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Susanville
Indian Rancheria [Ordinances]
Last
amended: March 13, 2003
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 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 is an Enrolled Member of the Tribe;
(2)
The Person holds a valid and current Tribal License;
(3)
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;
(4)
The Person is not an Employee of another Gaming Enterprise;
5.16
Miscellaneous Licensing Provisions.
5.16.1
No License shall be sold, lent, assigned or otherwise transferred.
5.16.2
Each Licensee shall have a copy of the Code and regulations readily
available for inspection by any Person at each authorized Gaming site.
5.16.3
The Tribe shall monthly provide the State Gaming Agency with the
name, badge identification number, and job descriptions of all non-key
Gaming Employees.
SECTION
6. BANK ACCOUNTS AND RECORDKEEPING
6.1
Bank Account. The Tribe shall open a separate bank account for
the Enterprise and all receipts of each Gaming Activity shall be deposited
in the account.
6.2
Record Keeping. Accounting records of the Gaming, Enterprise,
and Facility shall be kept on a double entry system of accounting,
maintaining detailed supporting and subsidiary records. The Tribe
shall maintain the following records for not less than three (3) years:
6.2.1
Revenues, expenses, assets, liabilities and equity for each location
at which Class II and Class III Gaming is conducted.
6.2.2
Daily cash transactions for Gaming, including but not limited to
transactions relating to each Gaming table, game drop box and game
room bank.
6.2.3
All markers, IOU's, returned checks, hold checks or other similar
credit instruments.
6.2.4
Individual and statistical game records to reflect statistical drop
and statistical win for electronic, computer, or other technologically
assisted games.
6.2.5
Contracts, correspondence and other transaction documents relating
to all Gaming Vendors.
6.2.6
Records of all customer complaints and Tribal Gaming enforcement
activities.
6.2.7
All gaming related audits prepared by or on behalf of the Tribe
or one of its subdivisions.
6.3
Audit Requirements.
6.3.1
The Enterprise shall provide a copy of an annual independent audit
to the Tribal Commission, the Business Council, the State Gaming
Agency, and the National Indian Gaming Commission.
6.3.2
Each contract between the Tribe and another Person for supplies,
services (other than legal and accounting services) or concessions
for a contract amount in excess of $25,000 annually shall be subject
to an independent audit. Such audit shall be solely limited to a
monthly printout from the accounts payable of the Gaming Operations
of the checks rendered. A copy of such audit will be provided to
the Tribal Gaming Commission, the Business Council, State Gaming
Agency and the National Indian Gaming Commission.
6.4
Notices to the Public.
6.4.1
The Gaming Facility shall have a copy of this Code readily available
for inspection by any Person at each Gaming Facility.
6.4.2
The Gaming Facility shall post in a conspicuous location near each
game an explanation of the rules of play of every game operated
or shall otherwise provide the public with such an explanation.
SECTION 7. GAMING ENTERPRISE RESTRICTIONS AND COMPLIANCE
7.1
Number of Facilities.
7.1.1
The Tribe may establish and operate not more than two Gaming Facilities,
and only on those lands on which Gaming may lawfully be conducted
under IGRA.
7.1.2
The Tribe may combine and operate in each Gaming Facility any forms
and kinds of Gaming permitted under the Compact, IGRA and this Code.
7.2
Gaming Device Restrictions.
7.2.1
Number of Devices The Tribe may offer no more than Two Thousand
Gaming Devices combined for all Facilities.
7.2.2
Transferability of Devices The Gaming Enterprise, or any
Licensee, is prohibited from selling, renting or lending Gaming
Devices to any Person without prior written approval of the Tribal
Commission.
7.2.3
Transportation of Devices Transportation of a Gaming
Device to or from the Gaming Facility within California is permissible
only if:
(1)
The Tribal Commission has issued a permit to transport the Device;
and
(2)
The Tribal Commission has provided at least ten (10) days notice
to the local County Sheriff; and
(3)
The final destination of the Device is a gaming facility of any
tribe in California with a Tribal/State Compact; or
(4)
The final destination is in a state or country whereby the Device
is otherwise legal; or
(5)
The final destination is located in California for the purpose
of testing, repair or storage by a Person that is licensed by
the State Gaming Agency.
7.3
Gaming Device Technical Standards. The technical standards for
Gaming Devices shall adhere to the Gaming Laboratories International,
Incorporated standards.
7.4
Age Restrictions.
7.4.1
No Person under the age of Eighteen (18) shall be employed by the
Gaming Facility, Management Contractor or the Tribal Commission.
7.4.2
No Person under Twenty-one (21) years of age shall be employed in
the service of alcoholic beverages at the Gaming Facility.
7.4.3
No Person under the age of Twenty-one (21) shall be permitted in any
area where Gaming is occurring and alcoholic beverages are being consumed.
7.4.4
No Person under the age of Twenty-one (21) shall be permitted to place
any wager, directly or indirectly, in any Gaming Activity.
7.4.5
No Person under the age of Twenty-one (21) shall be permitted in
any room in which Gaming is being conducted unless the person is
en-route to a non-gaming area of the Gaming Facility.
7.4
Methods of Payment.
7.4.1
Gaming chips and other tokens of value may be sold and redeemed
by the Enterprise and only for full value.
7.5.2
Consideration to participate in Gaming shall be cash only. No other
form of consideration shall be allowed unless the Tribal Commission
gives prior written approval.
7.5
Compliance requirements.
7.5.1
Evidence of win or loss incurred by a Player must, upon request,
be provided in such form as will be acceptable to the Internal Revenue
Service.
7.5.2
The Enterprise shall pay all fees and file all reports required
by law within the time prescribed.
7.5.3
The Enterprise shall respond immediately to all inquiries, subpoenas,
or orders of the Tribal Commission, the State Gaming Agency, the
Business Council, or the NIGC.
7.5.4
The Enterprise shall make its premises and books and records available
for inspection during normal business hours by the Tribal Commission,
the State Gaming Agency, the National Indian Gaming Commission and
members of the Business Council or their designee.
7.6
Miscellaneous.
7.6.1
The Enterprise shall provide adequate security to protect the public
before, during, and after Gaming.
7.6.2
The Enterprise may not discriminate on the basis of sex, race, color,
or creed in its employment practices related to Gaming.
SECTION
8. ENFORCEMENT
8.1
Jurisdiction. Except as provided in this Code or the Compact,
the Tribal Commission and Tribal Court shall have jurisdiction over
all violations of this Code.
8.2
Prohibited Acts. In addition to other civil and criminal offenses
provided for in this Code, the following acts are prohibited by any
Person and subject any violator to the civil or criminal penalties
specified herein:
8.2.1
Participating in any Gaming, which is not authorized by this Code.
8.2.2
Knowingly making a false statement in connection with any Contract
to participate in any Gaming Activity.
8.2.3
Attempting to bribe any Person participating in any Gaming Activity.
8.2.4
Offering or accepting a loan, financing or other thing of value
between a Tribal Commission member or employee and any Person participating
in any Gaming Activity.
