Cl-lAS L. GONZALES

vice QIAU~N

THERESA WOLFIN

~i ~ w~

PIT RIVER TRIBE

20258 Tamarack Avenue

PO. Drawer 1570

Burney, CA 96013

TELEPHONE

9163355421

~ 8003055551

F?~ 916-3~--5241

ELEVEN AUTONOMOUS BANDS

ORIGINAL

95-05 -Q~

May 26, 1995

Adopt Gaming Ordinance, Tribal Ordiance Number

Pour.

The Pit River Tribe is a federally recognized

tribe composed of eleven autonomous bands

located in Northeastern California since time

immemorial, and

The Pit River Tribe is governed by the Pit

River Tribal Council, the body duly elected

under the constitution of the Pit River Tribe,

adopted August 15, 1987, and approved by the

assistant Secretary of Interior for Indian

Affairs, December 10, 1987, and

The Pit River Tribal Council is empowered by

Article vu of the Constitution to enact all

ordinances and resolutions which shall be

necessary and proper for carrying into effect

the Councils powers and responsibility,

including and the power to negotiate and

contract with federal, state, and tribal

governments, private enterprise, individuals.,

and organizations, and

Resolution No.:

Date:

Now therefore be it resolved, that the Pit River Tribal Council is

desirous of adopting Gaming Ordinance, Tribal Ordiance Number Four.

Subject:

Whereas:

Whereas:

Whereas:

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Page Two

Date:

Resolution Number:

May 26, 1995

95-05 -o_~

CE-R-T- I-F-I -C-A-T- 1-0-N

I, the undersigned Tribal Designee, I1aurance D. Cantrell of the Pit

River Tribe, do hereby certify the Pit River Tribal Council is

composed of eleven autonomous bands of which 7 were present,

constituting a quorum at a specially called, noticed, convened, and

held meeting this 2~ ~ day of i~1I~ 1995, and the resolution was

adopted by a vote of k for, C against, and 1 abstaining,

and that said resolution has not been rescinded or amended in any

~c Dated: 5t~ /~ Laurance D. Cantrell

Tribal Designee

At t e J~%~%Dated: ~/

Secretary, Theresa WoWin

Councij Member Signatures

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PIT RIVER TRIBE ~jQ\,/ 9 ~

Ordinance No. 4

PIT RIVER TRIBAL GAMING ORDINANCE OF 1995

The Pit River Tribe çTribe), a federally recognized Indian Tribe, hereby enacts the following

ordinance, known as the PiT RIVER TRIBAL GAMING ORDINANCE OF 1995 (Ordinance). This

Ordinance and any regulations promulgated thereunder shall constitute the entire gaming regulations for

the Tribe.

Section 1. Findings and Policy

This Ordinance is adopted by the Pit River Tribal Council, the governing body of the Pit River Tribe

of the Pit River Reservation, pursuant to its authority under the Tribes Constitution and By-laws, for the

purpose of establishing the terms for gaming on the Reservation for tribal governmental and charitable

purposes, and to develop and operate 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)) and regulations

promulgated thereunder.

The Tribe finds that:

a. Gaming under IGRA is a valuable means of reducing unemployment, diversifying revenue

generating programs, 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 and thereby improve the quality of life among all

Members of the Tribe;

b. The Tribe desires to conduct gaming to provide needed revenues to the Tribe and provide

employment opportunities and to regulate and control such gaming in a manner that will protect Tribal

Lands, the environment, the health, security and general welfare of the Tribe, the players, and the

community; and

c. The Tribe desires to manage and regulate such gaming in a manner that will adequately

address such interests and needs of the Tribe.

Section 2. Definitions

Unless specified otherwise, terms used herein shall have the same meaning as in IGRA, including

but not limited to references to Net Revenues, Class I, ~Class U, and Class Ill gaming, except for

references to Commissioners, Commission, or Gaming Commission which shall mean the Pit River

Tribe Gaming Commission or its Commissioners, established and described herein.

a. Board of Directors shall mean those persons responsible for overseeing the operation

and management of gaming.

b. Closely Associated Independent Contractor shall mean any contractor that shares

common ownership, common officers, or common directors with any management principal, or a person

related thereto.

c. 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,

O1\PIT RIVER\GarnOrdO4.895

1
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 tide business transactions.

d. Gaming Activities shall mean any Class 1, Class U, or Class Ill gaming activity conducted

by or within the jurisdiction of the Tribe.

