Susanville Indian Rancheria [Ordinances], Gaming

TRIBAL GAMING ORDINANCE

Ordinance No. 2001-004
Amendment 1

TITLE I - REGULATION OF CLASS II AND CLASS III GAMING

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

SECTION 1. FINDINGS, INTENT AND POLICY

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

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

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

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

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

1.1.5 The present needs of the Tribe are not adequately addressed by State and Federal programs including the need for increased employment, training, housing, health care, nutrition, educational opportunities, preservation of culture, social services and community and economic development.
1.1.6 Tribal operation and licensing of Gaming is a legitimate means of generating revenue to address the aforementioned needs and pursuing the Tribe's goal of self-sufficiency and self-determination.
1.1.7 The State, in recognition of the Tribe's sovereign right and need for Gaming has entered into a Tribal/State Compact (''Compact'') pursuant to the terms and conditions of the Indian Gaming Regulatory Act.
1.1.8 As a result of the foregoing, the adoption of a new and expanded Gaming Ordinance is in the best interest of the Tribe and State.

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

1.2.1 Regulate, control, and oversee Gaming within the jurisdiction of the Tribe.
1.2.2 State, declare and otherwise clarify that a License related to Gaming is a revocable privilege, not a right.
1.2.3 Ensure that the operation of Tribally regulated Gaming can continue as a means of generating Tribal revenue.
1.2.4 Ensure that Gaming is conducted fairly and honestly by both Licensees and players, and that it remain free from corrupt, incompetent, unconscionable and dishonest practices.

1.2.5 Encourage Tribal economic development and employment opportunities.
1.2.6 Ensure that all Gaming revenue is used for the benefit of the Tribe and its community.
1.2.7 Ensure that the Tribe provides a fair and impartial forum for the resolution of Gaming disputes.
1.2.8 Ensure that Tribal Gaming laws are strictly and fairly enforced upon Persons involved in Gaming Activity within the jurisdiction of the Tribe.

1.3 Policy.

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

(1) To fund Tribal government operations or programs.

(2) To provide for the general welfare of the Tribe and its members.

(3) To promote Tribal economic development.

(4) To donate to charitable organizations.

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

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

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

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

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

SECTION 2. DEFINITIONS

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

2.1 "Adjusted Gross Revenues" means gross revenues less all cash prizes or the aggregate price of merchandise prizes, except in the case of the games of draw poker and stud poker. Regarding games of draw poker and stud poker, "adjusted gross revenues" means the time buy-ins or tournament fees collected by the Licensee.
2.2 "Applicant" means any Person or entity who has applied for a License under the provisions of this Code.

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

2.4 "Association" means representatives from California tribes, the California State Division of Gaming Control and the California Gambling Control Commission as established pursuant to Section 2.2 of the Compact.

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

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

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

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

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

2.10 "Casino" means an establishment in which several Gaming activities or enterprises are operated.

2.11 "Charitable Gaming Ticket" means any game piece used in the play of a paper pull tab game, or jar ticket game, or raffle.
2.12 "Cheating" means a Person's operating or playing in any game in a manner in violation of the written or commonly understood rules of the game, with the intent to create for himself or someone in privity with him an advantage over and above the chance of the game.

2.13 "Class II Gaming" means those Gaming activities as defined as Class II Gaming in the IGRA of 1988, P.L. 100-447, 25 U.S.C. Section 2703(7).
2.14 "Class III Gaming" means those Gaming activities as defined as Class III Gaming in the IGRA of 1988, P.L. 100-447, 25 U.S.C. Section 2703(8).

2.15 "Code" means this Tribal Gaming Ordinance of the Susanville Indian Rancheria California, as amended.

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

2.17 "Compensation" means all wages salaries, perks, bonuses and all other forms of enumeration for services rendered.
2.18 "Contract" means any legally binding agreement made between an Licensee and another Person for the purpose of conducting any form of lawful Gaming Activity, or providing goods or services to any lawful Gaming Activity or operation.

2.19 "Council" or "General Council" means the governing body of the Tribe.
2.20 "Determination of Suitability" means a formal finding by the Tribal Commission or State Gaming Agency that the Applicant or licensee is suitable to obtain and/or maintain the License.