8.2.5
Promoting or participating in any illegal Gaming Activity.
8.2.6
Failing to keep sufficient books and records to substantiate receipts,
disbursements and expenses. incurred or paid from any Gaming Activity
authorized pursuant to this Code.
8.2.7
Falsifying any books or records that relate to any transaction connected
with any Gaining Activity pursuant to this Code.
8.2.8
Conducting or participating in any Gaming Activity, which results
in Cheating.
8.2.9
Allowing participation in Gaming Activity by or with an intoxicated
or disorderly Player.
8.2.10
Allowing or participating in the sale of liquor when such sale is
prohibited by Tribal law.
8.2.11
Accepting consideration other than money, tokens or chips for participation
in any Gaming Activity.
8.2.12
Using bogus or counterfeit chips or charitable Gaming tickets, or
to substitute or use any cards, charitable Gaming tickets or Gaming
equipment that has been marked or tampered with.
8.2.13
Employing or possessing any cheating device or to facilitate cheating
in any Gaming Activity.
8.2.14
Willfully using any fraudulent scheme or technique to change the
odds of any game of chance.
8.2.15
Soliciting, directly or indirectly, or using inside information
on the nature or status of any Gaming Activity for the benefit of
an individual.
8.2.16
Tampering with a Gaming Device, attempting to conspire to manipulate
the outcome or the payoff of a Gaming Device, or otherwise unlawfully
tampering with or interfering with the proper functioning of the
machine.
8.2.17
Alter or counterfeiting a Gaming license.
8.2.18
Aiding, abetting, or conspiring with another Person knowingly or
knowingly to cause any Person to violate any provision of this Code
or any rules and regulations adopted hereunder.
8.2.19
Operating, using or making available to the public any illegal Gaming
Device, apparatus, material or equipment.
8.2.20
Selling holding out for sale or transporting into or out of the
jurisdiction of the Tribe any illegal Gaming Device, apparatus,
material or equipment.
8.2.21
Assisting or allowing a Person who is under the age of Twenty-one
(21) to participate in a Gaming activity.
8.2.22
Possessing any illegal narcotics or controlled substances on any
licensed Gaming site.
8.2.23
Stealing or attempting to steal funds or other items of value from
any Gaming Facility or from the Tribal Commission
8.2.24
Employing any Person at a licensed Gaming Facility whom the Licensee
knows has been convicted of a Gaming crime or a crime of fraud.
8.3
Criminal Violation. Any Indian who violates or fails to comply
with any provision of this Code, or who fails or neglects to comply
with any order, decision of the Tribal Commission, shall be charged
and given due process pursuant to Section 4.23 herein. If such Indian
is found to be guilty of a crime, he may be required to pay a fine
not to exceed Five Thousand Dollars ($5,000) or be incarcerated for
not to exceed two (2) years. Each day during which any such violation
or failure to comply continues shall constitute a separate violation
of this Code.
8.4
Civil Violation. Any non-Indian who violates or fails to comply
with any provision of this Code, or who fails or neglects to comply
with any final order of the Tribal Commission, shall be charged and
given due process pursuant to Section 4.23 herein. If the non-Indian
is found liable, he may pay a civil fine not to exceed Five Thousand
Dollars ($5,000) for each violation thereof. Each day during which
any such violation or failure to comply continues shall constitute
a separate violation of this Code. The amount of any such civil fine
may be recovered in a civil action in the Tribal Court.
8.5
Cumulative Fines. All civil fines accruing under this Code shall
be cumulative and a suit for the recovery of one fine shall not bar
or affect the recovery of any other fine, or judgment, penalty, forfeiture
or damages, nor bar the power of the Tribal Court to punish for contempt,
nor bar any criminal prosecution against any officer, director, agent,
or employee of any Licensee, or any other Person.
8.6
Purpose of Civil Penalties. The civil fines imposed under this
Code are intended to be remedial and not punitive and are designed
to compensate the Tribe for the damage done to the peace, security,
economy and general welfare of the Tribe and the Reservation, and
to compensate the Tribe for costs incurred by the Tribe in enforcing
this Code. The civil fines under this Code are also intended to coerce
all people into complying with this Code and Tribal Commission regulations
and not to punish such people for violation of such laws and regulations.
8.7
Civil Action for Penalties. In enforcing the civil infraction
provisions of this Code, the Tribal Commission shall proceed, in the
name of the Tribe, against a Person for violation of such provision
by civil complaint in the Gaming Disputes Court pursuant to the provisions
of this Code. The Tribal Commission in such action shall have the
burden of showing, by the preponderance of the evidence, that such
Person violated the applicable provision of this Code.
8.8
Seizure and Forfeiture of Property. Property utilized in violation
of this Code shall be subject to seizure and forfeiture by order of
the Tribal Commission pursuant to such procedures and rules as the
Tribal Commission shall promulgate.
8.9
Reporting of Offenders. The Tribal Commission, upon final conviction
of any Person under this subsection, shall report the name of the
Person convicted to the Business Council , State Gaming Board and
NIGC.
SECTION 9. GAMING MANAGEMENT
9.1
Management by a Management Contractor.
9.1.1
The Gaming Contractor, or if no Gaming Contractor the Tribe, shall
identify in writing a Person(s) who shall serve as General Manager
of the Gaming Enterprise. The General Manager appointed shall undergo
a background check by the Tribal Commission and shall obtain a License
before commencing work.
9.1.2
The General Manager shall have access to any area within the Gaming
Facility in accordance with the limitations defined in Section 2.30.
9.1.3
The General Manager shall present a written monthly report to the
Tribal Commission which estimates the number of patrons served,
the amount of income generated, the numbers of employees working
at the establishment, a detailed description of any patron complaints
and other problems experienced at the establishment, a written statement
of any changes in Primary Management Officials and all bills which
are thirty (30) days or more past due.
9.2
Rules and Regulations for Management. The Tribal Commission shall,
with the input and suggestions of Primary Management Officials, promulgate
rules and regulations or specifications governing the following subjects:
9.2.1
The enforcement of all relevant laws and rules with respect to the
Gaming Operation and the Facility;
9.2.2
Ensuring the physical safety of Enterprise patrons and Employees;
9.2.3
The physical safeguarding of assets transported to, within, and
from the Gaming Facility;
9.2.4
The prevention of illegal activity from occurring within the Gaming
Facility including employee procedures and surveillance;
9.2.5
The recording of occurrences that deviate from normal operating
policies including the following procedure for reporting incidents:
(1)
Specify that security personnel record all incidents, regardless
of immateriality;
(2)
Require the assignment of a sequential number to each report;
(3)
Provide for permanent reporting in indelible ink in a bound notebook;
(4)
Require that each report include the following:
(i)
The record number.
(ii) The date.
(iii) The time.
(iv) The location of the incident.
(v) A detailed description of the incident.
(vi) The persons involved in the incident.
(vii) The security personnel assigned to the incident.