e. Gaming Commission or Commission shall mean the Pit River Tribe Gaming

Commission, as established herein to monitor the Gaming Activities, investigate wrongdoing, conduct

background investigations, issue licenses, and perform other duties as necessary for the regulation of

gaming on Tribal Lands.

f. Gaming Contractor shall mean any person or business that manufactures, distributes, or

supplies gaming devices, other gaming equipment, other equipment or services, or personnel (including

gaming management or consulting services) to any Gaming Activities or Gaming Entity.

g. Gaming Entft shall mean the gaming business, event, or activity (however organized)

conducted by or within the jurisdiction of the Tribe.

h. 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 most highly

compensated persons in the Gaming Entity are included in the definition of Key Employees. At the

discretion of the Gaming Commission, other positions or persons, and including Gaming Contractors not

otherwise included, may be included under and subject to the requirements for Key Employees.

i. Management Contract shall mean any contract, subcontract, or collateral agreement

between the Tribe and a contractor or between a contractor and a subcontractor if such contract or

agreement provides for the management of all or part of a gaming operation.

j. Member shall mean any duly enrolled member of the Tribe.

k. ~Nationaf Indian Gaming Commission (NIGC) shall mean the commission established

under IGRA.

I. Net Revenues shall mean gross gaming revenues of a tribal gaming operation less (a)

amounts paid out as, or paid for, prizes: and (b) total gaming-related operating expenses, excluding

management fees.

m. Person shall mean any natural person or entity, including but not limited to corporations,

partnerships and trusts.

n. 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 Entity; or the chief financial officer or other person who has financial management

responsibility. At the discretion of the Gaming Commission, other positions or persons, and including

Gaming Contractors, may be included under and subject to the requirements for primary management

officials.

o. Related to shall refer to persons who are related as a father, mother, sister or brother.

O1\PIT RIVER\GamOrdO4.895

2
p. Tribal Council shall mean the committee of the elected Tribal representatives,

established as the governing body of the Tribe by authority delegated pursuant to the Tribes Constitution

and By-laws.

q. Tribal Court shall mean any court established by the Tribe.

r. Tribal Lands shall mean those lands which, under IGRA, qualify as Indian Lands with

respect to the Tribe and on which gaming may be conducted.

Section 3. Ownershin of Gaming

a. The Tribe shall have the sole proprietary interest in and responsibility for the conduct of any

gaming operation authorized by this Ordinance, except to the extent the Tribe may contract with and license

a person or entity to own, operate or manage the Gaming Entity pursuant to the provisions of IGRA or as

otherwise permitted by law.

b. Gaming activities conducted on the Reservation, owned by a person or entity other than the

Tribe, shall be licensed and regulated by the Tribe under this Ordinance, and conducted in compliance with

the requirements of IGRA and 25 C.F.R. §~ 522.10 and 522.11.

Section 4. Gaming Commission

a. Establishment of Gaming Commission There is established hereby a Commission acting

under the authority of the Tribe to be known as the Pit River Tribe Gaming Commission. The Gaming

Commission is responsible for monitoring, licensing and regulation of the Gaming Entity and Gaming

Activities.

b. Membership and A~Dointment The Gaming Commission shall be composed of five (5)

Members of the Tribe, and shall serve for three (3) year terms. Four (4) members of the Gaming

Commission shall be appointed by the Tribal Council. One (1) of the five (5) Gaming Commissioners shall

be appointed from the Tribal Council, and shall serve only during their term as a member of the Tribal

Council.

c. Qualifications for Office The following minimum requirements must be met to qualify for

membership on the Commission:

i. Enrolled Member of the Pit River Tribe: and

ii. Twenty-one (21) years of age.

d. Disgualifications for Office The following persons shall not serve as Commissioners:

i. Employees of any Gaming Entity on the Reservation:

ii. Persons related to any Gaming Contractor (including any principal thereof

or Closely Associated Independent Contractor); or

iii. Persons who have been convicted of a felony within the last five (5) year(s).

e. Removal from Office Commissioners may only be removed from office before the

expiration of their terms by the Tribal Council for neglect of duty, malfeasance or other good cause shown.

O1\PXT RIV~R\CarnOrdO4.895

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The procedure for removing a Commissioner shall be the same as for removing a member of the Tribal

Council.

f. Quorum Three (3) members of the Gaming Commission shall constitute a quorum.

g.. 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 in writing the

minutes of all Gaming Commission meetings and all official actions taken by the Gaming Commission.

h. Meetings Meetings shall be held at least once per month, on the third Friday of the month

at 11:00 a.m., at the Tribes primary meeting facility (Scheduled Meetings). Any Tribal member may

attend Scheduled Meetings. Scheduled Meetings may be changed at any time by the Gaming

Commission, with notice of such change posted prominently at least five (5) business days in advance at

the Tribes primary meeting facility. Notice of meetings shall be given in writing to each Commissioner,

served by first class mail or personal delivery at least five (5) business days prior to such meeting.