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

2.22 "Enrolled Tribal Member" means a Person who is enrolled with the Tribe, and whose name appears on the tribal membership roll.
2.23 "Enterprise" means the economic entity that is licensed by the Tribal Commission, operates the games, receives the revenues, issues the prizes, and pays the expenses. A gaming enterprise may be operated by the Tribe or a Management Contractor.

2.24 "Equipment for Games of Chance" (see "Gaming Device").

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

2.26 "Financial Source" as that term is used in § 6A.6 of the Compact, and in this Code, means every Person, with whom the Tribe enters into an agreement or contract for the purpose of extending financing to the Tribe, the proceeds of which are used either directly or indirectly to finance the Gaming Facility or Enterprise. For the purposes of this section, and § 5.1.3, the term "Contract" means an agreement between the Tribe, or any Tribal subdivision, arm, or entity, and another Person. Financial Sources must be licensed.

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

2.28 "Gaming" or "Gaming Activity" means any activity, operation or game of chance in which any valuable consideration may be wagered upon the outcome determined by chance, skill, speed, strength or endurance, and in which any valuable prize is awarded to the player so wagering.
2.29 "Gaming Device" means a slot machine, including an electronic, electromechanical, electrical, or video device that, for consideration permits: individual play with or against that device or the participation in any electronic, electromechanical, electrical, or video system to which that device is connected; the playing of games thereon or therewith, including, but not limited to, the playing of facsimiles of games of chance or skill; the possible delivery of, or entitlement by the player to, a prize or something of value as a result of the application of an element of chance; and a method for viewing the outcome, prize won, and other information regarding the playing of games thereon or therewith.

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

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

2.32 "Gaming Vendor" means the same as a "Gaming Resource Supplier" as defined by the Compact or any Person or entity who, directly or indirectly, manufactures, distributes, supplies, vends, leases or otherwise purveys Class II Gaming or Class III Gaming resources to the Gaming Facility, provided that the Tribal Commission may interpret this definition to exclude a purveyor of equipment or furniture that is not specifically designed for, and is distributed generally for use other than in connection of Gaming. Gaming Vendors must be Licensed.

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

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

2.35 "Immediate Family" means, with respect to the Person under consideration a husband, wife, father, mother, son, daughter, brother, sister, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother or half sister, and those residing in the home.
2.36 "Indian Gaming Regulatory Act" or "IGRA" means Public Law 100-497, 102 Stat. 2426, 25 U.S.C. §§2701, et seq. (1988), as amended.

2.37 "Indian Lands" means:

2.37.1 Lands within the limits of the Tribe's exterior boundaries, whereby it exercises sovereign jurisdiction over such lands, notwithstanding the issuance of any patent and including rights-of-way running through such lands; and

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

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

2.38 "In privity with" means a relationship involving one who acts jointly with another or as an accessory before the fact to an act committed by the other or as a co-conspirator with the other.

2.39 "IRS" means the United States Internal Revenue Service.

2.40 "Key Employee" means:

2.40.1 A Person who performs one or more of the following functions:

(1) Bingo caller;

(2) Counting room supervisor and Personnel;

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

(5) Floor manager; manager or General Manager;
(6) Pitboss;
(7) Dealer;
(8) Croupier;
(9) Approver of credit or whose recommendation in this regard are ordinarily sought or followed; or
(10) Custodian of gambling devices including Persons with access to cash and accounting records within such devices;

2.40.2 If not otherwise included, any other Person whose total cash compensation is in excess of $50,000 per year; or
2.40.3 If not otherwise included, any other Person who supervises or directs other employees engaged in the control of Gaming assets and revenues and record keeping, including the recording of cash and evidences in indebtedness, and the maintenance, review, or control of the records, accounts, and reports of transactions; or
2.40.4 If not otherwise included, the four most highly compensated Persons in the Gaming Facility; or
2.40.5 Any Applicant or Person the Tribal Commission finds is important or necessary to the operation of the Gaming Facility.

2.41 "License" means the official, legal and revocable permission granted by the Tribal Commission to an Applicant to conduct "Licensed" Gaming Activities of the Tribe.
2.42 "Licensee" means the Employee, Key Employee, Primary Management Official, Vendor, Enterprise or Facility that has legitimately obtained a valid License.

