Edewaa Ti Foster 

Gaming Commissioner 

Tuolumne Band of Me-Wuk Indians 

P.O. Box 729 

Tuolumne, CA 95379 

Re: Tuolumne Band of Me-Wuk Indians 

Tuolumne Gaming Ordinance of 2001, as Amended 

Dear Commissioner Foster: 

This letter responds to your November 15,201 1 e-mail to the National Indian Gaming 

Commission ("WGC") on behalf of the Tuolumne Band ofMe-Wuk Indians ("Tribe"). 

With your e-mail, you included Resolution #00-25- 1 1, by which the Tribal Community 

Council approved the amended Tuolumne Gaming Ordinance of 200 1. The amended 

Ordinance was adopted by the Tribe's Community Council on November X,20 1 1, and 

incorporates changes to the Tribal Gaming Agency's commissioner positions. The 

amended ordinance also updates the Privacy Act and False Statement notices included on 

the Tribe's key employee and primary management official license applications. 

We appreciate that the Tribe brought the amended ordinance to our attention. The 

Tribe's amended ordinance is approved, as it is consistent with the requirements of the 

Indian Gaming Regulatory Act and the NIGC 's regulations. If you have any questions or 

require assistance, please contact Katherine Zebell, Senior Attorney, at (202) 632-7003. 

Sincerely, 

Tmcie L. Stevens 

Chairwoman 

Chairman Kevin Day 
Post Office Box 899 

TUOLUMNE, CALIFORNIA 95379 - 

Telephone (209) 920-5300 &gp 

Fax (209) 92s-f 677 is i.I,: , .. - J / 

RESOLUTION APPROVING AMENDMENTS TO THE 

TUOLUMBX GAMING ORDINANCE OF 2001 

Resolution # OMS-11 

Be id Resolved by the Commm@ Council of the TuoImne Band of Me- Wuk Indhs, 

WHEREAS, the Tuolurnne Band of Me-Wuk Indians of the Tuolumne Rancheria (hereinafter, the 

"Tribe"), is a federally recognized Indian Tribe with a constitution appruvd by the 

Secretary of the Interior, and 

WHEREAS, the governing body of the Trike is the community council ("Community Council") ui~der 

Article HI, Section 1 of the Tribe's Constitution; and 

WHEREAS, the Community Council is authorized pursuant to Adicle IV, Section I(f) of tfie 

Constitution to promulgate and enforce ordinances necessary to carry out its powers under 

the Constitution; and 

WHF,RFAS, the Tribe finds that it is in the best interest of the Tribe to amend the Tualumne Gaming 

Ordinance of 200 1. 

NOW THEREFORE BE ZT RESOLVED THAT the Tribe's Community Council hereby approves the 

amended Tuolumne Gaming Ordinance of 2001, as amended, attached hereto, and 

authorizes the same to be submitted ta the National Indian Gaming Commission for 

approval pursuant to 25 U.S.C. $2710. 

CERTIFXCATXON 

I, Kevin A, Day, Chairman of the Tuolumne Band of Me-Wuk Indians, hereby certify that the 

foregoing Resolution was adopted on November 3,20 1 1, at a duly called meeting of the Tuolumne MeWuk CommuniQ Council, at which a quorum was present, by a vote of 40 yes, 0 

noand 0 abstentions. 

Kevin A. Jhy - ~haiman 
TUOLUMNE BAND OF ME-WUK INDLANS 

TUOLUMNE GAMING ORDINANCE OF 2001. AS AMENDED 

TABLE OF CONTENTS 

SECTION 1 . FINDINGS AND POLICY ............................................................. 1 

SECTION 2 . DEFINITIONS .............................................................................. 2 

SECTION 3 . OWNERSHIP OF GAMING ..............~......~........................................ 5 

SECTION 4 . TRIBAL GAMING AGENCY .................... ,. ..................................... -6 

4.1 E~TABVSHMENT OF TRIBAZ GAMING AGENCY .................................................. 6 

4.2 DISQUALIFICATIONS FOR OFFICE .................................~~............................... 6 

4.3 TERMS OF OFFICE ........................................................................................... -7 

4.4 REMOVAL FROM OFFICE ................................................................................... 7 

4.5 QUORUM .......................................................................................................... 7 

4.6 OFFICERS AND DUTIES .............................. .... ............................................... 7 

4.7 Vonm ............................................................................................................ 7 

4.8 MEETINGS ........................................................................................................ 7 

4.9 COMPENSATION FOR SERVING; FRINGE BENEFITS; 

REIMBURSEMENT OF EXPENSES .................... .......... ............................... 8 

4.10 TR~BAL GAMING AGENCY FUNDING ........................................... ,. ................. 8 

4.10.1 Gaming Agency General Operations Budget ......................................... 8 

4.10.2 Gaming Agency Equipment. Office. and 

Capital Expenses .................................................................................. 8 

4.11 POWER~~DUTIES ...................................................................................... 9 

4.12 ANNUAL REPORTS ......................... 13 

SECTION 6 . PERMITTED GAMING ACTMTE;S ..................... ............. 13 

5.1 UNAUTHORIZED GAMING PROH~ITED ............................ .. ......................... 13 

9.12 BACKGROUND INVEST~GATIONS .................................................................... -20 

9.13 ELIGIBL~ DETERMINATION ......... ........................................................ 22 

9.14 FORWARDING LICENSING APPLICATIONS AND 

REPORTS TO NIGC ..........................~.~~~~~....................................................... 23 

9.15 GWING A GAMING LICENSE ...................................................... ,.......... -24 

9.16 LICENSE SUSPENSION ........................ .... ................................................... 24 

9.17 FACILITIES LICENSES ...................... .............................*..................*...... 25 

9.18 EFFECT OF GAM~G COMPACT ..........................~..~.~...................................... 25 

SECTION 10 . APPLICATION FORMS ................................ .. ............................. 25 

SECTION 11 . CLASS III GAMING; GAMING COMPACT ............................... 27 

SECTION 12 . INTEREST IN MANAGEMENT CONTRACTS 

BY TRIBAL OFF'ICIAXIS ............................................................ 27 

SECTION 13. SERVICE OF PROCESS ..........,.. ........................................... 27 

SECTION 14 . TRIBAL GAMING CORPOMTION ......................................... 27 

SECTION f 5 . PRIOR GAMING ORDINANCES; EFFECTIVE DATE .............. 28 

SECTION 16 . SEVERABILITY ............................**..*..*........................................ 28 

SECTION 17 . AMENDMENTS ...................................................................... 28 

SECTION 18 . SOVEaEIGN IMMUNITY PRESERVED .................... ... ........ 28 

CERTXFICATION ................................................................................................ 28 
TUOLWNE BAND OF ME-WUK INDIANS 

TUOLUMNE GAMING ORDINANCE OF 2001, AS AMENDED1 

Be it enacted by the Community Council of the Tuolurnne Band of 

Me-Wu k Ind ianss: 

The Tuolumm Band of Me-Wuk Indians, a federally recognized Indian 

Tribe PTribe"), hereby amends the Tuolumne Gaming Ordinance of 2001. 

This Ordinance shall be known as the Tuolumne Gaming Ordinance of 200 1, 

as amended ("Ordinance"). 

Section 1. Findings and Policv. 