Additional meetings shall be held as called by the Chairman or by at least three (3) other Commissioners.

Meetings may be called at any time, by any means, with unanimous consent of the Commissioners. All

Commission discussions, deliberations, and votes taken regarding specific license applications and related

background investigations, or any other investigations, and any other matter the Commission deems must

be kept confidential in order to preserve the integrity of the Gaming Entity or the Tribe or to protect the

privacy of the applicant, shall be held in Executive Session.

Voting All actions of the Gaming Commission shall be taken by majority vote. The

Commission Chairman may vote on any issue.

j. Compensation for Serving: Fringe Benefits: Reimbursement of Expenses Commissioners

may be compensated for serving on the Commission at rates to be set by the Tribal Council after full

review. Commissioners shall be eligible for fringe benefits which are available to other employees of the

Tribe to the extent the provider of such benefits qualifies the Gaming Commission positions for such

benefits. Subject to approval by the Tribal Council and in accordance with procedures to be adopted by

that body, Commissioners shall be reimbursed for expenses incurred in connection with the performance of

their Gaming Commission duties.

k. Commission Budget At least annually, the Gaming Commission will develop a budget for

the upcoming twelve (12) months operation of the Gaming Commission and shall submit the proposed

budget to the Tribal Council for review and approval. The proposed budget shall include all anticipated

expenses for staff, travel and meeting expense, and compensation to Commissioners.

Powers and Duties

The Gaming Commission, acting as a regulatory body, shall have the power and duty to:

i. After review by the Tribal Council, adopt such regulations as appropriate in order

to implement the provisions of this Ordinance;

ii. Inspect, examine and monitor Gaming Activities and the Gaming Entity, including

the power to demand access to and inspect, examine, photocopy and audit all papers, books and records

respecting such Gaming Activities and Gaming Entity:

iii. lnvestigate or cause to be investigated, in conjunction with the tribal or other

recognized enforcement agency or agencies, any suspicion of wrongdoing in connection with any Gaming

Activities or Gaming Entity;

O1\PIT RIVER\GamOrdO4.895

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iv. Conduct or cause to be conducted such investigations as may be necessary to

determine compliance with all applicable laws, or with this Ordinance or any contracts, agreements, goods,

services, events, incidents, or other matters related to the Gaming Activities or Gaming Entity;

v. Issue licenses to persons and entities connected with the Gaming Activities or the

Gaming Entity and, at minimum, to all Key Employees and Primary Management Officials according to

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

vi. Conduct or cause to be conducted background investigations regarding persons

and entities connected with the Gaming Activities or the Gaming Entity and, at minimum, for all Key

Employees and Primary Management Officials according to requirements at least as stringent as those in

25 C.F.R. parts 556 and 558;

vii. Hold such hearings, sit and act at such times and places, summon persons to

attend and testify at such hearings, take such testimony, and receive such evidence as the Gaming

Commission deems relevant in fulfilling its duties;

viii. Administer oaths or affirmations to witnesses appearing before the Gaming

Commission;

ix. Implement and administer a system for investigating, licensing and monitoring

employees and others connected with the Gaming Activities or Gaming Entity, as described below, and

including the issuance of licenses to gaming facilities, individuals and entities as required under this

Ordinance and the IGRA;

x. Hear disputes against the Gaming Entity, in accordance with the procedures

established in this Ordinance;

xi. Hire such staff and support services for the Commission as deemed necessary

subject to a budget approved by the Tribal Council;

xii. To the extent required, comply with any reporting requirements, including annual

reports to the Tribal Council and Members, and those requirements established under any compact to

which the Tribe is a party and other applicable law, including the IGRA and regulations promulgated

thereunder;

xiii. Promulgate rules for each Class I, Class II or Class Ill game allowed under this

Ordinance, to govern the conductof such games; and

xiv. Carry out such other duties with respect to the Gaming Activities and Gaming Entity

as the Tribal Council shall direct.

m. Quarterly and Annual Reports On or before the last day of the month immediately

following the close of each quarter in each year (for example, by April 30 for the quarter ending March 31;

by July 31 for the quarter ending June 30, and so forth), the Gaming Commission shall provide in writing to

the Tribal Council a Quarterly Report summarizing its activities during the prior quarterly period, and once a

year, by no later than November 15, an annual report for the 12-month period ending on September 30.