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

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

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

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

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

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

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

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

2.52 "Primary Management Official" means:

2.52.1 The Person having management responsibility for the overall operation of the Enterprise or Facility, or a management contract; or
2.52.2 Any Person who has authority to:

(1) Hire and fire employees; or

(2) Set up working policy for the Gaming Operation; or

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

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

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

2.55 "Rancheria" means lands defined as "Indian Lands" herein.

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

2.57 "Reservation" means lands defined as "Indian Lands" herein.

2.58 "State" means the State of California.

2.59 "State Gaming Agency" means the entity of the State pursuant to the Gambling Control Act, pursuant to Division 8 of the Business and Professions Code, Chapter 5, Sec. 19800 et. Seq.

2.60 "State Gaming Facility Compliance Agent" means the Person appointed pursuant to Section 6.4.2(d) of the Compact.

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

2.62 "Tribal Court" means the Court created in the Tribe's Constitution enacted contemporaneously herewith, and by Title I, Section 4.24 of this Code, as those provisions are amended from time to time.

2.63 "Tribe" means the Susanville Indian Rancheria California.

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

SECTION 3. GENERAL PROVISIONS

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

3.2 Title, Repeal of Prior Laws, and Effect of Repeal. This Code may be cited as the Susanville Indian Rancheria California Gaming Code or "Code." This Code shall be appropriately inserted in the Tribal Code, pursuant to the Tribal Constitution.

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

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

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

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

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

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

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

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

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

SECTION 4. TRIBAL GAMING COMMISSION

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

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

4.1.2 The Business Council of the Susanville Indian Rancheria California shall serve as the Tribal Commission until the Business Council appoints the members of the Tribal Commission pursuant to Section 4.10.4. The Business Council, as Tribal Commissioners, shall comply with the background check and licensing requirements of the Code, herein.

4.2 Location and Place of Business.

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

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

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

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

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

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

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

4.6 Sovereign Immunity of the Tribal Commission.

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

4.6.2 No Waiver Nothing in this Code shall be deemed or construed to be a waiver of sovereign immunity of the Tribal Commission from suit, which shall only be waived pursuant to subsection 4.7 below.

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

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

4.7.1 Resolution Effecting Waiver All waivers of sovereign immunity must be preserved with the resolutions of the Business Council and the General Council of continuing force and effect.
4.7.2 Policy on Waiver Waivers of sovereign immunity are disfavored and shall be granted only when necessary to secure a substantial advantage or benefit to the Tribal Commission.
4.7.3 Limited Nature to Waiver Waivers of sovereign immunity shall not be general but shall be specific and limited as to duration, grantee, transaction, property or funds, if any, of the Tribal Commission subject thereto, court having jurisdiction pursuant thereto and law applicable thereto.

4.7.4 Limited Effect of Waiver Neither the power to sue and be sued provided in subsection 4.7 herein, nor any express waiver of sovereign immunity by resolution of the Business Council and the General Council, shall be deemed a consent to the levy of any judgment, lien or attachment upon property of the Tribal Commission other than property specifically pledged or assigned, or a consent to suit in respect of any land within the exterior boundaries of the Reservation or a consent to the alienation, attachment or encumbrance of any such land.

4.8 Sovereign Immunity of the Tribe. All inherent sovereign rights of the Tribe as a Federally-recognized Indian Tribe, with respect to the existence and activities of the Tribal Commission, are hereby expressly reserved, including sovereign immunity from suit in any state, Federal or Tribal court. Nothing in this Code nor any action of the Tribal Commission shall be deemed or construed to be a waiver of sovereign immunity from suit of the Tribe, or to be a consent of the Tribe to the jurisdiction of the United States or of any state or any other Tribe with regard to the business or affairs of the Tribal Commission or the Tribe, or to be a consent of the Tribe to any cause of action, case or controversy, or to the levy of any judgment, lien or attachment upon any property of the Tribe; or to be a consent to suit in respect to any land within the exterior boundaries of the Reservation, or to be a consent to the alienation, attachment or encumbrance of any such land.
4.9 Assets of the Tribal Commission. The Tribal Commission shall have only those assets specifically assigned to it by the Business Council or acquired in its name by the Tribe or by it on its own behalf. No activity of the Tribal Commission nor any indebtedness incurred by it shall implicate or in any way involve any assets of tribal members or the Tribe not assigned in writing to the Tribal Commission.
4.10 Membership.