This Ordinance is adopted by the 'fuolumne Community Council, 

pursuant to its authority granted by the Tribe's Constitution, for the purpose 

of establishing the terns for gaming on Tuolumne Tribal Lands. Gaming shall 

be conducted for tribal governmental and charitable purposes, and the Tribe 

shall develop and operate such gaming consistent with the findings herein and 

in conformity with the federal Indian Gaming Regulatory Act (25 U.S.C. 5 

2701 et seq. ("IGRA")), regulations promulgated thereunder, and the Tribe's 

Gaming Compact. This Ordinance g~omulgated hereunder shall constitute 

the gaming ordinance for the Tribe. 

The Tribe finds that: 

1.1 Gaming on its Tribal Lands'is a valuable means of generating 

revenues that ape needed to promote Tribal self-sufficiency, economic 

development, employment, job training, and a strong Tribal government, and 

to fund and provide essential social programs and services; 

1.2 The Tribe desires to conduct certain forms of gaming to provide 

needed revenues to the Tribe, and to regulate and control such gaming in a 

manner that will protect the environment, the Tribal hds, the health, 

security and general welfare of the Tribe, the patrons, and the community; and 

1.3 The Ebe desires to own all gaming on tribal lands, and to 

1 As amended by the Tuolumne Community Council November 3,20 11 

Adopted by the Tuolumne Community Council 

April 18,200 1. Amended November 3,201 1 
manage and regdate such gaming in a manner that will adequately address 

the interests and needs of the Tribe. 

Section 2. Dehitions. 

Unless specified otherwise, terms used herein shall have the same 

meaning as in IGRA, including but not limited to references to "Class I", "Class 

II", and "Class III" gaming, except for references to "Commissioners", 

"Commission", or "Gaming Commission" which shall mean the Tuolumne MeWuk Tribal Gaming Agency or its Commissioners, established and described 

herein. Capitalized terms shall have the following meanings: 

2.1 "Applicant" means an individual or entity that applies for a tribal 

license or certification of suitability. 

2.2 "Association" means an association of California tribal and state 

gaming regulators, the membership of which comprises up to two 

representatives kom each tribal gaming agency of those tribes with whom the 

State has a Gaming Compact under IGM, and up to two delegates each from 

the state Division of Gambling Control and the state Gambling Control 

Commission. 

2.3 "Closely associated independent contractor" means any contractor 

that shares common ownership, officers, or directors with any management 

principal or person related thereto. 

2.4 "Commissioner" means a duly selected and qualified member of 

the Tribe's Gaming Agency, as set forth in this Ordinance. 

2.5 "Community Council" means the governing body of the Tribe, as 

set forth in the Tribe's Constitution and By-laws. 

2.6 "Gaming" means 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, wdl receive something of 

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

business transactions. 

Adopted by the Tuolumne Community Cound 

April 18,2001. Amended November 3,201 1 
2.7 "Gaming Activities" means any Class I, Class 11, or Claes I11 

gaming activity conducted an Tribal hds by or under the jurisdiction of the 

Tribe. 

2.8 "Gaming Compact" or "Compact" means a tribal-state Gaming 

Compact, including amendments thereto, entered into by the Tribe pursuant 

to IGRA to govern the conduct of certain Gaming Activities on Tribal Lands. 

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

maintains, repairs, assists in any gaming activity, or is in any way responsible 

for supervising such gaming activities or persons who conduct, operate, 

account for, or supervise any such gaming activity; (b) is in a category under 

federal or tribal gaming law requiring licensing; (c) is an employee of the 

Tribal Gaming Agency with access to confidential information; or (d) is a 

person whose employment duties require or authorize access to areas of the 

Gaming Facility that are not open to the public. 

2.10 "Gaming Enterprise" or "Gaming Operation" means any gaming 

businew, event, enterprise or activity conducted by or under the jurisdiction of 

the Tribe, whether exclusively or otherwise, and includes any other Gaming 

Activihes operated by or for the Tribe. 

2.11 "Gaming Facility" or "Fadity" means any building in which Class 

I11 gaming activities or gaming operations occur, or in which the business 

records, receipts, or other funds of the gaming operation are maintained (but 

excluding offsite facilities primarily dedicated to storage of those records, and 

financial institutions), and all rooms, buildb~gs, and areas, including parking 

lots and walkways, a principal purpose of which is to serve the activities of the 

Gaming Operation, provided that nothing herein prevents the conduct of Class 

II gaming (as defined under IGRA) therein. 

2.12 "Gaming Resourcee" means any goods or services provided or 

used in connection with Gaming Activities, whether exclusively or otherwise, 

including, but not limited to, equipment, furniture, gambling devices and 

ancillary equipment, implements of gaming activities such as playing cards 

and dice, furniture. designed primdy for gaming activities, maintenance or 

security equipment and services, and gaming consulting services, and the like. 

The term shall not include professional accounting or legal services. 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended hmber 3,2011 
2.13 "Gaming Resource Supplier" or "Gaming Contractor" means any 

person or entity who, directly or indirectly, manufacturers, distributes, 

supplies, vends, leases, or otherwise purveys Gaming Resources to the Gaming 

Operation, Gaming Enterprise, or Gaming Facility, provided that the Tribal 

Gaming Agency may exclude a purveyor of equipment or furniture that is not 

specifically designed for, and is distributed generally for use other than in 

connection with, Gaming Activities, if the purveyor is not otherwise a Gaming 

Resource Supplier as described by an applicable Gaming Compact, and 

provided that the compensation received by the purveyor is not grossly 

disproportionate to the value of the goods or services provided, and the 

purveyor is not otherwise a person who exercises a sigdcant influence over 

the Gaming Operation. 

2.14 "Key Employeen means a person who performs one or more of the 

following functions: bingo caller; counting mom supervisor; chief of security; 

custodian of gaming supplies or cask floor manager; pit boss; dealer; croupier; 

appxover 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 ccah compensation is in 

excess of $50,000 per year, and the four most highIy cumpensated persons in 

the gaming enterprise, are included in the definition of key employees. At the 

discretion of the Tribal Gaming Agency, other positions or persons may be 

included under and subject to the requirements for key employees. 

2.15 "National Indian Gaming Commission" C'NIGC") means the 

agency established under IGRA. 

2.16 "Person" means any natural person or entity, including but not 

limited to corporations, partnerships and trusts. 

2.17 "Primary Management OEcial" means the person who has 

management responsibility for a management contract; any person who has 

authority to hire and fire employees or to set up working policy for the gaming 

enterprise; or the chief hancial officer or other person who has financial 

management responsibility. At the discretion of the Tribal Gaming Agency, 

other positions or persons may be included under and be subject to the 

requirements for primary management officials, 

2.28 "Related to" means persons who are related as a father, mother, 

daughter, son, sister, brother or spouse. 

Adopkd by the Tuolumne Community Council 

April 18,2001. Amended November 3,201 1 
2.19 "Staten means the State of California or an authorized official or 

agenw thereof. 

2.20 "State Gaming Agency" means the entity authorized to 

investigate, approve, and regulate Class 111 gaming licenses pursuant to the 

Gambling Control Act (Chapter 5 (commencing with section 19800) of Division 

8 of the Business and Professions Code). If the state fads, under a Gaming 

Compact provision, to designate an agency authorized to investigate, approve, 

and regulate gaming licenses, any function otherwise assigned to the State 

Gaming Agency shall be assumed by the Tribal Gaming Agency until such 

time as the state establishes and designates such an agency. 