The Quarterly and Annual Reports shall account for all receipts and disbursements during such period.

The Tribal Council shall cause an executive summary of the Annual Report to be made available to

Members within thirty (30) days after its receipt. At the request of the Tribal Council, the Gaming

Commission shall provide an oral report of its activities to the Tribal Council at least quarterly.

O~\PIT RIVER\GamOrdOl.095

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n. Other Reporting Reciuirements As required, the Gaming Commission shall comply with

any reporting requirements established under a compact to which the Tribe is a party, and other applicable

law, including the IGRA and regulations promulgated thereunder.

Section 5. Permitted Gaming Activities

a. Unauthorized Gaming Prohibited All Gaming Activities on the Reservation (whether Class

II or Ill) are prohibited except as expressly authorized under this Ordinance.

i. Class I Gaming 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 pursuant to a finding that such conduct is not in accordance with tribal

customs or practices.

ii. Class II and Class Ill Gaming: Sole Proprietary Interest Class II and Class ll~ gaming on

the Reservation is hereby authorized, provided the Tribe has the sole proprietary interest in and

responsibility for the conduct of any Gaming Entity, or to the extent the Tribe may contract with or license a

person or entity to own, operate or manage Gaming Activities or the Gaming Entity, 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.

Section 6. Gaming Revenues

a. Tribal ProDertv Except as provided for under the terms of an agreement pursuant to the

provisions of IGRA or as otherwise permitted by law, all revenues generated from any Class It or Class Ill

Gaming Activities are the property of the Tribe. Any profits or net revenues from Gaming Activities shalt be

deposited into the tribal accounts as determined by the Tribe. Once becoming part of such tribal account,

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 individual Member shall be deemed to have any interest in

such profits or net revenues. Payments from tribal accounts under other tribal programs, including those

related to health, welfare, education, elderly care, and housing, shall not be deemed to be per capita

payments. The Tribe acknowledges the requirements of IGRA, 25 U.S.C. § 2710 (b) (3) regarding gaming

revenues.

b. Use of Net Revenues Net revenues from Gaming Activities shall not be used for

purposes other than:

I. To fund tribal government operations or programs;

ii. To provide for the general welfare of the Tribe and its members;

iii. To promote economic development for the Tribe;

iv. To donate to charitable organizations; or

v. To help fund operations of local government agencies.

O1\PIT RIV~R\GamOrdO4.89S

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Section 7. Operation of Gaming Establishments

a. 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

tribal 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 Gaming

Commission for such purposes as to each facility before any Gaming Activities may occur therein. Such

licenses may 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, food handling and

entertainment, and such other matters as the Gaming Commission may deem necessary to the conduct of

Gaming Activities therein.

b. Protection of Environment and Public Any construction or maintenance of any gaming

facility, and the operation of gaming therein, shall be conducted in a manner which adequately protects the

environment and the public health and safety.

c. Dispute Resolution Patrons who have complaints against the gaming establishment

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 wilt be

final when issued, except to the extent reviewed by the Tribal Council as set forth below. Any patron having

a claim against the Gaming Entity or a management contractor or its employees must submit such claim to

the Gaming Commission within thirty (30) days of its occurrence. 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. Any patron dissatisfied with the decision of the Gaming Commission may seek an

appeal, by a request for review, to the Tribal Council. All patrons filing claims with the Gaming Commission

shall be given notice that they may appeal the decision of the Gaming Commission by filing a written

request for review with the Tribal Council within ten (10) days of receipt of the Gaming Commissions

notification of its final ruling, or from the date notification of the manner and time for appeal was received,

whichever last occurs, but in no event more than thirty (30) days after the Gaming Commissions decision

has become final. The Tribal Council shall have sole discretion in determining whether or not to grant the

petitioners request for review. If it grants the request, the sole issue before the Tribal Council shall be

whether or not, in reaching its final decision, the Gaming Commission acted arbitrarily and capriciously.

Section 8. Audits

Annual outside auditing by the recognized independent accounting firm selected by the Tribal

Council shall be conducted of the Gaming Activities and the results thereof reported to the Tribal Council,

the NIGC, and otherwise as required bylaw. All audits must meet any audit requirements of the Tribe.