4.10.1 Number of Commissioners The Tribal Commission shall be comprised of five (5) Tribal Gaming Commissioners, none of whom may be members of the Tribal Business Council.
4.10.2 Organization The Tribal Commission will consist of a Chairman, Vice-Chairman, Secretary and two (2) Commissioners.

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

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

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

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

4.10.3 Qualifications for Tribal Commission Positions

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

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

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

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

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

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

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

(i) Pose a threat to the public interest; or
(ii) Threaten the effective regulation and control of Gaming; or
(iii) Enhance the dangers of unsuitable, unfair, or illegal practices, methods, or activities in the conduct of Gaming; or

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

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

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

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

4.13 Meetings.
4.13.1 Regular Meetings The Tribal Commission shall meet formally weekly. Nothing in this Code shall prohibit the Commission from authorizing telephone and off-site meetings.
4.13.2 Special Meetings Special meetings may be called at the request of the Business Council or the Chairman of the Tribal Commission.
4.13.3 Quorum A quorum for all meetings shall consist of three (3) members.

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

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

4.15 Removal of Members or Vacancies.

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

4.15.2 Due Process Except as provided below, no Tribal Commissioner may be removed without notice and an opportunity for a hearing before the Business Council, and then only after the Tribal Commissioner has been given written notice of the specific charges at least ten (10) days prior to such hearing. At any such hearing, the Tribal Commissioner shall have the opportunity to be heard in Person or by counsel and to present witnesses on his behalf.
4.15.3 Temporary Suspension if the Business Council or Gaming Commission determines that immediate suspension of a Tribal Commissioner is necessary to protect the interests of the Tribe, the Business Council may hold a hearing with the Tribal Commissioner to suspend the Tribal Commissioner temporarily, and the question of permanent removal shall be determined thereafter pursuant to Tribal Commission hearing procedures pursuant to 4.15.2 herein.

4.15.4 Written Record A written record of all removal proceedings together with the charges and findings thereon shall be kept by the Tribal Secretary.

4.15.5 Removal Final The decision of the Business Council upon the removal of a Tribal Commissioner shall be final.

4.15.6 Vacancies if any Tribal Commissioner shall die, resign, be removed or for any reason be unable to serve as a Tribal Commissioner, the Business Council shall declare his/her position vacant and shall appoint another Person to fill the position within thirty (30) days of the vacancy. The terms of office of each Person appointed to replace an initial Tribal Commissioner shall be for the balance of any un-expired term for such position provided, however, that any prospective appointee must meet the qualifications established by this Code.

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

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

4.17.1 To reasonably inspect and regulate all Gaming within the jurisdiction of the Tribe, provided that the Commission does not make Management decisions as to the day-to-day operations of the Gaming Enterprise.
4.17.2 To investigate any reported violations of this Code, the Compact, or any other applicable law regarding Gaming within the jurisdiction of the Tribe.
4.17.3 To act as liaison with the NIGC and the California Division of Gaming Control Commission.
4.17.4 To publish and distribute copies of this Code and Tribal Commission rules and regulations and any Business Council, Tribal Commission or Tribal Court decisions regarding Gaming matters.
4.17.5 To prepare and submit for Business Council approval proposals, including budget and monetary proposals related to the operation of the Tribal Commission, which could enable the Tribe to better carry forth the policies and intent of this Code.

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

4.17.7 To make or cause to be made reasonable inspections or investigations as it deems necessary to ensure compliance with this Code. In undertaking such investigations, the Tribal Commission may request the assistance of Tribal Gaming staff, Federal and local law enforcement officials, legal counsel and other third parties.

4.17.8 To request the assistance of the Gaining Disputes Court when established, in conducting Gaming hearings.

4.17.9 To arrange for training of Tribal Commission members and employees in areas relating to the regulation or operation of Gaming.
4.17.10 Upon prior explicit resolution and approval of the Business Council, to employ such advisors as it may deem necessary. Advisors may include, but are not limited to, lawyers, accountants, law enforcement specialists and Gaming professionals.
4.17.11 To promulgate rules and regulations, which implement and further the provisions of this Code; provided such rules and/or regulations are approved by Business Council resolution or ordinance.

