Date 

June 20,2004 

Date 

Amend Ent. Gam Reg. 2004-02-Page-8- 
Enterprise Rancheria Gaming 

REGULATION 2004-03 

VENDOR LICENSING 

Section 1. Vendor License. For the purpose of protecting the financial 

integrity of the gaming operations, the Enterprise Rancheria (Tribe) hereby adopts this 

Regulation No. 2004-03 to license any and all vendors doing business with the gaming 

operations. 

Section 2. (a) Vendors. All vendors, whether classified as gaming or nongaming shall be subject to licensing and registration by the 

Commission as a condition precedent to conducting business with 

the Enterprise Rancheria gaming facilities. 

(i) Non- gamin^ Vendors. Any classified non-gaming vendor(s), supplier(s), or general contractor(s) who 

conducts business with the Rancheria's gaming facilities in 

an amount equal to or exceeding $100,000.00 in any year 

shall register with the Commission and pay an annual 

administrative fee of $100.00. Non-gaming vendor(s), 

supplier(s), or general contractor(s) who conduct business 

with the Rancheria's gaming facility in amounts not less 

than $100,000.00 and exceeding $10,000.00 shall register 

with the Commission and pay an annual fee of $50.00. 

Any classified non-gaming contract or agreement below 

$10,000.00 in any year shall be exempt from any 

registration and the payment of any annual administrative 

fees. 

(ii) gamin^ Vendors. Any gaming vendor(s), supplier(s) or 

general contractor(s) who conducts business with the 

Rancheria's gaming facility in an amount equal to or 

exceeding $25,000.00 annually shall pay an annual 

administrative fee of $100.00 and any gaming vendor(s), 

supplier(s) or general contractor(s) below $25,000.00 in 

any year shall be exempt from any payment of the annual 

administrative fees, but are required to register annually 

with the Commission. 

(iii) Any other classified businesses that are determined by the 

Enterprise Rancheria to be required to pay an annual 

administrative fee and to register with the Commission. 

Ent. Gam Reg. 2004-03-Page-I- 
Section 3. 

Section 4. 

A~plication and Procedures for License. 

(a) Standard. The standard and procedure for considering and 

issuing vendor licenses shall be those set out in this Regulation for 

licensing in general. Any other matters pertaining to licensing 

shall be governed by other applicable provisions of the Gaming 

Ordinance and Regulations. 

(b) Determination of Other Jurisdictions. In addition, the 

Commission may consider issuing licenses to gaming vendors who 

possess valid licenses from other tribal or state jurisdictions until 

such time that the Enterprise Rancheria completes its own 

background investigation. In the event that other jurisdictions 

suspend, revoke, or rehse to renew a license or certificate to a 

gaming vendor, the Commission may consider the determination 

of that jurisdiction and may revoke, suspend, or refbse to renew 

any vendor license issued by the Commission. 

Term of Licenses and Fees for Gaming Vendorts), Sup~lierfs) 

and General Contractorls). 

(a) Vendor licenses shall be for a term of two (2) years, and shall 

expire on the anniversary of the date of issuance. 

(i) All vendor licenses must be renewed by written 

notice to the Commission by the vendor, supplier or 

general contract of their intent to renew said license 

with the required license fee; 

(ii) Failure to file a written notice of intent to renew the 

vendor license, sixty (60) days prior to the date of 

expiration by a vendor licensee, shall cause the 

Commission to issue a letter of expiration. The 

letter of expiration shall be sent, certified mail to the 

last known address of the vendor on the bi-annual 

due date of the license. 

(b) In order to recover the costs to the Rancheria of complying 

with the federal, tribal and state regulatory processes applicable 

to Class 11 and Class I11 gaming, bi-annual license fees shall be 

imposed upon the filing of any application for a gaming vendor 

license, and upon every license renewal thereafter. The 

amount shall be a set fee of $100.00 per license renewal period, 

unless the vendor is exempt. However, any actual costs and 

Ent. Cam Reg. 2004-03-Page-2- 
expenses associated and incurred with additional background and 

suitability investigations shall be assessed the vendor as per an 

actual cost billing. Vendors classified under Section 4 (b), (i), (g) 

will upon renewal be assessed the regular fee of $50.00. The 

schedule of fees for initial licensing of gaming vendors shall be as 

follows: 