Section 9. Contracts / Audits

a. Gaming Contracts Unless otherwise exempted by the Gaming Commission, contracts relating

to Gaming Activities, the Gaming Entity or any gaming facility (except contracts for professional legal or

accounting services) shall be subject to the Tribes requirements for purchasing such goods and services.

b. Audit Requirements All contracts for supplies, services, or concessions for a contract amount

in excess of $25,000 annually (except contracts for professional legal or accounting services) relating to

O1\PTT RrvER\GamOrdO4.895

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Class II or Class Ill gaming on the Reservation shall be subject to independent audits, and such contracts

shall so specify.

Section 10. Licenses

a. Licensin~i Requirements It is the declared policy of the Tribe that all Gaming Activities be

licensed and controlled so as to protect the peace, dignity, and welfare of Members and other persons on

the Reservation and to preserve the honesty, fairness and integrity of such Gaming Activities. Accordingly,

no person or entity shall provide goods or services to, or be employed to conduct, be associated with,

supervise, or manage any Class II or Class Ill Gaming Activities on the Reservation without an appropriate

and valid independent Class II or Class Ill gaming license issued by the Gaming Commission. Any gaming

license which is issued, or finding of suitability or approval by the Gaming Commission, shall be deemed a

privilege subject to suspension or revocation. No license shall be issued that would place the Tribe in

violation of a compact to which the Tribe is a party, or of any applicable law.

b. Burden on Applicant The burden of proving an applicants qualification to receive any

license hereunder is at all times on the applicant. Applicants must accept any risk of adverse public notice,

embarrassment or other action which may result from the application process and expressly waive any

claim for damages as a result thereof.

c. ADplicant Claim of Privilege An applicant may claim any privilege afforded by law in

connection with a gaming license application or investigation, but a claim of prMlege with respect to any

testimony or evidence pertaining thereto may constitute sufficient grounds for denial, suspension or

revocation.

d. Release of Information All persons applying for a license shall agree to release all

information necessary in order for the Gaming Commission to achieve its goals under this Ordinance, and

to furnish such information to the NIGC, and to such other governmental agency as may be required by law.

e. Types of Licenses Three classes of licenses (Class A, Class B, and Class C) shall be

issued to persons and entities associated with Gaming Activities or the gaming facility.

i. Class A Licenses Before permitting any person to become permanently associated with

the Gaming Activities as an investor, management entity, or other person owning or controlling ten percent

(10%) or more of any interest in any management entity; or any Primary Management Official; Key

Employee; Closely Associated Independent Contractor; or other indMdual or entity with influence over the

management or operation of the gaming; and, unless otherwise exempted, all other gaming employees

and Gaming Contractors, such person shall obtain a Class A license. Those who do not meet the

qualifications established shall be denied a Class A license. The Gaming Commission shall conduct or

cause to be conducted a background investigation to determine if such person has:

(1) Any criminal record or any reputation, prior activities, habits or associations

which might pose a threat to the public interest or to the effective regulation of

gaming.

(2) Anything else in their background which might create or enhance the

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

conduct of gaming.

ii. Class B Licenses Persons who are not among those identified in subsection (1) above,

but are employed at a gaming facility on the Reservation in a non-gaming related activity, shall be required

to obtain a Class B license from the Gaming Commission. Such persons must establish that they have not

O1\PIT RIVER\GamOrdOl .895

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been convicted of a crime, or engaged in any activity, which the Gaming Commission in its sole discretion

deems would render such person a danger to the safety or integrity of the Gaming Activities or the safety or

property of the Tribe, any Member, any gaming employee or patron, or the public.

iii. Class C Licenses Minors (persons under 18 years of age) employed at a gaming

facility on the Reservation may be issued a Class C license, which will entitle them to work in positions for

which a Class B license would otherwise be required and in which minors are not otherwise prohibited by

law from working. The Gaming Commission will first determine that the minor receiving a Class C license

does not pose any threat to the safety or integrity of the Gaming Activities or the safety or property of the

Tribe, any Member, any gaming employee or patron, or the public. Such licenses shall be valid for no more

than six (6) months before renewal, and shall be revoked upon the minors reaching the age of eighteen

(18), at which time a Class A or B license, as may be appropriate, will be required. Minors shall not be

employed as dealers or otherwise to operate or supervise the operations of games.

f. Class A and Class B License Renewal Revocation, and Suspension Class A and

Class B licenses shall be subject to renewal at least every two (2) years. Ucenses may be revoked or

suspended upon the occurrence of any act which, if known during the application process, or becomes

known thereafter, would have tended to disqualify such person for such a license.