4.17.l2 To accept, review, approve or disapprove any Application for a License.

4.17.l3 To consult with and make recommendations to the Business Council regarding changes in Tribal Gaming laws and policies.

4.17.l4 To examine under oath, either orally or in writing, in hearings or otherwise any Person or agent, officer or employee of any Person, or any other witness with respect to any matters related to this Code, including enforcement of Tribal Gaming laws, regulations, and policies, and to compel by subpoena the attendance of witnesses and the production of any books, records, and papers with respect thereto.

4.17.l5 To make, or cause to be made by its agents or employees, an examination or investigation of the place of business, equipment, facilities, tangible Personal property and the books, records, papers, vouchers, accounts, documents and financial statements of any Gaming operating, or suspected to be operating, within the jurisdiction of the Tribe.

4.17.l6 To delegate to an individual member of the Tribal Commission, or to an individual member of the Business Council, or Tribal staff, such of its functions as may be necessary to administer these ordinances efficiently; provided, that the Tribal Commission may not re-delegate its power to exercise any of the substantial governmental functions of the Tribe or its power to promulgate rules and regulations; and provided further that the Tribal Commission may not delegate to any Person the power to permanently revoke a License.

4.17.l7 To issue fines and sanctions to the Gaming Facility if it is operating in violation of this Code, and report significant violations of the Compact to the State Gaming Agency.

4.17.l8 To sue or be sued in courts of competent jurisdiction within the United States and Canada, subject to Sections 4.6 and 4.7 herein; provided, that no suit shall be brought by the Tribal Commission without the prior explicit written approval of the Business Council.

4.17.l9 To use the seal of the Tribal Gaming Commission or the seal of the Tribe with the approval of the Business Council.

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

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

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

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

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

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

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

4.17.27 To adopt a schedule of fees to be charged for Licenses.

4.17.28 To adopt a schedule of fees for services rendered relating to transcripts and the furnishing or certifying of copies of proceedings, files, and records.
4.17.29 To conduct or arrange for background investigations of all Applicants.
4.17.30 To discipline any Licensee or Person participating in Gaming by ordering immediate compliance with this Code, and to issue an order of temporary suspension of any License issued under this Code pursuant to the hearings and due process required by Section 4.23 and 4.24 herein.
4.17.3l To issue an order of temporary closure of a Gaming Facility in the event the Tribal Commission determines that immediate closure is necessary to protect assets or interests of the Tribe pursuant to the due process and hearings required by Section 4.23 and 4.24 herein.
4.17.32 To become self-regulating whenever the Tribe becomes eligible for a certificate of self-regulation under the IGRA.
4.17.33 To file with the State Gaming Agency a request to be heard on any denial of a Determination of Suitability.
4.17.34 To ask for the assistance of the State Gaming Agency to carry out the Class III provisions of this Code and to reimburse the State Gaming Agency for any costs that it occurs in the provision of this service.
4.17.35 To assist Management in taking all steps necessary and appropriate to insure the physical safety of all Tribal Gaming Enterprises, their Licensees, patrons and employees.
4.17.36 Notwithstanding any authority granted herein, the Tribal Commission shall endear to follow rules, regulations, standards, specification and procedures which are consistent with the State Gaming Agency's rules, regulations, standards, specifications and procedures adopted pursuant to Sections 6.0 - 8.0 of the Compact.
4.17.37 To enact and adhere to its own internal controls including a Conflict of Interest Policy governing Tribal Commissioners and Tribal Gaming Commission staff.

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

4.19 Tribal Commission Regulations.

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

(1) The Minimum Internal Control Standards ("MICS") as issued by the NIGC;
(2) Interpretation and application of this Code, as may be necessary to enforce the Tribal Commission's duties and exercise its powers;
(3) A regulatory system for overseeing Gaming, including accounting, contracting, management and supervision;
(4) The findings of any reports or other information required by or necessary to implement this Code; and
(5) The conduct of inspections, investigations, hearings, enforcement actions and other powers of the Tribal Commission authorized by this Code.