9.2.6
The establishment of employee procedures designed to permit detection
of any irregularities, theft, cheating, fraud, or the like;
9.2.7
Maintenance of a list of persons barred from the Gaming Facility;
9.2.8
In accordance with section 8.4.1 of the Compact, except as provided
in subdivision 8.4.1(d) of the Compact, no State Gaming Agency regulation
shall be effective with respect to the Tribe's Gaming Operation
unless it has first been approved by the Association, and further,
the Tribe has had an opportunity to review and comment on the proposed
regulations.
9.3
Insurance Requirements. Pursuant to the Tribal/State Compact,
the Gaming Contractor shall ensure that the Enterprise shall carry
a minimum of Five Million Dollars ($5,000,000.00) liability insurance
to protect the public in the event of an accident.
9.4
IRS Requirements. The General Manager shall be responsible for
seeing that Gaming Activity is managed in accordance with Tribal and
Federal law and that such Gaming Activity complies with all IRS reporting
requirements.
9.5
Audit Requirements.
9.5.1
Annual Enterprise Audit The Tribal Commission and the General
Manager of the Enterprise shall obtain an annual independent audit
of such Enterprise by a certified public accountant using the accounting
standards for audits of casinos of the American Institute of Certified
Public Accountants.
9.5.2
Contract Audits Each contract between the Management Contractor
and another Person for supplies, services (other than legal and
accounting services) or concessions for a contract amount in excess
of Twenty-five Thousand Dollars ($25,000) annually shall be subject
to an independent audit. For the purposes of the previous sentence,
the term "services" does not include contracts the purpose of which
is to extend financing to the Management Contractor, the Tribe,
or the Enterprise.
9.5.3
Copies A copy of all such audits shall be provided to the
Tribal Commission, the Business Council, State Gaming Agency and
the NIGC.
9.6
Annual Reports from Management Contractor. Management Contractors
must file an annual report with the Tribal Commission and the Business
Council between the 15th and the last day of the 12th month duration
of each such License period. The report include, at a minimum, the
following information:
9.6.1
The name, address and telephone number of the Licensee;
9.6.2
The names, addresses and titles of all of its current managers of
the Licensee;
9.6.3
A description of the Gaming operated and Gross Revenue;
9.6.4
The name and address of the Person who will be designated as Primary
Management Official, or new Key Employees over the next License
Term;
9.6.5
Written proof that the Licensee has paid to the National Indian
Gaming Commission such fees as Federal and Tribal law may require
it to pay;
9.6.6
A sworn statement that the Licensee has complied with the IRS including
written notice of customer winning;
9.6.7
The number of full-time equivalent people, on an annualized basis,
employed by the operation during the past twelve (12) months, together
with a projection of the number of full-time equivalent people who
are expected to be employed during the next license period;
9.6.8
A sworn statement that the Licensee will continue to comply with
all Tribal and Federal laws applicable to Gaming;
9.6.9
The name, address and signature of the agent who will accept service
of process on behalf of the Licensee, who must reside on the Reservation;
and
9.6.10
If the Licensee is a corporation, a copy of any amendment to its
articles of incorporation, properly certified by the incorporating
government, unless a current copy has already been filed with the
Tribal Commission.
9.7
Management Contracts.
9.7.1
Each Management Contract is subject to the prior approval of the
National Indian Gaming Commission.
9.7.2
Each Management Contract shall be approved by the Business Council.
In making its selection, the Business Council shall review the following:
(1)
Background information on the proposed Management Contractor including:
its name, its address, the names and addresses of each Person
or entity having a direct financial interest or management responsibility
for the proposed management contractor, and in the case of a corporation
the names and addresses of each member of its board of directors
and all stockholders who hold directly or indirectly ten percent
(10%) or more of its issued or outstanding stock.
(2)
A description of any previous experience that each Person listed
in subsection above has had with other Gaming contracts with Indian
Tribes or with the Gaming industry generally, including the name
and address of any tribal government or licensing agency with
which such Person has had a contract relating to Gaming.
(3)
A complete financial statement of each Person listed in subsection
9.7.2(1).
(4)
The Business Council shall undertake any additional steps it can
to determine the character and reputation of each proposed management
contractor.
(5)
if the Business Council, after reviewing the above described information,
still desires to enter into a management contract with the proposed
management contractor, such management contract shall be placed
in writing and submitted to legal counsel for review before the
Business Council approves it.
9.7.3
Any Management Contract approved by the Business Council must contain
at a minimum the following with respect to the Gaming Enterprise
to which the contract is applicable:
(1)
A provision requiring a monthly financial accounting of the Gaming
Enterprise's income and expenses. Such reports shall be prepared
by an independent auditor who is mutually acceptable to the Tribe
and the Management Contractor.
(2)
A provision guaranteeing the Tribe a minimum guaranteed payment
that shall always take precedence over the Management Contractor's
right to recoup development and construction costs.
(3)
An agreed upon ceiling for the Management Contractor's development
and construction costs.
(4)
A provision that the contract shall not exceed seven (7) years
or 40% of Net Revenues.
(5)
A provision for termination of the contract and the grounds for
termination.
9.7.4
If the Business Council is satisfied with the information it receives
it shall submit its proposed contract along with all of the above-described
information to the Tribal Commission, State Gaming Agency and to
the Chairman of the National Indian Gaming Commission for Licensure
approval.
SECTION 10. PROCEDURES FOR RESOLVING DISPUTES BETWEEN THE GAMING
PUBLIC AND GAMING MANAGEMENT
10.1
General Principles. The Tribe values its customers and intends,
at all times, to see that questions, concerns, issues, and/or disputes
raised by the gaming public are addressed in a fair and orderly manner.
However, nothing in these procedures shall be construed as a waiver
of the Tribe's sovereign immunity, or any of the rights and privileges
attendant thereto.
10.2
Initial Dispute Resolution Procedure.
10.2.1
Members of the gaming public who, in the course of their otherwise
lawful and proper use of the Tribe's gaming facilities, have questions
or concerns about the condition or operation of any part of the
gaming facilities, or who otherwise believe themselves to be aggrieved
by some aspect of the condition or operation of any part of the
gaming facilities, shall direct their questions, concerns, or disputes
(hereinafter collectively "disputes") in the first instance to gaming
management at the gaming facility, either orally or in writing.
10.2.2
Concerns or disputes shall be raised as soon as reasonably possible
after the events giving rise to the dispute occur; however, no dispute
may be raised more than 10 calendar days after said events take
place.
10.2.3
Gaming management shall develop formal administrative procedures
for the processing of patron complaints and disputes, such procedures
shall be finalized only after Tribal Council review and approval.
The final procedures shall include the following minimum requirements.
(1)
Upon learning about a dispute, gaming management shall expediently
and informally gather sufficient facts to make an initial determination
about the dispute (i.e. whether the dispute has any merit, whether
further investigation is required, whether to take any corrective
action, etc.).
(2)
Gaming management shall conduct an investigation, if appropriate
and inform the complainant, either orally or in writing, about
its initial determination as soon as is reasonably practicable.