g. Temporary Licenses Pending completion of an investigation for a license, temporary

licenses of no more than ninety (90) days duration may be issued by the Gaming Commission if, in its sole

discretion, it deems it appropriate to do so. Under no circumstances will the Gaming Commission issue

more than two (2) temporary licenses to an individual or entity in any two (2) year period. Such licenses

shall permit the licensee to engage in such activities pursuant to such terms and conditions as may be

specified by the Gaming Commission. Such temporary licenses shall expire ninety (90) days from date of

issuance, upon issuance of a regular license, or until an earlier specified expiration date, whichever occurs

first.

h. License Investigations The Gaming Commission may employ all reasonable means,

including the engagement of outside services and investigators and the holding of hearings, to acquire the

information necessary to determine whether or not a license should be issued. Applicants shall also agree

to release all information necessary in order for the Gaming Commission to achieve its goals under this

section and to furnish such information to the NIGC and to such other agency as may be required by law.

i. License Fees Unless specifically waived by the Gaming Commission, all persons applying

for a Class A, B or C license shall be required to pay all applicable license fees and costs when due,

including the reasonable cost for regulation and monitoring of licensees in connection with the license

application. Estimates of licensing costs shall be provided to applicants upon request. Unless specifically

waived by the Gaming Commission, payment for all fees and costs must be received by the Gaming

Commission prior to issuance of the license.

j. Standards All persons engaged by or associated with any Gaming Activity on the

Reservation shall conduct themselves with honesty, integrity, and with such decorum and manners as may

be necessary to reflect positively on the Tribe, its members and the Gaming Activities involved. Any failure

to abide by such standards, or a violation of any rule, ordinance, custom or tradition of the Tribe, the

Reservation or the Gaming Activities, or the terms or conditions of the license, may be grounds for

immediate suspension or revocation of any license issued hereunder.

k. Appeals All decisions of the Gaming Commission regarding the issuance, suspension, or

revocation of licenses shall be final and effective when issued; provided, within fifteen (15) days of the

receipt of the written decision regarding denial, suspension, or revocation of the license, the applicant may

file a petition for reconsideration with the Gaming Commission. Any Member who is denied a license by the

Gaming Commission may, within thirty (30) days of the receipt of the written notice of such denial, appeal

O1\PIT R1V~R\GamOrdO4.O95

9
the denial to the Gaming Commission, which shall have the power to reverse its prior decision and order

that such license be issued. Licenses issued by the Gaming Commission as a result of such appeal shall

be issued for no more than one year, and are subject to the renewal procedures set forth herein. No

decision of the Gaming Commission that a license be issued shall be valid if such issuance would place the

Tribe in violation of a compact to which the Tribe is a party, or of any applicable law.

I. Backaround Investiaatio~s

i. The Gaming Commission shall request from each Primary Management Official and

each Key Employee all of the information specified in subsections (1) through (14) below. Each other

applicant for a Class A, Class B or Class C license shall submit such information as the Gaming

Commission, in its sole discretion, deems appropriate for the position sought by applicant. The Gaming

Commission reserves the right, at any time, to request additional information either prior to, during, or

subsequent to any background investigation.

(1) Full name, other names used (oral or written), social security number(s), date of

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

(2) Current and for at least the previous five (5) years: business and employment

positions held, ownership interests in those businesses, business and residence addresses

and drivers license number(s);

(3) 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 as listed under subsection (b) above;

(4) Current business and residence telephone numbers;

(5) Description of any existing and previous business relationships with the gaming

industry generally, including ownership interests in those businesses;

(6) A description of any existing and previous business relationships with Indian tribes,

including ownership interests in those businesses;

(7) Name and address of any licensing or regulatory agency with which the person

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

license or permit was granted;

(8) For each felony for which there is an on-going prosecution or a conviction: the

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

the case;

(9) For each misdemeanor conviction or on-going 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, if any, of the case;

(10) For each criminal charge (excluding minor traffic charges), whether or not there is

or was a conviction, if such criminal charge is within ten (10) years of the date of the

application and is not otherwise listed above pursuant to subsections (h) or (I) above: the

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

if any, of the case;

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(11) Name and address of any licensing or regulatory agency (federal, tribal, state,

local or foreign) with which the person has filed an application for an occupational license

or permit, whether or not such license or permit was granted;

(12) Photographs (current at time of application);

(13) Any other information the Tribe or the Gaming Commission deems relevant; and

(14) Fingerprints consistent with procedures adopted by the Gaming Commission

according to 25 C.F.R. § 522.2(h).

ii. The Tribe shall conduct or cause to be conducted an investigation, through the Gaming

Commission, sufficient to make a determination of eligibility as required under this Ordinance for, at

minimum, all Key Employees and Primary Management Officials. In conducting the background

investigation, the Gaming Commission and its agents shall keep confidential the identity of each person

interviewed in the course of the investigation.

m. Eligibility Determination The Gaming Commission shall review a persons prior activities,

criminal record, if any, and reputation, habits and associations to make a finding concerning the eligibility of,

at minimum, all Key Employees and Primary Management Officials for employment in a gaming operation.

