Section 3-316 LIMITATIONS PERIOD.

No fine shall be assessed, nor any action taken for any violation of this Ordinance unless a
notice of such action is filed with the Gaming Commission or the Tribal Court within thirty
(30) days of the infraction.

ARTICLE IV
EXECUTIVE DIRECTOR
Section 3-401 QUALIFICATIONS OF EXECUTIVE DIRECTOR; SALARY.
A. The position of Executive Director is hereby created. The Executive Director shall be

appointed by the Tribal Chairperson, subject to confirmation by the Tribal Council.
Selection and employment of the Executive Director shall also be conducted in accordance
with the Tribe's employment policies.

B. The Executive Director may not be a member of the Tribal Council, the Tribal
Chairperson, the Vice-Chairperson, a member of the Gaming Authority, or a person holding
any elective office, nor any officer or official of any political party.

& The Executive Director must have at least five (5) years of administrative
experience in public or business administration or other relevant work experience and
possess broad management skills and have as a minimum a degree in Business
Administration, Law, Accounting, Criminal Justice or like degree from an accredited college
or university. Notwithstanding these requirements, a candidate with ten (10) or more
years of experience in management positions in a gaming regulatory body may be
appointed as the Executive Director.

D. The Executive Director shall devote his or her entire time and attention to the duties
imposed under this Ordinance and the business of the Gaming Commission and shall not
pursue any other business or occupation or hold any other office of profit unless approved
by the Gaming Commission.

E. The Executive Director shall not have any pecuniary interest in any business or
company holding a license under this Ordinance or doing business with any person or
entity licensed under this Ordinance.

Section 3-402 AUTHORITY OF EXECUTIVE DIRECTOR.
A. The Executive Director shall furnish to the Gaming Commission such administrative

and clerical services and such furnishings, equipment, supplies, stationery, books and all
other things that the Gaming Commission may deem necessary or desirable in carrying out
its functions.

B. The Executive Director shall employ division directors who possess at least two (2)
years of training and experience in the fields of accounting, investigation, law enforcement,
law or gaming. ‘

15


10.

11.

12.

13.

Name of business, business address, business telephone number(s), federal
tax identification number (or social security number, if a sole
proprietorship), main office address (if different from business address), any
other names used by the applicant in business, and type of service(s)
applicant will provide;

Whether the applicant is a partnership, corporation, limited liability
company, sole proprietorship or other entity;

If the applicant is a corporation, the state of incorporation and the
qualification to do business in the state, if the Gaming Operation is in a
different state than the state of incorporation;

Trade name, other names ever used and names of any wholly owned
subsidiaries or other businesses owned by the applicant or its principals;

General description of the business and its activities;

Whether the applicant will be investing in, or loaning money to, the Gaming
Operation, and, if so, how much;

A description of any existing and previous business relationships with the
gaming industry generally, including ownership interests in those
businesses;

A list of Indian tribes with which the applicant has an existing or previous
business relationship, including ownership, financial or management
interests in any non-gaming activity;

Names, addresses and telephone numbers of three (3) business references
with whom the applicant has regularly done business for the last five (5)
years;

The name and address of any licensing or regulatory agency with which the
applicant has filed an application for a license or permit related to gaming,
whether or not such license or permit was granted;

If the applicant has ever had a license revoked for any reason, the
circumstances involved;

A list of lawsuits to which the applicant has been a defendant, including the
name and address of the court involved, and the date and disposition, if any;

A list of the applicant’s funding sources and any liabilities of Fifty Thousand
Dollars ($50,000.00) or more or such higher amount as the Gaming
Commission may establish by regulation;

36


Notification by the State Gaming Agency that it intends to deny an application
for a determination of suitability or a renewal of a determination of
suitability;

The Gaming Commission has probable cause to believe that the Licensee has,
by act or omission, violated provisions of this Ordinance or the Tribal-State
Compact, the Tribe’s gaming regulations, or any condition of a conditional
gaming license;

The Gaming Commission has reason to believe that the continued licensing of
a person constitutes an immediate threat to the public health, safety or
welfare;

The Gaming Commission has reason to believe that the Licensee is involved
in any theft, misappropriation, misuse or abuse of tribal assets;

The Gaming Commission has received reliable information from a state or
tribal gaming regulatory body raising concerns about the applicant’s
suitability;

The Licensee willfully fails to disclose any required information on any State
or Tribal gaming license application;

The Licensee fails to respond to a request from the Gaming Commission
within ten (10) calendar days from the initial date of the request; or

The Licensee’s employment with the Gaming Operation is terminated,
voluntarily or involuntarily.