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

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

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

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

4.21 Investigation. The Tribal Commission, upon complaint or upon its own initiative or whenever it may deem it necessary in the performance of its duties or the exercise of its powers, may investigate and examine the operation and premises of any Person or Licensee within its jurisdiction. In conducting such investigation, the Tribal Commission shall make no order or final decisions without affording any affected party notice and a hearing pursuant to Section 4.23.
4.22 Reserved.
4.23 Due Process; Notice; Hearings; Examiner. The Tribal Commission shall provide due process and provide notice and a hearing if it is to utilize any of its enforcement capabilities in the administration of its powers and duties hereunder.

4.23.1 No Hearing Voluntary Resolution Whenever it shall appear to the satisfaction of the Tribal Commission that all of the interested parties involved in any proposed hearing have agreed concerning the matter at hand, the Tribal Commission may dismiss the issue without a hearing.
4.23.2 Notice of Hearing The Tribal Commission shall, within five (5) days after the event giving rise to the concern, provide a written notice setting forth, with specificity, the issues to be resolved.
4.23.3 Hearing The Tribal Commission shall, within five (5) days after the notice of hearing pursuant to 4.23.2, provide the affected parties the right to present oral or written testimony to all people interested therein as determined by the Tribal Commission.
4.23.4 Examiner The Tribal Commission shall act as examiner for the purpose of holding any hearing, or the Tribal Commission may appoint a Person qualified in the law or possessing knowledge or expertise in the subject matter of the hearing to act as examiner for the purpose of holding any hearing. Any such appointment shall constitute a delegation to such examiner of the powers of the Tribal Commission under this Code with respect to any such hearing.
4.23.5 Decision The Examiner shall render a written opinion within forty-eight (48) hours of the hearing.
4.23.6 Appeals Affected parties may appeal a Tribal Commission determination by filing a written appeal to the Gaming Dispute Court within thirty (30) days of the Tribal Commission's or Examiner's final decision.

4.24 Appeals to Gaming Review Board.

4.24.1 Creation of the Gaming Review Board The General Council hereby establishes the Gaming Review Board, which shall be composed of a Trial Branch and an Appellate Branch. The Gaming Review Board shall have jurisdiction over all disputes arising out of or in connection with actions of the Tribal Gaming Commission or any actions that arise between Tribal Management and customers pursuant to Section 10.
4.24.2 Procedures Within Ninety (90) days of the appointment of Judges under Section 4.24.6 below, the Gaming Review Board shall enact reasonable rules of procedure, which such rules shall be enacted by the Business Council ("Rules of the Gaming Review Board"). At a minimum, these procedures must provide any claimant in the Gaming Review Board with a right to a hearing at both the trial and appellate levels, and the rules must provide each claimant with due process of law under the Tribe's Constitution. In addition, the rules must incorporate and make binding upon the Judges of the Gaming Review Board a Code of Judicial Ethics, as that document is from time to time amended.

4.24.3 Governing Law To the extent Tribal law does not otherwise govern a dispute the Gaming Review Board shall apply relevant provisions of California or Federal law.

4.24.4 Remedies The Gaming Review Board shall have full jurisdiction and authority to compel arbitration to enforce any arbitration order or other dispute resolution mechanism provision.

4.24.5 Findings All findings and orders of the Gaming Review Board shall be in writing within Ninety (90) days after the dispute is submitted for the board's consideration.

4.24.6 Appointment of Judges The Business Council shall appoint the Judges for the Gaming Review Board. The Business Council shall, when necessity dictates, appoint three (3) Judges for the Gaming Review Board. Any time the number of judges falls below three, the Business Council shall, within Thirty (30) days appoint such additional judges as necessary to restore the number of judges to three. If the Business Council fails to restore the number of judges to three within Thirty (30) days of a vacancy, the remaining Judges may appoint the judges necessary to restore the number of Judges to three. All Judges shall be selected with the following qualifications:

(1) has never been convicted of a felony or any gaming offense;

(2) is not a member of the Business Council;

(3) is of sound mind, trustworthy, and of good moral character;

(4) is able to determine in what cases he or she will be disqualified and is willing to disqualify himself or herself;

(5) is capable of carrying out the duties of the office, including staff administration and supervision;

(6) is willing to commit, upon public oath or affirmation, to uphold this Code, the Tribal Constitution and to fairly and impartially adjudicate all matter before the Gaming Review Board;

(7) shall be subject to the same background and Licensing standards as Commissioners pursuant to Title I, Section 4. 10.5 herein;

(8) shall not engage in any Gaming Activity with the Gaming Enterprise; and

(9) is not employed by the Gaming Enterprise, nor have any immediate relatives who are employed by the Gaming Enterprise.