If the Gaming Commission determines that employment of the person poses a threat to the public interest

or to the effective regulation of Gaming, or creates or enhances dangers of unsuitable, unfair, or illegal

practices and methods and activities in the conduct of Gaming, the Gaming Entity shall not employ that

person in a Key Employee or Primary Management Official position or in any other position for which a

Class A license is required, except as specifically established by the Gaming Commission.

n. Forwarding Licensing Applications and Reports to N(GC

i. When any Key Employee or Primary Management Official is employed by a Gaming

Entity authorized under this Ordinance, the Gaming Commission, acting on behalf of the Tribe, shall

forward to the NIGC the persons completed application for employment containing the information required

above undersubsection 11.l.(1) of this Ordinance.

ii. Prior to issuing a license to a Primary Management Official or Key Employee, the

Gaming Commission, acting on behalf of the Tribe, shall forward to the NIGC, together with a copy of the

eligibility determination made under subsection 11 .m. above, an investigative report on each background

investigation. The investigative report on each background investigation shall be forwarded to the NIGC

within sixty (60) days after the employee begins work, or within sixty (60) days of the approval of this

Ordinance by the NIGC. The Gaming Entity shall not employ or continue to employ any person as a Key

Employee or Primary Management Official who does not have a license within ninety (90) days. The

investigative report shall include the following information:

(a) Steps taken in conducting a background investigation;

(b) Results obtained;

(c) Conclusions reached; and

(d) The bases for those conclusions.

iii. The Gaming Commission, acting on behalf of the Tribe, shall provide to the NIGC or

other agency, any other reports and information required by IGRA and regulations promulgated thereunder.

Further, with respect to Key Employees and Primary Management Officials, the Gaming Commission shall

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11
retain applications for employment and reports (if any) of background investigations for inspection by the

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

iv. If a license is not issued to an applicant, the Gaming Commission shall notify the NIGC

and may forward copies of its eligibility determination and investigative report (if any) to the NIGC for

inclusion in the Indian Gaming lndMduals Records System.

o. Grantina a Gaming License

i. If, within a thirty (30) day period after the NIGC receives a report as required under

subsection 11 .n. above, the N1GC notifies the Tribe that it has no objection to the issuance of a license

pursuant to the license application filed for a Key Employee or Primary Management Official for whom the

Gaming Commission has provided an application and investigative report, the Gaming Commission may

issue the license.

ii. The Gaming Commission shall provide any additional information requested by the

NIGC concerning a Key Employee or Primary Management Official who is the subject of a report as

required under this subsection. An NIGC request for additional information shall suspend the thirty (30) day

period established under this subsection until the NIGC receives the additional information.

iii. If, within the thirty (30) day period established under this subsection, the NIGC provides

a statement itemizing objections to issuance of a license to a Key Employee or Primary Management

Official, the Gaming Commission shall reconsider the application, taking into account such objections. The

Gaming Commission retains the right to make the final determination whether to issue the license to such

applicant.

p. Gaming License Suspension and Revocation

i. If, after issuance of a gaming license, the Tribe receives reliable information from the

NIGC or other reliable source indicating that a Key Employee or a Primary Management Official is not

eligible for employment under the eligibility criteria established in section 11 above, the Gaming

Commission shall suspend the license and shall notify the licensee in writing of the license suspension and

proposed revocation.

ii. The Gaming Commission shall notify the licensee of a time and place for a hearing on

the proposed revocation of a license.

(1) After the revocation hearing, the Gaming Commission shall determine whether to

revoke or to reinstate the gaming license. For actions taken in response to information provided by the

NIGC, the Gaming Commission shall notify the NIGC of its decision.

q. Facilities Licenses Before Gaming Activities can be conducted therein, the Gaming

Commission shall inspect and license each such facility in accordance with this Ordinance and any

requirements under IGRA.