At that time, if the complainant indicates that he or she has
additional concerns or is not satisfied, gaming management shall
schedule an informal hearing, if practical and appropriate, and
thereafter inform the complainant of its final determination and
inform the complainant that if they are dissatisfied with the
final determination they may request a review of the initial determination
by the Tribal Commission.
10.3
Formal Dispute Resolution Procedure.
10.3.1
Complainants who have followed the initial dispute resolution procedure,
and who are unsatisfied with gaming management's initial determination,
may request a review of the initial determination by the Tribal
Commission in writing no later than 5 days after being informed
about the initial determination.
10.3.2
The Tribal Commission may review the initial determination and investigate
the dispute in any manner it chooses. The Tribal Commission, if
it accepts to review the initial determination, may offer the complainant
a fair opportunity to be heard in person or through counsel about
the dispute, either before or after the Tribal Commission makes
its own inquiries. The complainant's opportunity to be heard, if
granted, shall take place within thirty (30) days after the Commission
receives the complainant's written request.
10.3.3
After reviewing and/or investigating (if the Tribal Commission chooses),
and within thirty (30) days after affording the complainant an opportunity
to be heard (if the Tribal Commission chooses), the Tribal Commission
shall issue a written opinion on the complainant's written request
for review, and shall mail a copy of the opinion to the complainant
at his/her last known address. The decision of the Tribal Commission
is final.
TITLE
II - REGULATION OF THE ENVIRONMENT FOR CLASS III GAMING
SECTION 1. INTRODUCTION
1.1
Title. This Title shall be known as "THE SUSANVILLE INDIAN
RANCHERIA CALIFORNIA ENVIRONMENT OFF-RESERVATION IMPACT CODE."
1.2
Authority. This Title is enacted pursuant To the inherent sovereign
powers of the Tribe pursuant to Article VI of the Constitution, and
pursuant to the powers of the Business Council pursuant to Article
VI, Section 2.a, of the Constitution.
1.3
Purpose. The basic purposes of this Code are to:
1.3.1
Inform Inform the Tribe and the public about the potential
significant off-reservation environmental impacts of any (1) expansion
or significant renovation or modification of an existing Tribal
Gaming Facility and/or (2) significant excavation, construction,
or development associated with a Tribal Gaming Facility or proposed
Tribal Gaming Facility.
1.3.2
Identify Identify ways that environmental impacts of the
aforementioned activities can be avoided or significantly reduced
through the use of reasonable alternative or mitigation measures
such as changes in the construction plans.
1.3.3
Disclosure Disclose to the public the reasons why the Business
Council approved a Gaming Facility construction plan if significant
off-reservation environmental impacts are likely to occur.
1.4
Scope or Coverage of This Ordinance. This ordinance shall apply
solely to studies of and decisions related to the potential off-reservation
impacts of any:
1.4.1
Expansion or significant renovation or modification of an existing
Tribal Gaming Facility; and
1.4.2
Significant excavation, construction, or development associated
with a Tribal Gaming Facility or proposed Tribal Gaming Facility.
1.5
Repeal of Prior Laws, and Effect of Repeal. All titles, chapters
and sections of the Tribal Code which pertain to the environment and
are in effect as of the date that this Code becomes operative, are
hereby repealed as to Gaming Activities only, and all other laws,
or parts thereof, inconsistent with the provisions of this Code with
regard to Gaming Activities are hereby repealed.
1.6
Construction. In construing the provisions of this Code, unless
the context otherwise requires, the following shall apply:
1.6.1
This Code shall be liberally construed to effect its purpose and
to promote substantial justice.
1.6.2
Words in the present tense include the future and past tenses.
1.6.3
Words in the singular number include the plural, and words in the
plural number include the singular.
1.6.4
Words of the masculine gender or neuter include masculine and feminine
genders and the neuter.
1.7
Severability. If any section of this Code is invalidated by a
court of competent jurisdiction, the remaining sections shall not
be affected thereby.
1.8
Effective Date. This Code shall be effective upon certification
by the Business Council under the Tribal Constitution.
SECTION 2. DEFINITIONS
2.1
"Cumulative Impacts" means two or more individual effects which,
when considered together, are considerable or which compound or increase
other environmental impacts.
2.2
"Environmental Assessment" means an initial study of the environmental
impacts of a proposed Project.
2.3
"Environmental Reports" means any environmental assessment,
environmental report, or environmental statement, as the case may
be.
2.4
"Impact" means the direct or primary environmental effects which
are caused by the Project and occur at the same time and place.
2.5
"Mitigation" means avoiding an impact altogether by not taking
a certain action or parts of an action; minimizing impacts by limiting
the degree or magnitude of the action and its implementation; rectifying
the impact by repairing, rehabilitation or restoring the impacted
environment; reducing or eliminating the impact over time by preservation
and maintenance operations during the life of the action; compensating
for the impact by replacing or providing substitute resources or environments.
2.6
"Project" means any: (1) expansion or significant renovation or
modification of an existing Tribal Gaming Facility and/or (2) significant
excavation, construction, or development associated with a the Tribe's
Gaming Facility or proposed Tribal Gaming Facility.
SECTION 3. BASIC REQUIREMENTS
3.1
Environment Assessment or Finding of No Significant Impact. Before
commencing any expansion or significant renovation or modification
of an existing Tribal Gaming Facility, or any significant excavation,
construction, or development associated with a Tribal Gaming Facility
or proposed Tribal Gaming Facility, the Tribe shall require the development
of an Environmental Assessment which the Business Council shall use
to determine if there is substantial evidence that the proposed Project
will have a significant off-reservation environmental impact. If the
Business Council finds that it will not, it shall follow the procedures
detailed in this Code for the issuance of a Finding of No Significant
Impact (FONSI).
3.2
Off-Reservation Impact. If, however, the Business Council finds
that there is substantial evidence that the proposed Project will
have a significant off-reservation environmental impact, defined as
a substantial adverse impact in the physical conditions of the off-reservation
areas as they existed at the time of the study, the Business Council
shall follow the procedures detailed in this Code for the preparation
of an Environmental Report (ER).
3.3
Response to Adverse Findings. When an Environmental Assessment
shows that an expansion or significant renovation or modification
of an exiting Tribal Gaming Facility or any significant excavation,
construction, or development associated with a Tribal Gaming Facility
or proposed Tribal Gaming Facility would cause substantial adverse
changes in the off-reservation environment, the Business Council shall
respond to the finding by one or more of the following methods:
3.3.1
Change the proposed Project.
3.3.2
Impose conditions on the approval of the Project.
3.3.3.
Adopt plans or ordinances to control the adverse impact.
3.3.4.
Choose an alternative way to meet the same need.
3.3.5.
Disapprove the Project.
3.3.6.
Find that changes in or alternatives to the Project are not feasible.
3.3.7.
Find that the unavoidable, significant environmental damage is acceptable,
because the Tribe's economic, legal, social, technological or other
benefits of the proposed Project outweigh its unavoidable off-reservation
environmental impacts.