2.21 "Tribal Chairperson" means the pereon duly elected or selected 

under the Tribe's organic documents, customs, or traditions to serve as the 

primary spokesperson for the Tribe. 

2.22 "Tribal Court" means any sod established by the Tribe to hear 

disputes or, if there is none, the Community Council. 

2.23 "Tribal Gaming Agency or "Tribal Gaming Commission" means 

the Tuolwnne Me-Wuk Tribal Gaming Agency, the agency designated under 

tribal law with the primary responsibility for carrying out the Tribe's 

regulatory responsibilities under IGRA, any tribal-state Compact to which the 

Tribe is a party and this Ordinance. The Tribal Gaming Agency shall monitor 

the Gaming Activities, investigate wrongdohg, conduct background 

investigations, issue licenses, and perform all other duties required for the 

regulation of gaming on Tribal Lands, in compliance with all applicable laws. 

No person employed by or in connection with the management, supervision, or 

conduct of any gaming activity may be a member or employee of the Tribal 

Gaming Agency. 

2.24 "Tribal Lands" or "Reservation" means "Indian lands," those 

lands on which the Tribe is authorized to conduct gaming under IGRA. 

2.25 "Tribal Member" means any duly enrolled member of the Tribe. 

Section. 3. Ownershiw of Gaming. 

The Tribe shall Have the sole proprietary interest in and responsibility 

for the conduct of any gaming operation authorized by this Ordinance, except 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3,201 1 
to the extent the Tribe may contract with and license a person or entity to own, 

operate, or manage the enterprise, pursuant to the provisions of IGRA or as 

otherwise permitted by law. 

Section 4. Tribal Gamine: Amncv. 

4.1 Establishment of Tribal Gaming A~encv. The Tribe hereby 

establishes a Tribal Gaming Agency to be known as the Tuolumne Me-Wuk 

Tribal Gaming Agency to regulate, license, investigate, and monitor all gaming 

activities on tribal lands. The Tribal Gaming Agency shall be comprised of 

three (3) Commissioners, each of whom shall be selected by the Community 

Council. The Commissioner position is a full-time professional level position. 

Prior to the selection of a Gaming Commissioner, the existing Commi~sioners 

shall provide a report to the Community Council regarding the work of the 

Commission and desirable qufications and experience for Commission 

members, Commissioners must meet the quaUcations established under this 

Ordinance and the Gaming Compact. The Tribe reserves the right to amend 

the number of members of the Tribal Gaming Agency, depending upon the 

needs of the operation. 

4.2 Disqualificstions for Office. The following persons may not serve 

as Commissioners: 

4.2.1 Persons employed in or in connection. with the 

management, supervision, operation, or conduct of any Gaming Activity on 

Tribal Lands; 

4.2.2 Persons related to any gaming contractor (including any 

principal thereof or closely associated independent contractor); 

4.2.3 Persons who are not deemed under the Tribe's selection 

process to be quaMed by experience or training to serve as a member of the 

Tribal Gaming Commission; w nd 

4.2.4 Persons who would not be able to pass a gaming 

backgmund investigation and be deemed suitable under the certification and 

licensing criteria applicable to Class I11 gaming key empIoyees. 

Adopted by the Tuolumne Community Cound 

April 18,2001. Amended November 3,201 1 
4.3 Terms of Office. Commissioners shall serve for indefinite terms, 

until resignation or removal under the process as set forth in Section 4.4 of 

this Ordinance. 

4.4 Removal from Office. Commiesioners may only be removed &om 

office for neglect of duty, malfeasance, violation of established Tribal or Tribal 

Gaming Agency policies and procedures, or other good cause shown, by the 

procedures and process for removing an oEcer of the Tribe. 

4.6 Quorum. Two (2) members of the Tribal Gaming Agency shall 

constitute a quorum. 

4.6 Officers and Duties. The Tribal Gaming Agency shall select a 

Chairman, Vice-Chairman, Secretary, and Treasurer. The Chairman shall 

preside over meetings of the Tribal Gaming Agency and the Vice-Chairman 

shall preside In absence of the Chairman. The Secretary shall record, or cause 

to be recorded in writing, the minutes of all Tribal Gaming Agency meetings 

and all official actions taken by the Tribal Gaming Agency. The Treasurer, 

with the assistance of other Commissioners and Tribal Gaming Agency staff, 

shall be responsible for monitoring the Tribal Gaming Agency's financial books 

and records and shall prepare, or cause to be prepared, a proposed budget for 

Tribal Gaming Agency review no later than sixty (60) days prior to the end of 

each budget year. 

4.7 Voting. All actions of the Tribal Gaming Agency shall be taken by 

majority vote. The Chairperson may vote on any issue. 

4.8 Meetings. Meetings shall be held at least once per month at the 

Tribal Gaming Agency offices ("Scheduled Meetingen). Any tribal member may 

attend Scheduled Meetings. Scheduled Meetings may be changed at any time 

by the Tribal Gaming Agency, with notice of such change posted prominently 

at least three (3) business days in advance at the Office of the Tribal Gaming 

Agency. Additional meetings shall be held as called by the Chairperson or by 

at least two (2) other Commissioners. Notice of meetings shall be given in 

w~iting to each Commissioner, by first class mail, facsimile, ox personal 

delivery at least three (3) business days prior to suck meeting; however, 

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

the Commissioners, All Tribal Gaming Agency discussiom, deliberations, and 

votes taken regarding ~pecsc license applications and related background 

investigations, or any other investigations, and any other matter the Tribal 

Adopted by #e Tuolumne Community Council 

April 18,2001. Amended November 3,2011 
Gaming Agency deems must be kept confidential in order to preserve the 

integrity of the Gaming Enterprise or the Tribe or to protect the privacy of the 

applicant, shall be held in executive session. 

4.9 Compensation for Serving: Fringe Benefits: Reimbursement of 

Exnenses. Commissioners shall be compensated for serving on the Tribal 

Gaming Agency at rates to be set by the Tribe. Such rates shall be approved 

by the Tribe or through the Tribal Gaming Agency budget process and may 

vary based on the experience and qual3cations of the Commissioner, and on 

the scope of the Commis6ioner1s responsibilities. Step increases may be 

allowed based on length of service. Commissioners may be entitled, at the 

discretion of the Tribe, to receive fringe benefits which are avaiIable to other 

employees of the Tribe to the extent the provider of such benefits qualifies 

Tribal Gaming Agency positions for such benefits. Subject to approval by the 

Tribe and in accordance with its procedures, Commissioners shdl be 

reimbursed for expenses incured in connection with the performance of their 

Tribal Gaming Agency duties. 

4.10 Tribal Gamiac! Agency Funding. 

4.10.1 Gaming Ageam General Omrations Budget. The Tribe 

recognizes the importance of providing adequate and stabie funding to assure 

that the Tribal Gaming Agency can effectively regulate the Tribe's gaming 

activities and, at the same time, wants to assure that the Tribal Gaming 

Agency remains financially accountable to the Tribe. To that end, the Tribal 

Gaming Agency shall prepare a proposed operating budget and justification no 

later than thirty (30) days prior to the end of each budget year. The Tribal 

Gaming Agency budget shall be reviewed by the Community Council annually, 

and shall be funded through the Tribe's budget process, license fees, fines, 

andlor assessments. At the end of the budget year, any surplus funds in the 

Tribal Gaming Agency budget shall be considered in the next year's funding 

request. 