(i) Existing vendors and those applying for new 

licenses shall be assessed a non-refhndable license 

back-grounding fee based on the amount of 

business with the Rancheria's gaming facility and 

those fees will be hrther based on the gross dollar 

amount received fiom the previous fiscal year: 

(a) Gaming Vendors conducting business with the 

Rancheria's gaming facility in an amount 

equal to or exceeding $1,000,000.00 shall be 

assessed a flat fee of $50,000.00; 

(b) Gaming Vendors conducting business with the 

Rancheria's gaming facility in an amount of 

$999,999.99 to $500,000.00 shall be assessed 

a flat fee of $10,000.00; 

(c) Gaming Vendors conducting business with the 

Rancheria's gaming facility in an amount of 

$499,999.99 to $1 00,000.00 shall be assessed 

a flat fee of $5,000.00; 

(d) Gaming Vendors conducting business with the 

Rancheria's gaming facility in an amount of 

$99,999.99 to $50,000.00 shall be assessed a 

flat fee of $2,500.00; 

(e) Gaming Vendors conducting business with the 

Rancheria's gaming facility in an amount of 

$49,999.99 to $25,000.00 shall pay a flat fee 

of $1,000.00; 

(f) Gaming Vendors conducting business with the 

Rancheria's gaming facility in an amount of 

$24,999.99 to $10,000.00 shall pay a flat fee 

of $250.00; 

(g) Gaming Vendors conducting business with the 

Rancheria's gaming facility in an amount less 

than $10,000.00 shall be assessed a flat fee of 

$50.00; 
(ii) Classified gaming vendors who have not previously 

conducted business with the Rancheria's gaming 

facility will be assessed a fee according to the 

above-indicated fee scale as to the gross dollar 

amount of the initial proposal with the gaming 

facility. 

(iii) In addition, to any non-refundable backgrounding 

license fee paid, the Enterprise Rancheria's Gaming 

Commission may require a vendor to pay such 

supplementary investigative fees and expenses as 

may be incurred additionally by the Commission 

with respect to the actual background investigation 

of said vendor. 

(a) The Enterprise Rancheria Gaming 

Commission or its designee shall itemize the 

supplementary investigative fees and expenses 

and submit said billing to the vendor; 

(b) The Commission will not take any final action 

to approve any vendor license application, 

unless all license and investigative fees and 

expenses have been paid in full. 

CERTIFICATION 

I, the undersigned, as Secretary of the Estom Yumeka Maidu Tribe, also known as 

Enterprise Rancheria, do hereby certify Gaming Regulation No. 2004-03, was ratified at 

a duly held meeting of the General Council on March 6, 2004, by a vote of 26 in favor, 

none against and 1 abstaining, and that this Gaming Regulation has not been amended or 

rescinded in any other manner. 

ATTEST: 

Lisa Angle, Secretary ~nter~nb~ancheria 

March 6. 2004 

Date 

March 6. 2004 

Date 
Enterprise Rancheria Gaming 

AMENDED REGULATION 2004-04 

BACKGROUND INVESTIGATIONS 

Section 1. Reauired Bacbround Investigations. Background 

investigations shall be conducted on all persons or entities specified in this Ordinance. 

Section 2. Standards for Backround Investi~ations. All background 

investigations shall be conducted under the supervision and direction of the Commission 

to ensure that the Rancheria's gaming operations shall not employ or contract with 

persons or entities whose prior activities, or reputations, habits and associations pose a 

threat to the public interest or to the effective regulation of gaming conducted under the 

Gaming Ordinance and Regulations, or create or enhance the dangers of unsuitable, 

unfair or illegal practices and methods and activities in the conduct of such gaming. 