SECTION 4. POLICIES GOVERNING ENVIRONMENTAL ASSESSMENTS AND REPORTS
It shall
be the policy of the Tribe that:
4.1
Review of Off-Reservation Impacts. These studies shall serve not
only to protect the environment but also to demonstrate to the off-reservation
community that it is being protected and that the Tribe has, in fact,
analyzed and considered the off-reservation impacts of its actions.
4.2
Notice to Public. These studies shall inform the Tribal and local
governments and the public of the anticipated off-reservation environmental
impacts of the Project.
4.3
Decision-Making. These studies shall allow the Tribal government
to make decisions regarding these proposed Projects with the off-reservation
environmental consequences in mind.
4.4
No Delay of Projects. These studies shall be undertaken in a manner
which is designed to allow the Tribe to make informed and balanced
decisions, not to prevent, delay or preclude the advancement of Gaming.
4.5
Off-Reservation Influence. These studies shall be prepared early
enough to allow off-reservation environmental concerns to influence
the Project's design and construction, yet late enough to allow for
a real and honest assessment of the Project's off-reservation environmental
impact.
4.6
Tribal/Federal Cooperation. These studies shall be prepared in
a manner which eliminates duplication of federal efforts by providing
for joint Tribal/federal preparation of environmental documents.
4.7
Simple Writing. These studies shall be analytic, rather than lengthy,
and shall be written in plain language. They shall also mention, only
briefly, issues other than significant off-reservation environmental
impacts in the Environmental Report text.
4.8
Weighing Negative Projects. The Tribe shall give serious consideration
to preventing off-reservation environmental damage and should not
approve a Project as proposed if there are feasible alternatives or
mitigation measures available that would substantially lesson any
significant adverse off-reservation impacts that the Project would
create. In deciding whether to approve a Project that has negative
off-reservation economic impact, the Tribe shall consider the specific
economic, environmental, legal social and technological factors involved.
4.9
Public Comment. The Tribe shall assure adequate opportunity and
time for public review and comment on all Environmental Assessments,
an Environmental Report, and a Finding of No Significant Impact, and
it shall review, evaluate and respond to comments received on each
of these environmental studies.
4.10
Approving Projects. The Tribe may approve a Project which would
cause significant effect on the off-reservation environment if it
finds that:
4.10.1
There is no feasible way to lesson or avoid the significant off-reservation
environmental impact.
4.10.2
The specifically identified expected benefits of the Project outweigh
the policy of reducing or avoid significant off-reservation environmental
impacts of the Project.
4.11
Assignment of Responsibilities. Where a Project is under the requirements
of the National Environmental Protection Act, the Business Council
may delegate the responsibilities assigned to it under this Code in
whole or in part to the United States government agency which is serving
as the lead agency on the NEPA review. Provided, however, that the
Business Council asks that federal agency to study and render findings
on the off-reservation impact of the Project and perform the local
consultation required by this Code.
4.12
Time. The Tribe shall allow adequate time to review an Environmental
Assessment or ENVIRONMENTAL REPORT for completeness. Acceptance of
an Environmental Assessment or ENVIRONMENTAL REPORT as complete shall
not prohibit the Tribe from requiring additional information during
its review of the findings.
4.13
Consultation. The Tribe shall make an effort to consult with the
planning and design team on the potential off-reservation environmental
impacts of any such Project during the planning and design stage.
SECTION 5. INITIAL ENVIRONMENTAL ASSESSMENT REQUIRED
5.1
Applicability. When the Tribe commences any expansion or significant
modification of an existing Tribal Gaming Facility or any significant
excavation, construction or development associated with a new or proposed
Tribal Gaming Facility, the Business Council shall require an initial
Environmental Assessment to determine if the Project may have a significant
effect on the environment. This initial study may rely on expert opinion
supported by facts, technical studies or other substantial evidence
to documents its findings.
5.2
Process for Significant Effects. If, when reviewing this Environment
Assessment, the Business Council determines that there is substantial
evidence that any aspect of the Project, either individually or cumulatively,
may cause a significant effect on the off-reservation environment,
regardless of whether the overall effect of the Project is adverse
or beneficial, it shall do one of the following:
5.2.1
Require an expanded Environmental Assessment,
5.2.2
Require the preparation of an Environmental Report, or
5.2.3
Use a previously prepared Environmental Assessment or Environmental
Report, which it determines would adequately analyze the Project
at hand or require an expanded study of one or more aspects of the
proposed Project.
5.3
Purposes of Environmental Assessments. The purpose of an Environmental
Assessment shall be for, but not limited to, the following:
5.3.1
To assist the Tribe in determining when a Finding of No Significant
Impact is appropriate.
5.3.2
To enable the Tribe to modify or amend the Project to minimize the
off-reservation impact
5.3.3
To focus attention on those off-reservation impacts that are significant
and identify those off off-reservation environmental impacts that
are not significant
5.3.4
To explain the reasons for determining that potentially significant
off- reservation environmental impacts would not be significant.
5.3.5
To eliminate the need for unnecessary Environmental Impact Studies.
5.4
Substance of Environmental Assessments. The substance of an Environmental
Assessment shall contain, at a minimum, but not limited to, the following:
5.4.1
A description of the Project, including its location.
5.4.2
An identification of the environmental setting surrounding the Project.5.4.3
A listing or chart of environmental impacts covered by the study,
along with a narrative report that discusses those impacts.5.4.4
A discussion of the ways that negative off-reservation impacts can,
or have been, addressed.
5.4.5
An examination of how the Project fits into local land use patterns.
5.4.6
The name of the person or persons who prepared the report.
SECTION 6. BUSINESS COUNCIL REVIEW OF AN ENVIRONMENTAL ASSESSMENT
6.1
Review. Following the completion of an Environmental Assessment,
the Business Council shall review its findings and determine whether
the entire record, including that study, justifies the issuance of
a proposed Finding of No Significant Impact or the development of
an expanded Environmental Assessment or an Environmental Report. In
so doing, the Business Council shall utilize the criteria set forth
in Sections 7 through 9 below.
6.2
Expanded Environmental Assessments. The Business Council shall
call for the production of an expanded Environmental Assessment when
it determines that the proposed Project will have an impact on the
off-reservation environment, but such impact is limited enough that
it can be addressed in a shorter more concise study.
6.3
Limited Environmental Assessments. The Tribe may require an ER
on only those aspects of the Project that present a significant adverse
impact off-reservation.
6.4
Urban and Rural Distinctions. A determination of whether a Project
may have a significant off-reservation impact on the environment calls
for careful judgment on the part of the Business Council, based to
the extent possible on scientific and factual data. An impact that
may not be significant in an urban area may be significant in a rural
area.
6.5
Mitigating Effects. If the Tribe determines that a Project will
have off-reservation impacts, but this impact is mitigated to the
point that the impact is no longer significant and the whole record
taken together shows no significant impact, a FONSI shall be issued.
6.6
Evidentiary Requirements. The existence of a public controversy
over the off-reservation impact will not require an ER, if the evidence
in the report does not show that significant impact. Substantial evidence
shall not be found from opinion or narrative but only from facts,
reasonable assumptions predicted on facts and expert opinions supported
by facts.