4.10.2 Gaming Agency Esui~ment, Office, and Ca~ital Expenses. 

The Tribal Gaming Agency shall specify requirements for the Gaming Facility 

surveillance system and other equipment to assure effective, high quality 

regulatory systems that meet or exceed all applicable requirements and 

standards, including but not limited to the NIGC's Minimum Internal Control 

Standards. The funding for such regulatory equipment and systems, as well 

Adopted by the Tuolumne Ccmmunity Council 

April 18,200 1. Amended November 3,201 1 
as for Tribal Gaming Agelacy offices and capital improvements, shall be 

provided by the Gaming Operation ar the Tribe through a separate budget. 

4.1 1 Powers mcl Duties. The Tribal Gaming Agency shall have the 

power, duty, and primary respoasibiIity to carry out the Tribe's regulatory 

responsibilities under federal or tribal law and any applicable Gaming 

Compact; to enforce those requirements; and to protect the integrity of the 

Gaming Activities and the reputation of the Tribe and the Gaming Operation 

for honesty, fairness, and confidence of patrons, under provisions to include 

the following: 

4.1 1.1 Conduct on-site gaming regulation and control, and 

inspect, examine, and monibr the Gaming Activities; prepare reports and 

monitor compliance, including the authority to demand access to and inspect, 

examine, photocopy and audit all papers, books and record5 respecting such 

Gaming Activities; 

4.11.2 Investigate any suspicion of wrongdoing in connection 

with the Gaming Facility or related to any Gaming Activity, and require 

correction of violations at the Gaming Agency deemed necessary, including 

establishing and imposing he& or other sanctions against licensees or other 

persons who interfere with or violate the Tribe's gaming regulatory 

requirements under applicable federal or tribal law or Gaming Compact; 

4.11.3 Conduct, or cause to be conducted, such investigations as 

may be necessary to determine compliance with applicable laws including this 

Ordinance, or any contracts, agreements, goods, services, events, incidents, or 

other matters related to Gaming Activities; 

4.11.4 Conduct, or cause to be conducted, background 

investigations regarding any person or entity in any way connected with any 

Gaming Activity and issue licenses and identfication badges to, at minimum, 

all Key Employees, Primary Management Officials, and Gaming Resource 

Suppliers according to requirements at least as stringent as those in 25 C.F.R. 

Parts 556 and 568, this Ordinance and the Compact; 

4.11.5 Administer oaths or affirmations to witnesses appearing 

before the Tribal Gaming Agency; hold hearings, sit and act at such times and 

places, summon persons on TribaI Lands to attend and test* at such 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3,2011 
hearings, take testimony, and receive such evidence as the Tribal Gaming 

Agency deems relevant to fulfill its duties; 

4.1 1.6 Execute agreements necessary to receive comprehensive 

criminal history and other background investigation information from other 

jurisdictions and sources; 

4.11.7 Implement and administer a system for inveetigating, 

licensing, monitoring, reviewing, licenee revocation, denial, and license 

renewal for the Gaming Facility, employees, Gaming Contractors and 

vendors, suppliers, investors, and others connected with Gaming Activities, as 

described below, including the issuance of licenses to Gaming Facilities, 

individuals and entities as required under tbis Gaming Ordinance, IGRA, or 

any applicable Gaming Compact; 

4.11.8 Assure, monitor, and direct inspections of Gaming 

Facilities by qualified building and safety experts in order to comply with the 

Tribe's building and safek codes; provide reports to the state; review reports; 

and issue a certificate of occupancy to the Gaming Facility; 

4.11.9 Provide a copy of each facility license and renewals 

thereof to the NIGC, including, at minimum: the Tribe's name; name and 

address of the Gaming Facility; type of Gaming allowed; effective date of 

license; the signature of the tribal official responsible for issuing the license; 

and the name and phone number of the tribal governmentaI agency 

responsible for the regulation of the gming operation; 

4.11.10 Hear and resolve disputes against the gaming 

establishment, in accordance with the procedures established in this 

Ordinance and the Tort Liability Ordinance, consistent with the Tribe's 

Gaming Compact; 

4.11.11 Hhe staff and support services as deemed necessary, 

subject to the Tribal Gaming Agency budget prepared and approved under the 

provkions of Section 4.10 of this Ordinance; 

4.11,12 To the extent required, comply with any reporting 

requirements established under this Ordinance, the Tribe's Gaming Compact, 

IGRA and regulations promulgated thereunder, and other applicable law; 

Adopbd by the Tuolumne Communi.& Council 

April 18,2001. Amended Nwember 3,2011 
4.11.13 Develop forms, reports, procedures, and protocols, and 

establish joint cooperative working relationships with federal, state and local 

jurisdictions as necessary to assist the Tribe in ensuring the effective 

regulation of its gaming; 

4.11.14 Investigate gaming and licensing violations and 

Compact violations, and require correction on terms and conditions as deemed 

necessary, including, if necessary, the imposition of fines, citations, or other 

sanctions, by requiring correction of license violations by the licensee directly, 

by requiring correction of other procedural, gaming, and structural violations 

by gaming enterprise management, and by notification to applicable 

regulatory authorities as deemed necessary for violations not corrected in a 

timely manner; 

4.11.15 Issue rules, regulations and procedures as deemed 

appropriate to implement and ensure the effective enforcement of the 

provisions of this Ordinance, including but not limited to: 

4.11.15.1 Enforce all relevant laws and rules with respect 

to the Gaming Operation and Gaming Facility, and conduct 

investigations and hearings regarding enforcement as well as 

other matters within the Gaming Agency jurisdiction; 

4.1 1.15.2 Protect the physical safety of gaming patrons, 

employees, and others in the Gaming Facility; 

14.11.15.3 Ensure the physical safeguarding of assets 

transported to, within, and from the Gaming Facility; 

14.11.15.4 Prevent illegal activity in the Gaming Facility 

or Operation through: 

a, maintenance of employee procedures and the 

surveillance system; 

b. maintenance of detailed and permanent 

records of all occurrences and incidents in the Gaming 

Facility that deviate from normal operating policies and 

procedures; 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3,2011 
c. establishment of employee procedures to 

detect theft, cheating and fraud; 

d. maintenance of a List of persons barred from 

the facility; 

e. conduct of an annual CPA audit; 

f. approval of all game rules and regulations; 

g. establish and impose license fees, sanctions, 

fines, and conditions as appropriate under applicable law; 

h. invegtigate and assure compliance with any 

requirements for tribaI ownership, management, and 

control of the Gaming Facility and Gaming Operation, as 

set forth in applicable law; 

i. investigate and assure compliance with age 

restrictions for patrons including provisions prohibiting 

minors in the Gaming Facility and age limits on service of 

alcoholic beverages as provided under applicable law; 

j. carry out any requirements under tribal or 

federal law or applicable Gaming Compact for the 

protection of the health and safety of Gaming FaciIiw 

patrons, guests, and employees, including requirements 

that Gaming Facilities meet building and safety codes duly 

adopted by the Tribe; 

k. maintenance and approval of a surveillance 

system consistent with industry standards; 

I. approval of Gaming Facility floor plans, 

closed- circuit television system, and cashier's cage, 

minimum staffing and supervisory requirements, and 

technical standards for gaming device operations; 

4.11.16 Assure gaming devices are not transported to or from the 

Tribal Lands except in accordance with procedures established by an 

Adopted by the Tuolumne Community Goud 

April 18,2001. Amended November 3, 2011 
agreement between the Tribal Gaming Agency and the State Gaming Agency. 