Such investigations shall be conducted according to the requirements that are at least as 

stringent as those set forth in regulations promulgated by the National Indian Gaming 

Commission, 25 CFR parts 556 and 558, including any amendments thereto and as 

provided in this Ordinance and as those set forth in the Compact. If the Commission 

determines that employment of the person or entity posses a threat to the public interest 

or to the effective regulation of gaming, or creates or enhances dangers of unsuitable, 

unfair or illegal activities, practices or methods in the conduct of gaming, a tribal gaming 

operation shall not employ that person in a Key Employee or Primary Management 

Oficial position. In the case of investigations of Primary Management Officials and Key 

Employees, the report required under regulations promulgated by NIGC in 25 CFR part 

558, including any amendments thereto, shall be prepared and submitted to the NIGC, 

which report shall contain the eligibility determination described in such regulations. All 

background investigations also shall otherwise meet the standard of such investigations 

imposed under the IGRA and the Compact and shall be updated as required by IGRA and 

the Compact, as applicable. Nothing herein shall prevent a more extensive background 

investigation than those required under IGRA or the Compact. 

Section 3. Backwound Investigations. 

(a) Each person subject to a background investigation under Section 1, 

above of this Regulation, shall be required to provide all the 

following information: 

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

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

gender, all languages (spoke and written); 

(ii) Currently and for the previous five (5) years, all business 

and employment positions held, ownership interests held in 

those businesses, business and residential addresses and 

drivers license number(s); 

Amend Ent Gam Reg.2004-04-Page-1- 
(iii) 

(iv) 

(v) 

(vi) 

(vii) 

(viii) 

(ix) 

(xii) 

(xiii) 

(xiv) 

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

personal references, including one personal reference who 

was acquainted with the applicant during such period of 

residence listed under paragraph (a)(ii) of this section; 

Current business and residence telephone numbers; 

A description of any existing and previous business 

relationships with other federal recognized Indian tribes, 

including ownership interests in those businesses; 

A description of any existing and previous business 

relationships with the gaming industry generally, including 

ownership interests in those businesses; 

The name and address of any licensing or regulatory 

agency with which the person has filed an application for a 

gaming license or permit, whether or not such license or 

permit was granted; 

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; 

For each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations), within 10 

years of the date of the application, the name and address of 

the court involved and the date and disposition; 

For each criminal charge (excluding minor traffic 

violations), whether or not there is conviction, if such 

criminal charge is within 10 years of the date of the 

application and is not otherwise listed pursuant to 

paragraph (a)(viii) or (a)(ix) of this Section, the criminal 

charge, the name and address of the court involved and the 

date and disposition; 

The name and address of any licensing or regulatory 

agency with which the person has filed an application for 

an occupational license or permit (such as gaming, liquor, 

accounting or practice of law), including but not limited to, 

whether or not such license or permit was granted; 

A current photograph; 

Any other information the Commission deems relevant; 

and 

Fingerprints consistent with procedures adopted by the 

Enterprise Rancheria Gaming Commission pursuant to 25 

CFR 5 522.2. (h). 

Amend Ent Gam Reg.-2004-04-Page-2- 
(b) The investigation shall be sufficient to make determination of 

suitability as set forth under Section 2, above. 

Section 4. Designation Fingervrint Processing. The Gaming Commission 

shall be the designated tribal agency to obtain and process all fingerprints as required 

by CFR § 522.2 (h), said processing is for the purpose of a criminal history check, 

including a check of records maintained by the FBI. The Gaming Commission, shall 

if required under the state compact allow the designated state law enforcement agency 

to process all fingerprint cards as required and those fingerprint cards shall be 

forwarded by that state agency to the appropriate federal agencies for processing. 

Further, the Gaming Commission may designate a Compliance Officer to obtain and 

process fingerprints. Provided, further, that Gaming Commission may elect to 

process the fingerprint cards with the idenbting NIGC ORI number and then forward 

the processedfingerprint cards directly to NIGC pursuant to an approved MOU. 

Section 5. Znvestiaatr've Procedures. In the process of background 

investigation the designated agent of the Gaming Commission shall follow the 

following background investigation procedures: 

(a) Vent the applicant's name, place of birth, date of birth, and 

citizenship by requiring the applicant to provide items such as a 

birth certipcate, social security card, or passport; 

(b) Confirm the applicant's business and employment positions held 

and ownership interests in those businesses currently and for the 

past five (5) years by attempting to contact through written letter, 

telephone calls or personal visits to past employers listed in the 

application and through ownership documentation such as 

copies of partnership agreements, stock certrpcates, or ZRS tax 

returns; 

(c) Obtain the applicant's driving record by using the applicant's 

driver license number to contact the Deparzment of Motor 

Vehicles in the state where the license was issued; 