Section 3-615 RECORDS RETENTION.

The Gaming Commission shall retain, for no less than three (3) years from the date a
Licensee is terminated from employment with the Tribe, the Gaming Authority or the
Gaming Commission, the following documentation:

A. Applications for licensing;

B. Investigative reports; and

& Gaming Licensee eligibility determinations.

Section 3-616 REQUIRE OF LICENSES FOR GAMING RESO
SUPPLIERS.

A. Gaming Resource Suppliers, Financial Sources and any Management Contractor

must have a license from the Gaming Commission in order to transact business with the
Gaming Operation. Contracts for professional legal and accounting services are excluded
from this Section.

32


(unless such contract or agreement provides otherwise), or participates in any Gaming
Activity on Indian Lands of the Tribe shall be deemed to consent to the civil jurisdiction of
the Tribe, the Gaming Commission and the Tribal Courts of the Tribe for purposes of
enforcement of this Ordinance. Nothing in this Section or Ordinance shall limit the
jurisdiction of the Tribe or the Gaming Commission under any circumstances not expressly
contemplated herein.

Section 3-703 SOVEREIGN IMMUNITY.

Nothing in this Ordinance shall be construed as a waiver, limitation, alteration,
modification or restriction of the sovereign immunity of the Wilton Rancheria or any of its
agencies, boards, commissions, authorities, employees, agents, consultants or officials,
except that an applicant or holder of a tribal gaming license may appeal an adverse
licensing decision or civil violation finding, in accordance with Sections 3-315 and 3-624 of
this Ordinance; provided, however, that this limited waiver shall be narrowly construed,
applies only to the Gaming Authority with respect to Section 3-315 and the Gaming
Commission with respect to Section 3-624, and excludes monetary damages of any kind.
Neither the Gaming Commission nor the Executive Director shall have any power to waive,
in whole or in part, the sovereign immunity of the Tribe or any of the Tribe’s other
agencies, boards, commissions, authorities, employees, agents, consultants or officials.

Secti -704 SEVERABILITY.

If any provision of this Ordinance shall in the future be declared invalid by a court of
competent jurisdiction, the invalid provision or provisions shall be severed and the
remaining provisions shall continue in full force and effect.

Section 3-705 AMENDMENTS.

This Ordinance may be amended upon approval by the Tribal Council in accordance with
the laws of the Tribe and approval by the NIGC Chair.

Section 3-706 EFFECTIVE DATE.

This Ordinance shall become effective and binding upon adoption by a majority vote of the
Tribal Council in accordance with the laws of the Tribe and approval of the NIGC Chair. This
Ordinance shall repeal and supersede all previous gaming ordinances adopted by the Tribe,
inclusive of that certain Gaming Ordinance adopted by the Tribe pursuant to Tribal Council
Resolution No. 2017-21 and approved by the NIGC Chairman pursuant to letter dated
October 13, 2017. This Ordinance shall also repeal and supersede all other Tribal policies,
regulations, and rules which are inconsistent with this Ordinance.

41


(60) calendar days of the emergency action; provided further, that as soon as is reasonably
possible, the Gaming Commission shall inform the Gaming Authority, the Management
Contractor (if any), the Tribal Chairperson, Vice-Chairperson and the Tribal Council of any
emergency action, and the Tribal Council may override such action, subject to the Tribal
Chairperson’s veto in accordance with tribal law.

E. Except for emergency regulations, Gaming Commission regulations are not effective
until such time as ratified by the Tribal Council.

Section 3-309 REQUEST FOR GAMING COMMISSION ACTION.

Any person who is determined by the Gaming Commission to be a real party in interest
may file a petition in a manner and form approved by the Gaming Commission requesting
the adoption, amendment or repeal of a regulation. Within thirty (30) calendar days of
receipt of the petition, the Gaming Commission shall either deny the request in writing or
schedule the matter for action in accordance with this Ordinance and any rules and
regulations of the Gaming Commission.