The agreement shall require at least ten (I 0) days notice to the county sheriff, 

and transportation only to specific destinations for specific purposes as 

established in the agreement and the Gaming Compact; 

4.11.17 Promulgate rules for each Class 1, Class I1 or Class III 

game allowed under this Ordinance, to govern the conduct of such games; 

4.11.18 Comply with a tribal conact of interest policy to assure 

that Commissioners are free from corruption, undue influence, compromise, 

and conflicting interests in the conduct of their business; 

4.11.19 Adopt, approve, and enforce gaming regulatory 

standards no less stringent than the Minimum Internal Control Standards 

promulgated by the National Indian Gaming Commission or required under 

the Gaming Compact; 

4.1 1,20 Carry out such other duties with respect to Gaming 

Activities on Tribal Lands as required under applicable laws, including this 

Ordinance, IGM, and the Gaming Compact; 

4.12 Annual Reworts. On or before February 15th of each year, the 

Tribal Gaming Agency shall provide to the Tribal Council an Annual Report 

summarizing its activities during the prior twelve (12) month period ending on 

December 31, and accounting for all receipts and disbursements, The Tribal 

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

Members within thirty (30) days after receipt. 

Section 5. Permitted Gaming Activities. 

5.1 Unauthorized Gaming Prohibited. A11 Gaming Activities on 

Tribal Lands (whether Class I, 11 or 111) are prohibited except as expressly 

authorized under this Ordinance. 

5.1.1 Class I Gaming. Class I Gaming Activities are hereby 

permitted to the extent consistent with tribal custom and practice. The 

Community Council may prohibit or prevent any conduct that is claimed to be 

Adopted by the Tuolumne Community Cound 

April 18,2001. Amended November 3, 2011 
Class I gaming if the Tribe finds that such conduct is not in accordance with 

tribal customs or practices or violates IGRA or any other applicable Iaw. 

5.1.2 Class 11 and Class I11 Gaming. Class I1 gaming and Class 

III gaming conducted on Tribal Lands are hereby authorized, provided the 

Tribe has the sole proprietary interest in and responsibility for the conduct of 

any Gaming Operation. The Tribe also reserves the right to contract with and 

license a person or entity to own, operate or manage the Gaming Operation 

pursuant to the provisitions of IGRA or as otherwise permitted by Iaw. Nothing 

herein shall prohibit the Tribe fiom engaging the services of non-tribal persons 

as employees or engaging any person or entity to assist the Tribe in the 

management of a Gaming Activity pursuant to a management agreement 

entered into under the provisions of IGRA. Class I11 gaming shall be 

conducted in accordance with a tribal-state Compact, or any alternative 

thereto as provided by IGRA 

Section 6. Gaming Revenues. Except as provided for under the terms 

of an agreement pursuant to the provisions of TGRA or as otherwise permitted 

by law, all net revenues generated horn any Class I1 or Class I11 Gaming 

Activity are the property of the Tribe. Net revenues fiom Class I1 and Class 

111 Gaming Activities shall only be used for the following purposes: 

6.1.1 To fund tribal government operations or programs; 

6.1.2 To provide for the general welfare of the Tribe and its 

members: 

6.1.3 To promote economic development for the Tribe; 

6.1.4 To donate to charitable organizations; or 

6.1.5 To help fund operations of local governmental agencies. 

Section 7. Oweration of Gaming Establishments. 

Adophd by the Tuolurnne Community Council 

April 18,2001. Amended November 3, 2011 
7.1 Gaming Permitted as Licensed. Except to the extent authorized 

by an agreement pursuant to the provisions of IGRA or as otherwise permitted 

by law, Gaming Activities shall only be conducted in tribally owned, operated 

and licensed facilities pursuant to the provisions of this Ordinance, and the 

Tribe's Gaming Compact. Such activities shall be conducted in accordance 

with the terms and conditions of the license issued to the Gaming Facility by 

the Tribal Gaming Agency prior to the conduct of any Gaming Activities 

therein. 

The Gaming Facihw license shall identify: the name and address of the 

facility; type of gaming allowed; effective date of the license; name and 

telephone number of the Tribal Gaming Agency; and such other matters as the 

Tribal Gaming Agency may deem necessary to the conduct of Gaming 

Activities therein, or as may be required under a Gaming Compact or other 

applicable law. 

7.2 Protection of Environment and Public, The construction and 

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, in compliance with any standards required 

under tribal and federal law, and the Tribe's Gaming Compact. 

7.3 Diswute Resolution. Patrons who have complaints against the 

gaming operation shall have the right to remedies provided in the Tribe's Tort 

Liability Ordinance. The maximum recovery for such patron dispute claims 

shall be $10,000 per occurrence with a cumulative limit of $20,000 per patron 

in any twelve (12) month period unless otherwise provided in the Tort Liability 

Ordinance. Disputes between the gaming operation and any management 

contractor or its employees shalI be subject to policies and procedures 

established under contracts and agreements between the parties. 

Section 8. Audits. 

8.1 Annual Audit. The Tribal Gaming Agency shall be responsible for 

engaging a recognized independent accounting firm to conduct an annual audit 

of the Tribe's Class XI and Class 111 Gaming Operations. Each gaming related 

contract for supplies, services, or concessions that results in purchases of more 

than $25,000 annually (except contracts for professionaI legal or accounting 

services) relating to Class I1 or Class I11 gaming on the Tribal Lands shall be 

Adopted by the Tuoiumne Community Council 

April. 18,2001. Amended November 3,201 1 
included in the independent audits, and such contracts shall be deemed to so 

specify. 

8.2 re wort in^ Audit Results. The Tribe shall make available a mpy 

of the results of each annual audit to the Tribe's general membership within 

thirty (30) days of completion of the audit. The %be shall provide audit 

results to the NIGC to the extent required and as otherwise required under 

applicable law. 

Section 9. Licenses. 