4.24.7 Appeals Trial Branch decisions shall only be appealed to the Appellate Branch. Appeals from any decision of the Trial Branch shall be heard by the three judges that did not hear the case in the Trial Branch. Decisions of the Appellate Branch may be appealed to the Tribal Court. There shall be no right to appeal Appellate Branch decisions to any State or Federal Court.

4.24.8 Compensation Judges of the Gaming Review Board shall be compensated by the Business Council in amounts appropriate to the duties and responsibilities of the office, which compensation shall not be diminished during a judge's continuation in office The Gaming Review Board shall have the power to take appropriate action to enforce this subsection.

4.24.9 Recall and Discipline After appointment, Judges of the Gaming Review Board shall be subject to discipline and removal for cause pursuant to the Rules of the Gaming Review Board.

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

SECTION 5. GAMING LICENSES

5.1 Applicability.

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

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

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

5.2 Application Procedure.

5.2.1 Submission to Tribal Commission An Applicant seeking a License shall submit an Application to the Tribal Commission on such form as the Tribal Commission may require.
5.2.2. Privacy Act and False Statement The application form shall include the following notices:

5.2.2.1. Privacy Act

In compliance with the Privacy Act of 1974, the solicitation of information on this form is authorized by 25 U.S.C. 2701 et seq. The purpose of the requested information is to determine the eligibility of individuals to be employed in a gaming operation. The information will be used by National Indian Gaming Commission members and staff who have need for the information in the performance of their Official duties. The information may be disclosed to appropriate Federal, Tribal, State, local, or foreign law enforcement and regulatory agencies when relevant to civil, criminal or regulatory investigations or prosecutions or when pursuant to a requirement by a tribe or the National Indian Gaming Commission in connection with the hiring or firing of an employee, the issuance or revocation of a gaming license, or investigation of activities while associated with a tribe or a gaming operation. Failure to consent to the disclosures indicated in this notice will result in a tribe's being unable to hire you in a primary management Official or key employee position. The disclosure of your Social Security Number (SSN) is voluntary. However, failure to supply a SSN my result in errors in processing your application.

5.2.2.2. False Statement

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

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

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

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

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

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

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

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

(6) A disclosure of any judgement rendered against the Applicant.

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

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

(9) The identity of any ownership interest in any past business ventures.

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

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

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

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

(14) A statement of all languages written or spoken.

(15)Written permission giving the Tribal Commission, State Gaming Agency and NIGC or its designees the right to the Applicant's background, including his criminal record.

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

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

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

(19) Two (2) photographs of the Applicant taken within the past year.

(20) A written statement that the information contained in the Application is true and correct to the best of Applicant's knowledge.

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

(1) Each of its officers and directors;

(2) Each of its principle management employees, including any chief executive officer, chief financial officer, chief operating officer, and general manager;

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

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

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

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

5.3.1 The Tribal Commission shall enter into an agreement with the Lassen County Sheriff's Office, located in Lassen County, State of California, to take the applicant's fingerprints. Each applicant shall submit the completed fingerprint card along with his/her application to the Tribal Commission.
5.3.2 The Tribal Commission shall review diligently, the information provided in the Tribal Gaming License Application, including, but not limited to, contacting and investigating all resources identified in the Tribal Gaming License Application. An authorized Tribal Official, identified by the Tribal Commission, shall review an Applicant's prior activities, criminal record (if any), reputation, habits, and associations in order to make an eligibility determination for key employees and primary management officials.
5.3.3 The Tribal Commission shall provide a written report as to findings and conclusions of the foregoing background investigation, including but not limited to:

5.3.3.1 Steps taken in conducting diligence.

5.3.3.2 Results of the conducted diligence.

5.3.3.3 Conclusions from review of conducted diligence.

5.3.3.4 The basis for those conclusions.

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

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

5.3.6 The Tribal Commission, when it does not license an Applicant, shall notify the NIGC and forward copies of the Tribal Commission's eligibility determination report and the investigative report (if any).