Section 3-310 JURISDICTION AND DUTIES OF THE GAMING COMMISSION.

The Gaming Commission is vested with and shall have jurisdiction over the regulation of
Gaming Activities, Gaming Operations and the Gaming Facility. The Gaming Commission
shall perform all duties, exercise all powers, promulgate all regulations, assume and
discharge all responsibilities and carry out and affect all purposes of IGRA and this
Ordinance relating to the establishment of all Gaming Activities and regulation of the
Gaming Operation. Additionally, the Gaming Commission is hereby vested with all powers
necessary to promulgate regulations and to implement those regulations such that they
meet the requirements of the Tribal-State Compact. In all decisions, the Gaming
Commission shall act to promote and ensure the integrity, security, honesty and fairness of
the Gaming Operation and all Gaming Activities. The Gaming Commission's duties and
powers shall include, but not be limited to, the following:

A. Conduct background investigations, or cause such investigations to be conducted,
for, at a minimum, Primary Management Officials, Key Employees, Gaming Employees and
others required to hold licenses pursuant to this Ordinance;

B. Review and approve all investigative work conducted in connection with the
background investigations of Primary Management Officials, Key Employees, Gaming
Employees and others required to hold licenses pursuant to this Ordinance;

C. Create and maintain investigative reports based on the background investigations of
Primary Management Officials, Key Employees, Gaming Employees and others required to
hold licenses pursuant to this Ordinance;

D. Designate a law enforcement agency to obtain and process fingerprints and conduct
criminal history checks that shall include a check of criminal history records information
maintained by the Federal Bureau of Investigation;

9


Section 3-504 FACILITY LICEN:

A. The Tribe shall issue a separate license to each place, facility or location on Indian
Lands where Gaming Activities are conducted under this Ordinance.

B. The Gaming Commission is responsible for issuing new or renewed Facility Licenses
to each of the Tribe’s Gaming Facilities in compliance with this Section, and any additional
requirements specified under the NIGC’s regulations at 25 C.F.R. Part 559 or the Tribal-
State Compact. Each Facility License shall be reviewed and renewed every two (2) years
provided that the Gaming Facility remains substantially in compliance with the standards
set forth herein.

C. The Gaming Commission shall require that each Facility License application be
completed by the chief management official of the Gaming Facility.

D. The Gaming Commission shall by regulation identify the environmental, health and
public safety standards with which the Gaming Facility must comply, and specify the form,
conditions and content of a Facility License application.

E. The Gaming Commission shall only issue a Facility License if the application
includes the required information and documentation, and sufficiently satisfies any
additional conditions deemed necessary by the Gaming Commission.

F The Tribe or Gaming Commission shall submit to the NIGC Chair a notice that
issuance of a Facility License is under consideration by the Gaming Commission. This
notice must be submitted at least one hundred twenty (120) calendar days before the
opening of any new Gaming Facility.

G. Each subsequent application for the renewal of such Facility License shall identify
any changes or additions to the legal description of the property and applicable
environmental, health and safety standards, and include current certifications of
compliance therewith. The Gaming Commission shall only issue such licenses if the
corresponding applications include the required information and certifications and such
further conditions as the Gaming Commission shall have specified.

Section 3-505 SERVICE OF PROCESS,

The Tribe designates the Tribal Chairperson as the agent for service of any official
determination, order, or notice of violation.

Section 3-506 PROCUREMENT.

All purchases of services or supplies shall comply with the tribally adopted procurement
policies and procedures for the Gaming Operation.

19


14. A list of the principals of the business, their social security numbers,
addresses, telephone numbers, titles, and percentage of ownership in the
company; and

15. Any further information the Gaming Commission deems relevant.

B. The following notice shall be placed on the application form for a Gaming Resource
Supplier and its principals:

Inclusion of false or misleading information in the Gaming Resource Supplier
application may be grounds for denial or revocation of the Tribe’s Gaming
Resource Supplier license.

Cc. A Gaming Resource Supplier may submit to the Gaming Commission a copy of a
recent license application to another jurisdiction if it contains the information listed above.
The Gaming Resource Supplier will be required to submit, in writing, any changes in the
information since the other license application was filed, and any information requested by
the Gaming Commission not contained in the other application.