9.1 Licensing Proaam Overview. The Tribe's Gaming Licensing 

Program shall be administered through the Tribal Gaming Agency. The 

propam shall be an investigative licensing process under which all applicants 

for Class I1 and Class I11 gaming licenses are evaluated against the standards 

set forth in, and subject to, the following applicable laws: 

9.1.1 The Gaming Ordinance of 2001, as it may be amended, 

and any gaming regulations promulgated thereunder; 

9.1.2 The IGRA and NIGC regulations; 

9.1.3 Gaming Compact requirements, to the extent applicable; 

and 

9.1.4 Any other applicable tribal, federal, m state laws. 

9.2 Licensinp- Policv and Requirements. It is the policy of the Tribe 

that all Gaming Activities be licensed and controlled so as to protect the 

morals, good order and welfare of tribal members and other persons on Tribal 

Lands, and to preserve the honesty, fairness and integrity of such Gaming 

Activities. Accordingly, no person shall engage in any Class TI or Class III 

Gaming Activities on Tribal Lands without the appropriate and valid license 

issued by the Tribal Gaming Agency. A labor union seeking to represent any 

Gaming Employees must also be deemed suitable under standards and 

licensing requirements established by the Tribal Gaming Agency. Further, 

Class 111 Gaming Employees, Gaming Resource Suppliers, gaming 

management and investors may be subject to State Gaming Agency 

investigation and suitability requirements, including issuance of a license or 

certification of suitability, under the Compact. Licenses shall be issued to 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3,2011 
persons or entities associated with gaming activities. Gaming Resource 

Suppliers and other vendors providing gaming related goods or services must 

qualify for and receive a license or permit (as applicable) in order to do 

business with the gaming operation. Vendors who are not currently providing 

gaming related goods or senices, or who provide gaming related goods or 

services valued at less than $25,000 in a 12-month period, may be required to 

obtain a license or permit from the Tribal Gaming Agency prior to doing 

business with the Tribe's Gaming Operation. Any gaming license or permit or 

fmding of suitability issued by the Tribal Gaming Agency shall be deemed a 

privilege, and is subject to suspension or revocation at any time. No license or 

license renewal shall be issued that would place the Tribe in violation of tribal 

law, the Gaming Compact, or any other applicable law. A gaming license or 

finding of suitability is subject to renewal at least every two (2) years. 

9.3 Burden on Applicant. The burden of proving an applicant's 

qualitications to receive a certification of suitability or license hereunder is at 

a11 times on the applicant. Applicants must accept any risk of adverse public 

notice, embarrassment or other action that may result from the application 

process and expressly waive any claim for damages as a result thereof. 

9.4 Aw~licant 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 privilege with respect to any testimony or 

evidence pertaining thereto may conshtute sufficient grounds for denial, 

suspension or revocation. 

9.5 Release of Information. AU persons applying for a license shall 

agree to release all information necessary in order for the Tribal Gaming 

Agency and any applicable federal or state entity to complete their suitability 

determination. Applicants must update all such information promptly on an 

on-going basis, and to furnish such information to agencies including the 

NIGC, the State Gaming Agency, or such other governmental agency as may 

be required by law. 

9.6 hes of Licenses. 

9.6.1 Class A License. Before permitting any person to become 

permanently associated with any Gaming Activity as an investor or other 

person owning or controlling 10% or more interest in any management entity, 

or any primary management oficial, key employee, closely associated 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3,2011 
independent contractor, or other individual or entity with iduence over the 

management or operation of the gaming, or a Gaming Employee, such person 

obtain a Class A license. The Tribal Gaming Agency shall conduct or 

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

has: 

9.6.1.1 Any criminal record or any reputation, prior 

activities, habits or a~sociations which might pose a threat to the 

public interest or to the effective regulation of gaming. 

9.6.1.2 Anything else in hisher background that might 

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

practices, methods and activities in the conduct of gaming. 

Those who do not meet the above qualifications shall be denied a Class 

A license, or the license if issued may be revoked, 

9.6.2 Class B License. Persons who are not among those 

identified in subsection (1) above, but are to be employed at a gaming facility 

on Tribal Lands in another capacity, such as in non-gaming related activities, 

shall be required to obtain a Class B license or permit from the Tribal Gaming 

Agency. Such persons must establish that they have not been convicted of 

certain crimes or engaged in any activity which the Tribal Gaming Agency, in 

ih sole discretion, deems would render such person a danger to the safety or 

integrity of the Gaming Activities, or to the safety and security of the Tribe, 

property of the Tribe, any tribal member, any gaming employee or patron, or 

the public. 

9.6.3 Gaminer Resource Sua~Iier. Gaming Resource Suppliers 

must meet all tribal and state licensing and suitability requirements. Any 

Gaming Resource Supplier who, directly or indirectly, provides, has provided, 

or is deemed likely to provide at Ieast twenty-five thousand ($25,000) in 

Gaming Resources in my 12-month period, or who has received at least 

twenty-five thousand dollars ($25,000) in any consecutive 12-month period 

within the 24-month period immediately preceding application, shall be 

licensed by the Tribal Gaming Agency prior to the sale, lease, or distribution, 

or further sale, lease, or distribution, of any such Gaming Resources to or in 

connection with the Tribe's Gaming Operation or Facility, The Gaming 

Resource Supplier license must be renewed at least every two (2) years. The 

Tribe shall not enter into, or continue ta make to, any 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3,201 1 
contract or agreement that would require licensing if the Gaming Resource 

Supplier has been denied a license or is deemed unsuitable, or the license or 

suitability determination has expired without renewal. 

9.6.4 Union License. Any labor union, including its management 

and representatives, shall be required to apply for and obtain a union license 

in order to bargain with or represent gaming operation employees. 

9.6.5 Vendor Permit. Vendors who are deemed not to be Gaming 

&source Suppliers or who provide only non-gaming related goods or services 

to the Tribal Gaming Operation shall, at minimum, complete a short form 

application and qualify for a vendor permit issued by the Tribal Gaming 

Agency. Such permits must be renewed at Ieast every two (2) years and the 

Tribal Gaming Agency may require additional information or licensing at any 

time. 

9.6.6 Temporaw or Provisional Licenses. Pending completion of 

an investigation for a License, the Tribal Gaming Agency may issue a 

temporary or provisional license of no more than ninety (90) days duration if, 

in its sole discretion, it deems such issuance appropriate. However, the Tribal 

Gaming Agency may grant an extension of such a License if necessary to 

complete the investigation or to obtain the results from fmgerprint cards. 

Such licenses shaU permit the licensee to engage in such activities pursuant to 

such terms and conditions as the Tribal Gaming Agency may specify, 

Temporary or provisional licenses shall expire ninety (90) days fiom date of 

issuance, upon issuance of a regular license, or until a specified expiration 

date, whichever occurs first. 

9.7 License Renewal. All licenses and permits shall be subject to 

renewal at least every two (2) years, and more frequently if so required by the 

.Tribal Gaming Agency or other applicable law. Such licenses or permits may 

be revoked or suspended upon the occurrence of any act which, if known 

during the application process, would have tended to disqualify such person or 

entity for such a license. 

9.8 License Investimtions. The Tribal Gaming Agency may employ 

all reasonable means, including engaging outside services and investigators 

and holding hearings, to acquire the information necessary to determine 

whether or not a license should be issued. Applicants shall agree to release all 

information necessary in order for the Tribal Gaming Agency to achieve its 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3,2011 
goals under this section and to furnish such information to the NIGC, a state 

gaming regulatory agency, or other agencies as may be required by tribal, 

federal, or state law or the Gaming Compact. 

9.9 License Fees. Unless spec5cally waived by the Tribal Gaming 

Agency, all persons applying for a license shall be required to pay all 

applicable license fees and costs when due, including a reasonable deposit for 

costs that may be incurred in connection with the license application. 

Estimates of licensing costs will be provided to applicants upon reasonable 

request. All fees and costs must be received by the Tribal Gaming Agency 

prior to issuance of the license, unless the Tribe or the Gaming Operation has 

agreed to reimburse the Tribal Gaming Agency directly for all or part of such 

fees and costs. 