6.7
Archeological or Historical Resource. A Project which alters,
in an advanced manner, those physical characteristics of an Archeological
or Historical Resource (those listed in or eligible for listing in
the California Register of Historical Resources or which are otherwise
of historical significance) shall require mitigation.
6.8
Biological Species. A Project which endangers the overall health
of a biological species shall require mitigation.
SECTION 7. FINDINGS OF NO SIGNIFICANT IMPACT (FONSI)
The Business
Council shall issue a proposed FONSI when:
7.1
It finds that in view of the entire records before it, including the
Environmental Assessment, there is no substantial evidence that the
Project will have a significant impact on the off-reservation environment.
7.2
The mitigation steps agreed to by the developer clearly mitigate
the off- reservation impacts to the point that no significant impacts
would occur.
7.3
The Project, as modified, would have no significant impacts on the
off-reservation environment.
SECTION 8. FONSI ELEMENTS
8.1
A brief description of the Project.
8.2
The Project's location, preferably shown on a map.
8.3
A proposed finding that the Project will not have a significant effect
on the off-reservation equipment.
8.4
An attached copy of the Environmental Assessment.
8.5
A description of mitigation measures taken.
SECTION 9. PROCEDURE FOR APPROVAL OF A FONSI
9.1
Notice. If the Business Council determines that it is prepared
to approve a FONSI, it shall prepare a notice which includes each
of the following items and forward that notice to the Clearinghouse
of the State Office of Planning and Research, the Board of Supervisors
and the County Clerk of the county in which the Project will be located.
9.2
Contents of Notice. This notice required under Section 9.1 shall
contain, at a minimum:
9.2.1
Identification of the Project and a brief description of it.
9.2.2
The date on which the Business Council approved the Project.
9.2.3
A determination by the Business Council that the Project will not
have a significant effect on the off-reservation environment.
9.2.4
A statement that a FONSI has been prepared pursuant to this ordinance.
9.2.5
The address where a copy of the FONSI may be examined.
SECTION 10. DECISION TO PREPARE AN ENVIRONMENTAL REPORT
10.1
An Environmental Report shall be prepared when the Business Council
finds that there is substantial evidence that the proposed Project
will have a substantial impact on the off-reservation environment.
SECTION 11. DETERMINING THE SCOPE OF THE ENVIRONMENTAL REPORT
11.1
Consultation with State and Local Agencies. Before determining
when to commence an Environmental Report, the Business Council shall
arrange for consultation with state and local agencies, including
the Board of Supervisors of the county in which the Project will be
located, that have an interest in the specific environmental concerns
raised by the Project and seek to have input on the nature and scope
of the Environmental Report. Nothing herein shall require the Business
Council to provide these agencies with more than 30 days to submit
the Environmental Report concerns.
11.2
Consultation with Other Persons or Organizations. Prior to completing
the Environmental Report, the Business Council may arrange for consultation
with any person or organization believed to be concerned with the
off-reservation environmental impact of the proposed Project. Any
person may submit information or comments to the Business Council
to assist it in preparing and evaluating the Environmental Report.
SECTION 12. CONDUCTING AND PREPARING THE ENVIRONMENTAL REPORT
12.1
The Business Council may arrange for the Environmental Report
to be prepared by its staff, enter a contract with a third party to
prepare the study, accept an Environmental Report prepared by the
federal government or an Environmental Report prepared by the state
on the Project. In determining the scope of an Environmental Report,
the Business Council shall meet with and consider the views of the
Board of Supervisors of the county in which the Project is to be located.
It may also use a previously prepared Environmental Report.
SECTION 13. PREPARATION AND CERTIFICATION OF ENVIRONMENTAL REPORT
13.1
The Business Council shall prepare or arrange to have prepared an
Environmental Report, which ' shall be circulated for public comment
before the Project is approved.
13.2
Contents of Environmental Report. The Environmental Report shall
contain:
13.2.1
The Environmental Report and all revisions made to it.
13.2.2
A summary of the comments and recommendations received on the proposed
draft.
13.2.3
A list of persons and organizations wishing to commenting on the
draft.
13.2.4
The response of the Business Council to those comments.
13.2.5
Any additional information the Business Council deems relevant.
13.3
Notice of the Final Environmental Report.
13.3.1
Notice of Completion The Business Council shall provide notice
of completion of the Environmental Report of the public, the State
Clearinghouse Office of Planning and Research, and the Board of
Supervisors and County Clerk of the county in which the Project
will be located. The notice to the County Clerk shall ask the clerk
to post that notice in the county office within 24 hours of receipt
and keep it posted for a minimum of 20 days.
13.3.2
Contents of Notice This notice shall contain, at a minimum:
(1)
A brief description of the Project.
(2)
Starting and ending dates for the receipt of public comments and
information on where and how those comments can be submitted.
(3)
The date, time and place of any scheduled public meetings
or hearings to be held by the Tribe on the proposed Project.
(4)
The address or addresses where copies of the final Environmental
Report can be viewed and/or obtained.
(5)
All comment periods shall be for a minimum of 20 days.
SECTION 14. BUSINESS COUNCIL FINDINGS FOLLOWING A FINAL ENVIRONMENTAL
REPORT
After reviewing
the public comments received on a final Business Council certified Environmental
Report, the Business Council shall issue one or more of the following
findings:
14.1
That changes and alterations have been required in or incorporated
into the Project which avoid or substantially lessen the significant
environmental effect as identified in the Environmental Report.
14.2
Such changes or alterations are within the responsibility or jurisdiction
of an entity other than the Tribe, and the Tribe recommends that they
be made.
14.3
Specific economic, legal, social, technological or other considerations,
including provision of employment opportunities for highly trained
workers, make infeasible the mitigation measures or Project alternatives
identified in the final Environmental Report.
SECTION 15. NOTICE OF DETERMINATION
15.1
Upon final review and approval of the Project, the Business Council
shall publish a notice in a newspaper of general circulation, with
the State clearinghouse Office of Planning and Research, and with
the Board of Supervisors and County Clerk of the county in which the
Project will be located, a notice of approval or rejection of the
Project. That notice shall contain at a minimum:
15.1.1
The name and description of the Project and its locations.
15.1.2
The date upon which the Business Council approved the Project.
15.1.3
The determination of the Business Council that the Project will
or will not have a significant effect on the off-reservation environment.
If it will have such an effect, this notice shall be accompanied
by a statement of overriding considerations which shall state that
the Projects economic, legal, social, technological or other benefits
override the unavoidable environmental risks associated with the
Project.
15.1.4
A statement that the Environmental Report was prepared.
15.1.5
A description of the mitigation measures required.
15.1.6
The address where a copy of the final Environmental Report can be
examined.
SECTION 16. LIMITED WAIVER FOR ACTIONS IN GAMING DISPUTES COURT
With the
passage of this Code, the Business Council expressly waives its immunity
from suit to allow actions by a Management Contractor to bring disputes
with respect to Business Council determinations made under this Title.