Section 3-619 REQUIRED COMPONE! OF GAMING RE
Ss LIER BACKGROUND INVESTIGATIONS.

The Gaming Commission shall employ or otherwise engage an investigator to complete an
investigation of a Gaming Resource Supplier. This investigation shall include, at a
minimum, the following steps:

A. Verification of the Gaming Resources Supplier’s business incorporation status and
qualifications to do business in the State where the Gaming Operation is located;

B. Obtaining a business credit report, if available, and having a Better Business Bureau
check conducted on the Gaming Resource Supplier;

Cc. Conducting a check of the Gaming Resource Supplier’s business’ credit history;

D. Calling and questioning each of the references listed in the Gaming Resource
Supplier application; and

E. Conducting an investigation of the principals of the Gaming Resource Supplier’s
business, including facilitating a criminal history check, obtaining criminal history check
results, obtaining a credit report, and interviewing the personal references listed.

Section 3-620 GAMING RESOURCE SUPPLIER BACKGROUND
INVESTIGA' EPORTS.

The investigator shall complete an investigative report covering each of the steps taken in
the background investigation of the Gaming Resource Supplier and its principals, and
present it to the Executive Director and the Gaming Commission.

37


ARTICLE VII MISCELLANEOUS PROVISIONS .ssssssssssssssssssssssssssssessusssssessssssessesesusssessasssseeseceauusnssesee 40

Section 3-701
Section 3-702
Section 3-703
Section 3-704
Section 3-705

Section 3-706

COMPLIANCE WITH FEDERAL LAWovsscsssssssssssnsesssseetnsseeunsteese 40
CONSENT TO JURISDICTION....cssssssssssssssseecsessssseecsssssssssssssseseeesnssnee 40
SOVEREIGN IMMUNITY. wvscssssssssseesssseesnseesnsneesseressstsnsssensssseeeeseetee 41
SEVERABILITY ssissessessssssissaosscvcnsssscisasiossoasocnssseacetovssvasaussorsenscsisetaeeatins Al
AMENDMENTS. wessssssssssscsssssseessesse

EFFECTIVE DATE ssrsssossssesenssacecestannsoosesouseiocosccntvstccesnisonsusstbssiuaiintion 41


E. The Gaming Commission must reconsider a license application for a Primary
Management Official or Key Employee if it receives a statement of itemized objections to
issuing such a license from the NIGC, and those objections are received within thirty (30)
days of the NIGC receiving a notice of results of the applicant’s background investigation.
The Gaming Commission shall take the NIGC’s objections into account when reconsidering
a license application.

F. The Gaming Commission will make the final decision whether to issue a license to
an applicant for a Primary Management Official or Key Employee position.

G. If the Gaming Commission has issued a license to a Primary Management Official or
Key Employee before receiving the NIGC’s statement of objections, notice and hearing shall
be provided to the Licensee pursuant to the procedures in this Ordinance and as required
by Section 3-615.

H. The Gaming Commission is responsible for issuing licenses and for delivering them,
by certified mail, return receipt requested, or in person, to applicants once they are issued.

1. All Primary Management Officials and Key Employees must have a gaming license
issued by the Gaming Commission.

Section 3-612 TEMPORARY LICENSES.

If an applicant has completed a license application to the satisfaction of the Gaming
Commission, and the Gaming Commission has conducted a preliminary background
investigation, the Gaming Commission may issue a temporary license and impose such
conditions thereon as it deems appropriate pending completion of the licensing process,
provided that the Gaming Commission has no information suggesting the applicant would
either be automatically disqualified from obtaining a license or that would cause a
reasonable person to investigate further before issuing a license. A temporary license shall
remain in effect until suspended or revoked, or a final determination is made on the
application, or for a period of up to one (1) year, whichever comes first.

Section 3-613 DENYING GAMING LICENSES.
A. The Gaming Commission shall not license a Primary Management Official or Key

Employee or other entity requiring licensure if the Gaming Commission determines, in
applying the standards under Section 3-608 of this Ordinance for making a license
eligibility determination, that licensing the person or entity:

1. Poses a threat to the public interest;
2. Poses a threat to the effective regulation of gaming; or
3. Creates or enhances the dangers of unsuitable, unfair or illegal practices,

methods and/or activities in the conduct of gaming.