(4 Ascertain character information about the applicant by 

contacting the personal refmences, neighbors, co-employees, past 

employers and other references listed in the application; 

(e) Inquire into any existing or previous business relationships the 

applicant has had with Indian tribes, including the scope of those 

relationships, by contacting those tribes identified in the 

application. Also, the investigator or compliance officer should 

contact with Indian tribes to obtain other information available; 

Amend Ent. Cam. Reg.2004-04-Page-3- 
fl Gather and obtain information about any existing or previous 

business relationships the applicant has had in the gaming 

industry, including the scope of those relationships, by 

contacting those entities identifled in the application. Also, when 

appropriate, the investigator should contact other state gaming 

agencies or the NZGC to obtain other information available; 

(g) VmiJj, the applicant's history and status with any licensing 

agency idenwed by the applicant with which the applicant has 

applied for an occupational license or permit by contacting those 

agencies; 

(h) Obtain information regarding any past felonies, the last 10 years 

by contacting staie, city, county and tribal courts, and state, local 

and tribal police departments in the applicant's areas of 

residence. The NZGC recommends obtaining as much 

information as possible through public documents and records. 

Also, a tribe ma2 require an applicant to submit any court 

documents pertaining to the applicant's civil or criminal histoy; 

0) Obtain and verify any other information the tribe will deem 

relevant to a complete and thorough background investigation, 

which may include a credit report; 

0) All potential areas of concern regarding any and all background 

investigations shall be noted and documented, including any and 

all disqualziJj,ing in formation. 

Section 5. Reauired Bacbround information for Business Entities. In 

addition to the background information required in Section 3 Above, the Commission 

shall request from an applicant that is a business entity all of the following information, 

provided that two (2) or more business entitles having a commonality of the 

characteristics identified in the following sub-sections (a)-(d), inclusive, may be deemed 

to be a single business entity: 

(a) Each of its officers and directors; 

(c) Each of its principal management employees, including any chief 

executive officer, chief financial officer, chief operating officer, 

and general manager; 

(d) Each of its owners or partners, if an incorporated business; 

(e) Each of its shareholders who owns more than ten (10%) of the 

shares of the corporation, if a corporation or otherwise; 

(f) Each person or entity (other than a financial institution that the 

Commission has determined does not meet the requirements of the 

Compact, that alone or in combination with others, has provided 

financing to the business entity in connection with any gaming 

authorized under the Compact, if that person or entity provided 

more than ten (10%) of 

Amend Ent Cam Reg.2004-04-Page-4- 
(i) start-up capital; 

(ii) bridge loans; 

(iv) operating capital over any twelve (12) month period; or 

(v) any combination thereof. 

Section 6. Re~ortine to State gamin^ A~encv. Except for an application 

for a non-key gaming employee, as defined by agreement between the Commission and 

the State Gaming Agency, the Commission shall require the applicant to also file an 

application with the State Gaming Agency, prior to issuance of any license, including 

provisional, for a determination of suitability for licensure under the California Gambling 

Control Act. 

(a) Upon receipt of a completed license application a determination by 

the Commission that it intends to issue a license, the Commission 

shall transmit to the State Gaming Agency a notice of intent to 

license the applicant, together with all the following, if required by 

the State-Tribal Compact; 

(i) A copy of the license application materials and information 

received by the Commission from the applicant. 

(b) Upon receiving notice of the State Gaming Agency's denial of an 

application of suitability, the Commission shall promptly notify 

the Tribal Council and, if the Commission objects to the denial, 

request an opportunity for the Tribe to be heard and diligently 

exercise its right to a hearing. 

(c) With respect to non-key gaming employees, as defined by 

agreement with the State Gaming Agency, the Commission shall 

provide the State Gaming Agency with name, badge identification 

number, and job descriptions of all such employees on a monthly 

basis, within seven (7) days of the end of each month. 

Section 7. Procedures for Forwardine A~~lications and Re~orts for Key 

Em~lovees and Primarv Manapement Off~cials to the National Indian Gaming 

Commission. 

(a) When a Key Employee or Primary Management Official begins 

employment at the Rancheria's gaming facility authorized by the 

Gaming Ordinance, a complete application for employment, the 

background investigation and determination referred to in Section 

3, above shall be forwarded to NIGC. 