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

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

5.6 Scope and Types of License.

5.6.1 Gaming Employee License Employee Gaming Licenses are for those Employees that deal in an area of Gaming or Cash Handling within the Gaming Facility or Enterprise. A License issued pursuant to this section shall be effective for only the location, job and employer contained in the Application; provided, however, nothing herein shall prohibit a Primary Management Official or Key Employee from simultaneously performing the duties and responsibilities of more than one position; provided further, that the Primary Management Official or Key Employee is performing a position that is directly in lineal descent below them in the organizational structure of the Enterprise and that they are qualified and trained to perform the duties of the positions so performed. Dealers may also be permitted to deal various card games so long as they are qualified and trained to perform the duties of the positions so performed and are specifically licensed for those positions.
5.6.2 Non-Gaming Employee License A Non-Gaming Employee License is for employees that are not permitted in areas of Gaming, for example, cooks, kitchen staff, food servers, or hostess. A License issued pursuant to this section shall be effective for only the location, job and employer contained in the Application. These Licenses will not require the same level of background scrutiny required for Gaming Licenses.

5.6.3 Part-Time or Full-Time Licenses The Employee's License shall state clearly whether the Employee is a part-time or full-time Employee.
5.6.4 Transferring Licenses A Licensee shall apply to have his/her license transferred to a new location by requesting that transfer in writing to the Tribal Commission in a manner, which details the new job and location.

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

5.7.1 The Tribal Commission has conducted a preliminary, local, background investigation; and
5.7.2 Based on the preliminary investigation, the information does not indicate that the Applicant has a criminal history.

5.7.3 Temporary licenses may last no longer than 90 days.

5.8 License Issuance, Term and Substance.

5.8.1 Issuance Upon completion of the necessary background investigation, and after the Tribe has complied with the Thirty (30) day NIGC review requirements found in 25 C.F.R. §558.3 and §558.4, the Tribal Commission may issue a License on a conditional or unconditional basis. If the NIGC objects to an Applicant, the Tribe shall reconsider the Application, taking into account the reasons for the objections noted by NIGC. However, the Tribe shall have the final word on whether to license an Applicant. Nothing herein creates a property right in the License.
5.8.2 Term Any License issued pursuant to this section shall be effective for a period of two (2) years from the date of issuance.
5.8.3 License Substance The License shall state on its face the name of the Applicant, the Tribal Logo, the Licensee who employs him, and the license number. It shall also include a photograph of Licensee.

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

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

5.11 Requirement to Produce License Upon Request. Licensees must carry the License and visibly display the License during working hours and must produce the License upon the request of any Person.

5.11.1 Proper display shall be the upper left shirt pocket area.

5.12 License Suspension or Revocation of License.

5.12.1 Temporary Suspension or Revocation The Tribal Commission may suspend or revoke a License, after notice and an opportunity for a hearing pursuant to Section 4.23 herein, for any of the following reasons:

(1) The Licensee withheld pertinent information on the Application;

(2) The Licensee made false statements on the Application;

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

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

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

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

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

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

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

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

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

5.12.2 Procedure for Suspension

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

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

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

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

(5) The hearing shall be set for not less than two (2) days or more than seven (7) days from the date of the notice. The hearing shall be governed in all respects in accordance with Tribal law and Tribal Commission regulations. Any suspension decision of the Tribal Commission after hearing shall be reviewable in the Gaming Disputes Court pursuant to the requirements of Section 4.23 and 4.24. The Tribe shall notify NIGC of its decision.

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

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

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

5.13.3 The Gaming is authorized by a Business Council resolution.

5.13.4 The Tribe has the sole proprietary interest and the Management Contract is consistent with Tribal and Federal law and is properly approved by the Chairman of the NIGC.

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

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

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

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

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

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

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

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

5.15 State Gaming Agency Licensing.

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

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

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

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

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

5.15.3 Notwithstanding S