30


C. The Executive Director shall have authority to hire such professional, clerical,
technical and administrative personnel as may be necessary to carry out the provisions of
this Ordinance.

D. The Executive Director shall have the authority to make decisions regarding
licensure and compliance in accordance with this Ordinance, subject to appeal as provided
herein.

E. The Executive Director in pursuit of the attainment of the objectives and the
purposes of this Ordinance may:

1. Direct and supervise all administrative actions of the Gaming Commission;

2. Sue on behalf of the Gaming Commission, after consultation with the Gaming
Commission, and subject to the limitations set forth in Section 3-703 of this
Ordinance;

3. Make, execute and effectuate any and all agreements or contracts, including

contracts for the purchase of goods and services as are necessary. Such
engagement shall be conducted in accordance with the procurement policies
and procedures of the Tribe;

4, Employ the services of such persons as are considered necessary for the
purposes of consultation or investigation and fix the salaries of or contract
for the services of such legal, professional, technical and operational
personnel and consultants within the annual budget as approved by the
Gaming Commission. Selection and employment of such persons shall be
conducted in accordance with the employment policies and procedures of
the Tribe;

5. Appoint such staff as the Executive Director determines appropriate,
consistent with the annual budget approved by the Tribe;

6. Oversee all investigations, including required background investigations, and
suspend, revoke, issue or deny any licenses; and

7s Perform such other duties as the Executive Director deems necessary to
effectuate the purposes of this Section from time to time as assigned by the
Gaming Commission.

Section 3-403 FILES AND RECORDS TO BE MAINTAINED BY THE
EXECUTIVE DIRECTOR AND TI! AMING COM. ION:
CONFIDENTIALITY OF INFORMATION.

A. In accordance with Section 3-615 of this Ordinance, the Executive Director shall

maintain a file of all applications for licenses under this Ordinance, together with a record
of all actions taken with respect to those applications.

16


soon as possible and no later than thirty (30) minutes from discovery;
and

e. The Gaming Authority or Management Contractor's surveillance
director/manager may report to a Primary Management Official with
equal or greater authority for administrative and daily matters, but
must report to the Gaming Commission’s Chair regarding matters of
policy, purpose, responsibility, authority, and integrity of the Gaming
Operation.

The Gaming Commission and the surveillance department shall cooperate
and implement this Section reasonably to enhance the ability of security and
management to fulfill their responsibilities.

ARTICLE VI
LICENSING AND BACKGROUND INVESTIGATIONS

Section 3-601, GENERAL LICENSING REQUIREMENTS.

The following persons and entities are required to be licensed by the Gaming Commission:

A.

All Gaming Employees, including Key Employees and Primary Management Officials,

employed at any Gaming Operation operated under this Ordinance;

B.
C.

Gaming Resource Suppliers;

Any Financial Source that is not otherwise excluded from licensing at the discretion

of the Gaming Commission and consistent with any applicable Tribal-State Compact; and

D. Any other person having a significant influence over the Gaming Operation, as
determined by the Gaming Commission.

Section 3-602 LICENSE APPL! 10 RMS.

A. The following notice shall be placed on the license application form for a Key

Employee or Primary Management Official before that form is filled out by an applicant:

In compliance with the Privacy Act of 1974, the following information is
provided: Solicitation of the information on this form is authorized by 25
U.S.C. §§ 2701 et seg. The purpose of the requested information is to
determine the eligibility of individuals to be granted a gaming license. The
information will be used by the Tribal gaming regulatory authorities and by
the NIGC members and staff who have need for the information in the
performance of their official duties. The information may be disclosed by the
Tribe or the National Indian Gaming Commission 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 NIGC in connection with

22


ARTICLE V
FACILITY AND OPERATIONAL REQUIREMENTS

ection 3-501 AUDIT.

A. The Gaming Commission shall cause to be conducted independent audits of the
Gaming Operation annually and shall submit the results of those audits to the NIGC. Annual
audits shall conform to generally accepted auditing standards, address any Tribal-State
Compact requirements and be conducted by a recognized independent accounting firm.

B. All gaming related contracts that result in the purchase of supplies, services or
concessions in excess of Twenty-Five Thousand Dollars ($25,000.00) in a fiscal year of the
Tribe (except contracts for professional legal and accounting services) shall be specifically
included within the scope of the audit conducted under this Section.