Section 11. Application Forms

a. Each application form for a Key Employee or a Primary Management Official, as well as

for all other license applicants, unless otherwise specifically exempted by the Gaming Commission, shall

contain the notices set forth in subsections (1) and (2) below:

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I. Privacy Act Notice

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

Solicitation of the information on this form is authorized by 25 U.S.C. §2701 gt~~q. The purpose of the

requested information is to determine the eligibility of individuals to be employed in a gaming operation.

The information will be used by National Indian Gaming commission members and staff who have need for

the information in the performance of their official duties. The in formation 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 an Indian 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 an Indian

Tribe or a gaming operation. Failure to consent to the disclosures indicated in this notice will result in an

lndian Tribes being unable to hire you in a Primary Management Official or Key Employee position.

The disclosure of your Social Security Number (SSN) is voluntary. However,

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

ii. Notice Regarding False Statements

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

you, or for tiring you after you begin work. Also, you may be punished by fine or imprisonment. (U.S.

Code, title 18, § 1001)

b. Any existing Key Employee or Primary Management Official or other licensee subject to such

requirements, unless otherwise specifically exempted by the Gaming Commission, that has not completed

an application form containing the language set forth in Section 1 1.a.(1) and (2) above, shall be notified that

they must either:

i. Complete a new application form that contains the Privacy Act Notice and the Notice

Regarding False Statements; or

ii. Sign a statement that contains the Privacy Act Notice and consent to the routine uses

described in that notice, and sign a statement that contains the Notice Regarding False Statements.

Section 12. Class Ill Gaming: Compact

Class Ill gaming on the Reservation shall be under the provisions of a compact, as applicable, or

other alternative as provided under the IGRA and applicable regulations. All negotiations for such

compacts shall be conducted through the Chair of the Tribal Council, and shall be finalized only upon the

majority vote of the Tribal Council after consideration of the terms of such compact. In the event the Tribe

approves a compact, the provisions of such compact, once approved under IGRA, shall govern over the

provisions herein, to the extent the compact is inconsistent herewith.

Section 13. 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 (1 0%) 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,

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in any such corporation, partnership, trust or other entity, having a financial interest in, or management

responsibility for, such contract.

Section 14. Service of Process

The Tribe designates as its agent for the service of any official determination, order, or notice of

violation in any gaming related matter, the person set forth on Exhibit A hereto, which person may be

changed from time to time as the Tribal Council shall determine and notify the National Indian Gaming

Commission.

Section 15. Tribal Gaming Corporation

Nothing in this Ordinance shall prevent the Tribal Council from delegating the authority to conduct

gaming to one or more tribal corporations, so long as the tribal corporation to which such authority is

delegated agrees to meet all criteria and requirements established under this Ordinance.

Section 16. Entire Gaming Regulations: Prior Ordinances Repealed: Effective Date

This Ordinance and the regulations promulgated thereunder shall constitute the entire gaming

regulations of the Tribe. All prior gaming ordinances and resolutions of the Tribe are hereby repealed, and

this Ordinance shall become effective upon its adoption by the Tribal Council.

Section 17. Amendments

All provisions of this Ordinance are subject to revision, repeal, or amendment by the Tribal Council.

Regulations promulgated by the Gaming Commission under this Ordinance are subject to revision, repeal

or amendment by the Gaming Commission.

Section 18. Sovereign Immunity Preserved

Nothing in this Ordinance is intended or shall be construed as a waiver of the sovereign immunity of

the Tribe; and no manager, officer or employee of the Gaming Commission or the Tribe shall be

authorized, nor shall they attempt, to waive the immunity of the Tribe.

Section 19. Construction and Severability

This Ordinance is exempted from the rule of strict construction, and shall be liberally construed to

give full effect to the objectives and purposes for which it was enacted. If any section of this Ordinance, or

its application to any person or entity or circumstance, is held invalid, the remainder of the Ordinance, or the

application of the provision to other persons or entities or circumstances, shall not be affected and shall

remain in full force and effect.

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EXHIBIT A TO ORDINANCE NO. 4

DESIGNATION OF AGENT FOR SERVICE OF PROCESS

Until changed in accordance with the above Ordinance, the

Agent for Service of Process under the Indian Gaming Regulatory

Act on behalf of the Pit River Indian Tribe shall be:

THERESA WOLFIN

Tribal Secretary

Pit River Indian Tribe

20258 Tamarack Avenue

Burney, California 96013

Telephone: 916 335-5421

Facsimile: 916 335-5241