Such disputes shall be brought solely under the Gaming Review Board
under Title I, Section 4.24 of this Code.
TITLE
III - ADOPTION OF FEDERAL OCCUPATIONAL SAFETY AND HEALTH STANDARDS FOR
THE CLASS III GAMING FACILITY
The adoption of 29 C.F.R. part 1910 - Occupational Safety and Health
Standards and part 1926 - Safety and Health Regulations for Construction,
together will serve to regulate the safety and inspection of retail
sale, wholesale/commercial and light industrial labor practices, along
with the standard of tribal labor force protections from hazardous workforce
environments and exposure to potential contaminants within each of these
areas, establishment of contract work hours and other labor safety standards
as deemed necessary by the tribal government, along with the enforcement
of these codes including the setting of penalties.
SECTION 1. ADOPTION BY REFERENCE
1.1
Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA ("Tribe"
or "Tribal") finds that:
1.1.1
A certain document, three copies of which are on file in the office
of the Tribal Secretary, being marked and designated as 29 C.F.R.
Part 1910 - Occupational Safety and Health Standards and
part 1926 - Safety and Health Regulations for Construction, published
by the U.S. Department of Labor, Occupational Safety and Health
Administration, is hereby adopted as the Tribal OSHA Standards,
for regulating the safety and inspection of retail sale, wholesale/commercial
and light industrial labor practices, along with the standard of
tribal labor force protections from hazardous workforce environments
and exposure to potential contaminants within each of these areas,
establishment of contract work hours and other labor safety standards
as deemed necessary by the tribal government, along with provisions
for submission of labor contracts, building plans and hazardous
activity permits for tribal government approval, collection of fees,
and enforcement of these codes including the setting of penalties,
where necessary.
1.2
Inconsistent Codes Repealed. All articles, titles, chapters, or
other codes or portions thereof, in conflict herewith are hereby repealed
in that respect only.
1.3
Certification of Adoption and Publishing. The Tribal Secretary
shall certify the adoption of this Tribal Ordinance and cause the
same to be published as required by law.
1.4
Effective Date. This Tribal Ordinance and the rules, regulations,
provisions, requirements, orders, and matters established and adopted
hereby shall take effect and be in full force and effect from and
after the date of its final passage and approval.
TITLE
IV - ADOPTION OF AMERICANS WITH DISABILITIES ACT STANDARDS FOR CLASS
III GAMING FACILITY
The adoption of 28 C.F.R. Part 35, the Nondiscrimination on the Basis
of Disability in State and Local Government Services, will serve to
effectuate subtitle A of Title II of the Americans with Disabilities
Act of 1990 (104 Stat. 327, Pub. L. 101-336, as amended), which prohibits
discrimination on the basis of disability by public entities.
SECTION 1. ADOPTION BY REFERENCE
1.1
Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA ("Tribe"
or "Tribal") finds that:
1.1.1
A certain document, three copies of which are on file in the office
of the Tribal Secretary, being marked and designated as 28 C.F.R.
Part 35 - Nondiscrimination on the Basis of Disability in State
and Local Government Services, is hereby adopted as the Tribal
ADA Standards, which prohibits discrimination on the basis of handicap
in tribally assisted programs and activities.
1.2
Inconsistent Codes Repealed. All articles, titles, chapters, or
other codes or portions thereof, in conflict herewith are hereby repealed
in that respect only.
1.4
Certification of Adoption and Publishing. The Tribal Secretary
shall certify the adoption of this Tribal Ordinance and cause the
same to be published as required bylaw.
1.5
Effective Date. This Tribal Ordinance and the rules, regulations,
provisions, requirements, orders, and matters established and adopted
hereby shall take effect and be in full force and effect from and
after the date of its final passage and approval.
TITLE
V - ADOPTION OF THE FDA 1999 FOOD CODE FOR A CLASS III GAMING FACILITY
The adoption of the 1999 edition of the "Food Code" regulating the retail
sale, commercial and institutional service, and vending of food; defining
permit holder, person in charge, employee, food, potentially hazardous
food, food establishment, safe material, sanitation, and other terms;
and providing standards for employee food safety knowledge, health,
and practices; food sources, preparation, holding temperatures, and
protection; equipment design, construction, installation, cleaning,
and sanitation; water, and liquid and solid wastes; facilities construction
and maintenance, and storage and use of poisonous and toxic materials;
requiring a permit to operate a food establishment; and providing for
the restriction or exclusion of employees, the examination and condemnation
of food, and the enforcement of this code including the setting of penalties.
SECTION 1. ADOPTION BY REFERENCE
1.1
Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA ("Tribe"
or "Tribal") finds that:
1.1.1
A certain document, three copies of which are on file in the office
of the Tribal Secretary, being marked and designated as the Food
Code, 1999 Recommendations of the United States Public Health Service/Food
and Drug Administration as published by the U.S. Department
of Health and Human Services, Public Health Service, Food and Drug
Administration be, and is hereby adopted as, the Food Code of the
Tribe, located in the State of California; for regulating the design,
construction, management and operation of food establishments, and
providing for plans submission and approval and the issuance of
permits and collection of fees therefore.
1.2
Insertions and Changes. That the following provisions are hereby
revised as follows:
Paragraph
8-811.10(B) Insert (as provided by California law) Paragraph 8-813.10(B)
Insert (as provided by California law) Subparagraph 8-811.10(B)(2)
Insert (as provided by California law)
1.3
Inconsistent Codes Repealed. All articles, titles, chapters, or
other codes or portions thereof, in conflict herewith are hereby repealed
in that respect only.
1.4
Certification of Adoption and Publishing. The Tribal Secretary
shall certify the adoption of this Tribal Ordinance and cause the
same to be published as required bylaw.
1.5
Effective Date. This Tribal Ordinance and the rules, regulations,
provisions, requirements, orders, and matters established and adopted
hereby shall take effect and be in full force and effect for the period
of 36 months from and after the date of its final passage and approval.
TITLE
VI - ADOPTION OF FEDERAL SAFE DRINKING WATER STANDARDS
The adoption of 40 C.F.R. Part 141 - National Primary Drinking Water
Regulations and part 142 - National Primary Drinking Water Regulations
Implementation, together will serve to regulate the safety and inspection
of ground and surface water aquifers and public drinking water systems
on tribal lands.
SECTION 1. ADOPTION BY REFERENCE
1.1
Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA ("Tribe"
or "Tribal") finds that:
1.1.1
A certain document, three copies of which are on file in the office
of the Tribal Secretary, being marked and designated as 40 C.F.R.
Part 141 - National Primary Drinking Water Regulations and
part 142 - National Primary Drinking Water Regulations Implementation,
published by the U.S. Environmental Protection Agency, is hereby
adopted as the Tribal Safe Drinking Water Standards, for regulating
the safety and inspection of ground and surface water aquifers and
public drinking water systems on tribal lands.
1.2
Inconsistent Codes Repealed. All articles, titles, chapters, or
other codes or portions thereof, in conflict herewith are hereby repealed
in that respect only.