(b) The report referred to in Section 5, hereafter shall be submitted to 

the Nation Indian Gaming Commission within sixty (60) days after 

an employee begins work or within sixty (60) days of the approval 

of this Regulation by the Chairman of the National Indian Gaming 

Commission. 

Amend Ent Gam Reg.2004-04-Page-5- 
Section 8 

(c) The gaming operation shall not employ as a Key Employee or 

Primary Management Official a person who does not have a 

license after ninety (90) days. 

Re~orto the National Indian Gamine Commission. 

(a) Pursuant to the procedures set out in the previous Section of this 

Regulation, the Commission shall prepare and forward to the 

National Indian Gaming Commission an investigative report on 

each background investigation upon issuance of a license. An 

investigative report shall include all of the following: 

(i) Procedures implemented in conducting background 

investigation; 

(ii) Results obtained from said background investigation; 

(iii) Conclusions reached by the Gaming Commission; 

(iv) The Commission's bases for its conclusions. 

(b) The Commission shall submit, with the report, a copy of the 

eligibility determination made pursuant to Section 3, above. 

(c) If a license is not issued to an applicant, the Commission: 

(i) Shall notify the National Indian Gaming Commission; 

(ii) May forward copies of its eligibility determination and 

investigative report, if any, to the National Indian Gaming 

Commission for inclusion in the Indian Gaming Records 

System. 

With respect to Key Employees and Primary Management 

Officials, applications for employment and reports, if any of 

background investigation shall be retained for inspection by the 

Chairman of the National Indian Gaming Commission or his or 

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

termination of employment. 

Section 9. grant in^ a Gaming License. 

(a) If, within a thirty (30) day period after the National Indian Gaming 

Commission receives a report, the National Indian Gaming 

Commission notifies the Tribe that it has no objection to the 

issuance of a license pursuant to a license application filed by a 

Key Employee or Primary Management Official for whom the 

Commission has provided an application and investigative report 

to the National Indian Gaming Commission, the Rancheria may 

issue the license to said applicant. 

Amend Ent Gam Reg. 2004-04-Page-6- 
(b) The Commission shall respond to a request for additional 

information from the Chairman of the National Indian Gaming 

Commission concerning a Key Employee or Primary Management 

Official who is subject of a report. Such a request shall suspend 

the 30 day period under subsection (a) above, until the Chairman 

of the National Indian Gaming Commission receives the additional 

information. 

If, within the thirty (30) day period described above, the National 

Indian Gaming Commission provides the Rancheria with a 

statement itemizing objections to the issuance of a license to a Key 

Employee or Primary Management Official for whom the 

Commission has provided an application and investigative report 

to the National Indian Gaming Commission shall reconsider the 

application, taking into account the objections of the National 

Indian Gaming Commission. The Commission shall make the 

final decision whether to issue a license to said applicant. 

Section 10. License Cancellation and Suspension, Revocation Followine Recei~t 

of Information from NIGC. 

(a) If, after the issuance of a gaming license, the Commission receives 

from the National Indian Gaming Commission reliable information 

indicating that Key Employee or Primary Management Official is 

not eligible for employment under Section 2, above, the 

Commission may suspend such license and shall notifL in writing 

the licensee of the suspension and the proposed cancellation or 

revocation of said license. 

(b) The Commission shall conduct a hearing in accordance with this 

Ordinance on the proposed cancellation and revocation pursuant to 

Regulation 2004-02, Section 13 , (a) above. 

(c) ARer a hearing, the Commission shall decide to cancel, revoke or 

to reinstate a gaming license. The Commission shall noti@ the 

National Indian Gaming Commission of its decision. The decision 

of the Commission to cancel and revoke a license may be appealed 

to the Trial Court of the Enterprise Rancheria whose decision shall 

be final. 
CERTIFICATION 

I, the undersigned, as Secretary of the Estom Yumeka Maidu Tribe, also known as 

Enterprise Rancheria, do hereby certifl Gaming Regulation No. 2004-04, was ratified at 

a duly held meeting of the General Council on June 20, 2004, by a vote of -41- in 

favor, 0 against and 1 abstaining, and that this Gaming Regulation has not been 

amended or rescinded in any other manner. 

June 20.2004 

Date 

June 20.2004 

Date