9.10 Standards. All persons engaged by or associated with any 

gaming activity on Tribal Lands shall conduce themselves with honesty, 

integrity, and with such decorum and manners as necessary to reflect 

positively on the Tribe, its members and the Gaming Activities. Any failure to 

abide by such standards, or any violation of a rule, ordinance, custom or 

tradition of the Tribe, the Tribal Gaming Agency, or the Gaming 

Operatiodnterprise, or with the terms or conditions of the license, may be 

grounds for immediate suspension or revocation of any license issued 

hereunder. 

9.11 Apseals. All decisions of the Tribal Gaming Agency regarding the 

issuance of licenses shall be final and effective when the decision is issued; 

provided that, within Wteen (15) days of the receipt of the written decision 

regarding denial of the license, the applicant may fde a petition for 

reconsideration with the Tribal Gaming Agency. Tribal Members denied a 

license by the Tribal Gaming Agency may, within thirty (30) days of written 

notice of such denial, appeal the denial to the Tribal Gaming Agency. No 

license may be issued if such issuance would place the Tribe in violation of the 

Gaming Compact, or of any other applicable law. 

9.12 Backmound Investigations. 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3,2011 
9.12.1 The Tribal Gaming Agency shall request horn each 

Primary Management Official, Key Employee, 'and any other applicant for a 

Class A license, unless provided otherwise by the Tribal Gaming Agency 

consistent with applicable law, dl of the information specified in subsections 

9.12.1.1 through 9.12.1.14 below, as well as any other information required on 

the gaming license application. The Tribal Gaming Agency reserves the right, 

at any time, to request additional information during or subsequent to any 

background investigation. 

9.12.1.1 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); 

9.12.1.2 Currently and for at least the previous ten (10) 

years: business and employment positions held, ownership 

interests in those businesses, business and residence addresses 

and drivers license nurnber(s); 

9.12.1.3 Names and current addresses of at least three (3) 

personal references (who are not related to or living in the same 

household with applicant), inchding one personal reference who 

was acquainted with the applicant during each period of residence 

as listed under subsection 9.12.1.2 above 

9.12.1.4 

numbers; 

Current business and residence telephone 

9.12.1.5 A description of any existing and previous business 

relationships with the gaming industry generally, including 

ownership interests in those businesses; 

9.12.1.6 A description of any existing and previous business 

relationships with Indian tribes, including ownership interests in 

those businesses; 

9.12.1.7 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; 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3, 201 1 
the 

9.12.1.8 For each felony for which there is an on-going 

prosecution or a conviction: the charge, the name and address of 

court involved, and the date and disposition, if any, of the case; 

9.12.1.9 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; 

9.12.1.10 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 liated above pursuant to 

subsections 9.12.1.8 or 9.12.1.9 above: the criminal charge, the 

name and address of the court involved and the date and 

disposition, if any, of the case; 

9.12.1.11 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; 

9-12.1.12 Current photograph; 

9.12.1.13 Any other information the Tribe or Tribal Gaming 

Agency deems relevant; and 

9.12.1.14 Fingerprints consistent with procedures adopted by 

the Tribal Gaming Agency according to 25 C.F.R. 5 522.2&) and, 

applicable, fingerprints to be processed through a state agency. 

9.12.2 The Tribal Gaming Agency shall conduct or cause to be 

conducted, an investigation sufficient to make a determination of eligibility as 

required under this Ordinance and other applicable law. This shall include 

verification of information submitted by the applicant. The Tribal Gaming 

Agency shall document all potential problem areas noted and any disqualifying 

information. In conducting the background investigation, the Tribal Gaming 

Agency and its agents shall promise to keep confidential the identity of each 

person interviewed in the course of the investigation. 

Adopted by the Tualurnne Community Council 

April 18,2001. Amended November 3,2011 
9.12.3 Fingerprints shall be taken by the Tuolumne County 

Sheriffs office or, if qudsed to do so, by the Tribal Gaming Agency. 

Fingerprints will then be forwarded to the NIGC and to the state agency, if 

applicable, consistent with all applicable laws and the Gaming Compact. 

Fjngerprints shall be processed through the FBI andfo~ other available state 

sources aa applicable to determine the applicant's criminal history, if my. 

9.13 Eligbilitv Determination. The Tribal Gaming Agency shall 

review a person's prior activities, criminal record, if any, and reputation, 

habits and associations to make a finding concerning the eligibility of a Key 

Employee or Primary Management Official for employment in the Gaming 

Enterprise. If the Tribal Gaming Agency 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 Tribal 

Gaming Operation 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. 

9.14 Forwarding Licensin~ Applications and Re~orts to NIGC. 

9.14.1 Unless otherwise provided by the NIGC, on or before the 

date any Key Employee or Primary Management Official is employed by a 

Gaming Operation authorized under this Ordinance, the Tribal Gaming 

Agency shall forward to the NIGC the person's completed application for 

employment containing the information required under Section 9.12 of this 

Gaming Ordinance. 

9.14.2 Prior to issuing a license to a Primary Management 

Official or Key Employee, the Tribal Gaming Agency shall forward to the 

NIGC, together with a copy of the eligibility determination made under 

Section 9.13 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 

Enterprise 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 of beginning work. 

The investigative report shall include the following information: 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3,2011 
9.14.2.1 Steps taken in conducting a background 

investigation; 

9.14.2.2 Results obtained; 

9.14.2.3 Conclusions reached; and 

9.14.2.4 The bases for those conclusions. 

9.14.3 The Tribal Gaming Agency shall provide to the NIGC or 

other applicable agency, any other reports and information required by IGRA 

and regulations promulgated thereunder. Further, with respect to Key 

Employees and Primary Management Officials, the Tribal Gaming Agency 

shall retain applications for employment and reports {if any) of background 

investigations for inspection by the NTGC for no leas than three (3) years $-om 

the date of termination of employment. 

9.14.4 If a license is not issued to an applicant, or the license is 

granted and later revoked, the Tribal Gaming Agency 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 Individuals Records 

System. 

9.15 Granting a Gaming License. 

9.15.1 If, within a thirty (30) day period after the NIGC receives 

a report as required under subsection 9.14 above, the NIGC notifies the Tribal 

Gaming Agency that it has no objection to the issuance of a license pursuant to 

the Iicense application filed for a Key Employee or Primary Management 

OffIcial for whom the Tribal Gaming Agency has provided an application and 

investigative report, the Tribal Gaming Agency may issue the license. 

9.15.2 The Tribal Gaming Agency shall provide any additional 

information requested by the NlGC 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 shdl suspend the 

thirty (30) day period established under subsection 9.16.1 above until the 

NIGC receives the additional information. 

Adopted by the Tuolurnne Community Council 

April 18,2001. Amended November 3,2011 
9.15.3 If, within the thirty (30) day period established under 

subsection 9.15.1 above, the NIGC provides a statement itemizing objections to 

issuance of a license ta a Key Employee om: Primary Management Official, the 

Tribal Gaming Agency shall reconsider the application, taking into account 

such objections. The Tribal Gaming Agency retains the right to make the final 

determination whether to issue the license to such applicant. 