1.3
Certification of Adoption and Publishing. The Tribal Secretary
shall certify the adoption of this Tribal Ordinance and cause the
same to be published as required bylaw.
1.4
Effective Date. This Tribal Ordinance and the rules, regulations,
provisions, requirements, orders, and matters established and adopted
hereby shall take effect and be in full force and effect from and
after the date of its final passage and approval.
TITLE
VII - ADOPTION OF THE UNIFORM BUILDING CODE, UNIFORM MECHANICAL CODE,
UNIFORM PLUMBING CODE, NATIONAL ELECTRICAL CODE AND OTHER RELEVANT FEDERAL
BUILDING AND CONSTRUCTION STANDARDS
The adoption of 24 C.F.R. Part 200.925c -- Model Codes, including the
Uniform Building Code, Uniform Mechanical Code, Uniform Plumbing Code,
National Electrical Code and others, together will serve to regulate
the operational safety and inspection of all relevant building and construction
activities conducted on tribal lands.
SECTION 1. ADOPTION BY REFERENCE
1.1
Findings. The SUSANVILLE INDIAN RANCHERIA CALIFORNIA ("Tribe"
or "Tribal") finds that:
1.1.1
A certain document, three copies of which are on file in the office
of the Tribal Secretary, being marked and designated as 5 U.S.C.
552(a) and 1 CFR part 51 is hereby adopted as the Tribal Uniform
Building Code, Tribal Uniform Mechanical Code, Tribal Uniform Plumbing
Code, Tribal Electrical Code and Tribal Building and Construction
Standards, for regulating the construction of buildings on tribal
lands. The aforementioned documents are:
(A)Model
Building Codes-
(i)
The BOCA National Building Code, 1993 Edition, The BOCA National
Plumbing Code, 1993 Edition, and the BOCA National Mechanical
Code, 1993 Edition, excluding Chapter I, Administration, for
the Building, Plumbing and Mechanical Codes and the references
to fire retardant treated wood and a distance of 4 feet (1219
mm) from the wall in exception number 1 of paragraph 705.6 and
707.5.2 number 2 (Chapter 7) of the Building Code, but including
the Appendices of the Code. Available from Building Officials
and Code Administrators International, Inc., 405 1 West Flossmoor
Road, Country Club Hills, Illinois 60478.
(ii)
Standard Building Code, 1991 Edition, including 1992/1993 revisions.
Standard Plumbing Code, 1991 Edition, Standard Mechanical Code,
1991 Edition, including 1992 revisions, and Standard Gas Code,
1991 Edition, including the 1992 revisions, but excluding Chapter
I--Administration from each standard code and the phrase "or
fire retardant treated wood" in reference note (a) of table
600 (Chapter 6) of the Standard Building Code, but including
Appendices A, C, E, J, K, M, and R. Available from the Southern
Building Code Congress International, Inc., 900 Montclair Road,
Birmingham, Alabama 35213.
(iii)
Uniform Building Code, 1991 Edition, including the 1993 Accumulative
Supplement, but excluding Part I-- Administrative, and the reference
to fire retardant treated plywood in section 2504(c)3 and to
fire retardant treated wood in 1-HR type III and V construction
referenced in paragraph 4203.2., but including the Appendix
of the Code. Uniform Plumbing Code, 1991 Edition, including
the 1992 Code Changes but excluding Part I--Administration,
but including the Appendices of the Code. Uniform Mechanical
Code, 1991 Edition, including the 1993 Accumulative Supplement
but excluding Part I--Administrative, but including the Appendices
of the Code. All available from the International Conference
of Building Officials, 5360 South Workman Mill Road, Whittier,
California 90601.
(B)
National Electrical Code, NFPA 70, 1993 Edition, including appendices.
Available from the National Fire Protection Association, Batterymarch
Park, Quincy, Massachusetts 02269.
(C)
National Standard Plumbing Code, 1993 Edition. Available from
the National Association of Plumbing-Heating-Cooling Contractors,
P.O. Box 6808, Falls Church, Virginia 22046.
1.1.2
Model Code Compliance Requirements.
(A)When
a multifamily or care-type property is to comply with one of the
model building codes set forth in paragraph 1.1.1 (A) of this
section, the following requirements of those model codes shall
not apply to those properties:
(i)
Those provisions of the model codes that do not pertain to residential
or institutional buildings;
(ii)
Those provisions of the model codes that establish energy requirements
for multifamily or care-type structures; and
(iii)
Those provisions of the model codes that require or allow the
issuance of permits of any sort.
1.1.3
Where the model codes set forth in paragraph 1.1.1 (A) of his section
designate a building, fire, mechanical, plumbing or other official,
the Secretary's designee in the HUD Field Office serving the jurisdiction
in which the property is to be constructed shall act as such official.
1.1.4
Designation of Model Codes. When a multifamily or care-type
property is to comply with a model code, it shall comply with one
of the model codes designated in paragraphs 1.1.3 (A-C) of this
section, and with any other code or codes identified in the same
paragraph. However, seismic design is a mandatory requirement. In
addition, the property shall comply with all of the standards that
are incorporated into the code or codes by reference. By the time
of application for insurance or other benefits, the developer or
other interested party shall notify the Department of the code or
group of codes to which the developer intends to comply.
(A)
The BOCA National Building Code, The BOCA National Plumbing and
The BOCA National Mechanical Code, 1993 Editions.
(B)
Standard Building Code, Standard Plumbing Code, Standard Mechanical
Code and Standard Gas Code, 1991 Editions, including the revisions
specified in paragraph 1.1.1 (A)(ii) of this section, and the
National Electrical Code, 1993 Edition.
(C)
Uniform Building Code, Uniform Plumbing Code and Uniform Mechanical
Code, 1991 Editions, including the 1993 Accumulative Supplements
to the Building and Mechanical Codes, and the 1992 Code Changes
to the Uniform Plumbing Code, and the National Electrical Code,
NFPA 70, 1993 Edition.
(D)
The National Electrical Code, NFPA 70, 1993 Edition.
1.2
Inconsistent Codes Repealed. All articles, titles, chapters, or
other codes or portions thereof, in conflict herewith are hereby repealed
in that respect only.
1.3
Certification of Adoption and Publishing. The Tribal Secretary shall
certify the adoption of this Tribal Ordinance and cause the same to
be published as required by law.
1.4
Effective Date. This Tribal Ordinance and the rules, regulations,
provisions, requirements, orders, and matters established and adopted
hereby shall take effect and be in full force and effect from and after
the date of its final passage and approval.
CERTIFICATION
We, hereby
certify that the Tribal Gaming Ordinance was adopted by the Susanville
Indian Rancheria Tribal Business Council at a duly called meeting held
June 24, 2002 with a vote of 4 for, 3 against, 0 abstain.
ATTEST;
| /s/ |
/s/ |
|
Carolyn
Shelly
|
Valerie
Edwards
|
| Secretary/Treasurer |
Tribal
Chairman |
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