9.16 License Suswension. 

9.16.1 If, after issuing a gaming license, the Tribal Gaming 

Agency receives reliable information from the NIGC or other reliable source 

indicating that a Key Employee or a Primary Management Off~cial is not 

eligible for employment under the eligibility criteria established in Section 9 

above, the Tribal Gaming Agency shall suspend the license and noti@ the 

licensee in writing of the license suspension and proposed revocation. 

9.16.2 The Tribal Gaming Agency shall notify the licensee of a 

time and place for a hearing on the proposed revocation of a license. 

9.16.3 After the revocation hearing, the Tribal Gaming Agency 

shall determine whether to revoke or to reinstate the gaming license. For 

actions taken in response to information provided by the NIGC, the Tribal 

Gaming Agency shall note the NXGC of its decision. 

9.17 Facilities Licenses. Before Gaming Activities can be conducted 

therein, the Tribal Gaming Agency shall inspect and license each such facility 

in accordance with this Ordinance, the Gaming Compact, and any 

requirements of IGRA. The Tribal Gaming Agency shall also determine and 

certify that the gaming facihty and any new gaming facility construction meets 

the Tribe's building and safety codes, and any applicable federal or Gaming 

Compact requirements, and issue a certificate of occupancy to the facility as 

required under the Gaming Compact. 

9.18 . Effect of Gaming Compact. Notwithstanding anything in this 

Section 9 or any other part of this Ordinance to the contrary, any licensing 

procedures required under the Gaming Compact shall be implemented as 

provided therein, and the Tribal Gaming Agency may adopt regulations 

integrating such procedures with the foregoing. 

Section 10. Apalication Forms. 

Adopted by the TuoIumne Community Council 

April 18,2001. Amended November 3,2011 
10.1 Each application form for a Key Employee or a Primmy 

Management Official, as well as for all other Class A license applicants, unless 

otherwise specifically exempted by the Tribal Gaming Agency consistent with 

applicable law, shall contain the notices set forth in subsections 10.1.1 and 

10.1.2 below: 

10,l.l 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 et seq. The purpose of the requested information 

is to determine the eligibility of individuals to be granted a gaming license. 

The information will be used by the Tribal gaming regulatory authorities and 

by the National Indian Gaming Commission members and staff who have need 

for the information in the performance of their official duties. The information 

may be disclosed to appropriate Federal, Tribal, State, local, or foreign law 

enforcement and regulatory agencies when relevant to civil, criminal or 

regulatory investigations or prosecutions or when gurauant to a requirement 

by a tribe or the National Indian Gaming Commission in cmnection with the 

issuance, denial, or revocation of a gaming license, or investigations of 

activities while associated with a tribe or a gaming operation. Failure to 

consent ta the discloeures indicated in this notice will result in a tribe's being 

unable to license you for a primary management official or key employee 

position. The disclogure of your Social Security Number (SSN) is voluntary. 

However, failure to supply a SSN may result in errors in processing your 

application. 

10.1.2 The Tribe shall notify in writing existing key employees and 

primary management off~ciale that they shall either: 

(a) Complete a new application form that contains a Privacy Act 

Notice or 

(lo) Sign a statement that contains the Privacy Act Notice and 

consent to the routine uses described in that notice. 

10.1.3 Notice bamdina Fdse Statements. 

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3,201 3. 
A false statement on any part of your license application may be 

grounds for denying a license or the suspension or revocation of a license. Also, 

you may be punished by fine or imprisonment (US. Code, title 18, section 

1001). 

10.2 Any existing Key Employee or Primary Management Official, or 

other Class A licensee, unless otherwise specifically exempted by the Tribal 

Gaming Agency, shall be notified that they shall either; 

(a) Complete a new application form that contains a notice 

regarding false statements; or 

@) Sign a statement that contains the notice regarding false 

statements. 

Section 11. Class IT1 Gaming: Gaming Compact. 

In addition to the provisions set forth above, Class III gaming shall be 

engaged in on the reservation pursuant to a Tribal-State Compact or by an 

alternative as provided by IGRA. All negotiations for such compacts and 

amendments thereto shall be conducted through the Community Council, with 

the advice and suggestion of the Tribal Gaming Agency, and shall be finalized 

only upon majority vote of the Community Council after consideration of the 

terms. In the event the provisions of a Gaming Compact, as approved under 

IGRA, may be inconsistent with provisions herein, the approved Gaming 

Compact provisions shall govern over the provisions therein but only to the 

extent inconsistent herewith. 

Section 12, Interest in Management Contracts by Tribal OEcials. 

No elected officid of the Tribe, including the Tribal Gaming Agency, or 

any other committee or agency of the Tribe, shall have a financial interest in 

or management responsibility for any management agreement entered into 

pursuant to IGRA, nor shall such elected official serve on the board of directors 

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

Adopted by the Tuolumne Community Council 

April 18,2001. Amended November 3, 2011 
outstanding stock of any corporation, or 10% or more of the beneficial interest 

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

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

responsibility for, such contract. 

Section 13. Service of Pmcess. 

The Tribe designates the Chairman of the Tribe aa its agent for the 

service of official determinations, orders, or notices of violation from any 

federal or state agency, and further directs that the Chairman of the Tribal 

Gaming Agency also receive any notice related to gaming from any state, local 

and federal agencies, including the NIGC and the State Gaming Agency. 

Section 14. Tribal Gamina Corporation. 

Nothing in this Ordinanw shall prevent the Tribe, through its 

Community Council, fiom delegating the authority to conduct gaming to one or 

more Tribal corporations, so long as the tribal gaming enterprises to which 

such authority is delegated agree to meet all criteria and requirements 

established under this Gaming Ordinance. 

Section 15. Prior Gamina Ordinances; Effeckive Date. 

mis Gaming Ordinance supercedes all prior gaming ordinances of the 

Tribe, and shall become effective upon its adoption by the Community Council. 

Section 16. Severabilitv. 

If any provision or application of tbis Gaming Ordinance is determined 

by review to be invalid, such determination shall not be held to render such 

provision inapplicable to other persons or circumstances, nor shall such 

determination render invalid any other provision of this Gaming Ordinance. 

Section 17. Amendments. 

All provisions of this Gaming Ordinance are subject to amendment by 

the Community Council. Regulations promulgated by the Tribal Gaming 

Agency under this Gaming Ordinance are subject to amendment by the Tribal 

Gaming Agency. 

Section 18. Sovereim Immunity Preserved. 

Adopted by the Tuolumne Community Cound 

April 18,2001. Amended November 3,201 1 
Nothing in this Gaming Ordinance is intended or shall be construed as a 

waiver of the sovereign immunity of the Tribe, and no manager, oficer, or 

employee of the Tribal Gaming Agency or the Tribe or the Gaming Facility 

shall be authorized, nor shall they attempt, to waive the immunity of the 

Tribe. 

CERTIFICATION 

I, Kevin A. Day, Chairman of the Tuolumne Band of Me-Wuk Indians, 

hereby certify that the foregoing Ordinance was adopted on November 3,2011, 

at a duly called meeting of the Tuolumne Me-Wuk Community Council, at 

which a quorum was present, by a vote of 40- "for", 0 "against", and -0- 

"abstentions." 

* Kevin Day, Chairman 

Date 

Attest,, Tribal &mber at age 

Date 

Adopted by the Tuolumnc! Community Cound 

ApriI 18,2001. Amended November 3,2011