C. Copies of the annual audit for each Gaming Operation shall be furnished to the NIGC
within one hundred twenty (120) calendar days after the end of each fiscal year of the
Gaming Operation.

Section 3-502 PUBLIC HEALTH AND SAFETY.
A. Each Gaming Facility shall be constructed, maintained and operated in a manner

that adequately protects the environment and the health and safety of the public.

B. The Tribe shall prohibit persons under the age of twenty-one (21) years from being
present in any room or area in which Gaming Activities are being conducted unless the
person is en route to a non-gaming area of the Gaming Facility, or is employed at the
Gaming Facility in a capacity other than as a Gaming Employee.

Cc. The possession of firearms by any person in the Gaming Facility is prohibited at all
times, except for federal, state, or local law enforcement personnel, or tribal law
enforcement or security personnel authorized by tribal law and federal or state law to
possess firearms at the Gaming Facility. Any regulation promulgated by the Gaming
Commission which allows for the possession of firearms within the Gaming Facility shall be
in compliance with the Tribal-State Compact and this Ordinance, and shall require that
adequate liability insurance shall be obtained by the Gaming Operation with respect to
possession of firearms.

D. The Gaming Commission shall identify and enforce laws, resolutions, codes, policies,
standards, or procedures which are applicable to each Gaming Facility, to ensure adequate
protection of the environment and the health and safety of the public.

Section 3-503 PATRON DISPUTES.

The Gaming Commission shall promulgate regulations governing patron disputes over the
play or operation of any gaming, including any refusal to pay to a patron any alleged
winnings from any Gaming Activities, as set forth in the Tribal-State Compact.

18


B. When the Gaming Commission does not issue a license to an applicant for a Primary
Management Official or Key Employee position, or revokes a previously issued license after
reconsideration, it shall:

1. Notify the NIGC; and

2. Forward copies of its eligibility determination and notice of results of the
applicant’s background investigation to the NIGC for inclusion in the Indian
Gaming Individuals Record System.

Section 3-614 GAMING LICENSE SUSPENSIONS AND REVOCATIONS,
A. If, after a license is issued to a Primary Management Official, Key Employee, or other

person or entity requiring licensure, the Gaming Commission receives notice from the NIGC
or otherwise that the Primary Management Official, Key Employee, or other person or
entity is not eligible for employment or contract, the Gaming Commission shall do the
following:

1. Immediately suspend the license;

2. Provide the Licensee with written notice of the suspension and proposed
revocation; and

3. Provide the Licensee with notice of a time and place for a hearing on the
proposed revocation of the license, which hearing shall take place within
seven (7) days of receipt of the notice provided under subsection (A)(2)
above.

B. Following a revocation hearing, the Gaming Commission shall decide whether to
revoke or reinstate the license at issue.

C. The Gaming Commission shall notify the NIGC of its decision to revoke or reinstate a
license of a Primary Management Official, Key Employee, or other person or entity
requiring licensure within forty-five (45) calendar days of receiving notification from the
NIGC that such Primary Management Official, Key Employee, or other person or entity
requiring licensure is not eligible for employment or contract.

D. In the event the State Gaming Agency denies an applicant a determination of
suitability or refuses to renew a determination of suitability, the Gaming Commission shall
revoke any license issued to the applicant and deny the applicant a license subject to any
process or exceptions permitted under a Tribal-State Compact and subject to the
applicant’s appeal rights available under State law.

E. The Gaming Commission may suspend, revoke, or deny a license upon the
occurrence of any of the following:

1. Notification by the NIGC, as set forth in this Section, that the Licensee is not
eligible for a license under this Ordinance;

31


E. Seize and impound any patron's winnings which the Gaming Commission has reason
to believe may have been won or obtained in violation of this Ordinance.

Section 3-312 POWERS OF D) ATION; BUDG G ERS.

The Gaming Commission may organize itself into functional divisions as it may deem
necessary and may from time to time modify such plan of organization. Within the limits of
a Tribal Council approved lump sum budget, the Gaming Commission shall establish its
own budget for operations and acquire such furnishings, equipment, supplies, stationery,
books, motor vehicles and other things as it may deem necessary in carrying out its
functions and incur such other expenses, within the limit of funds available to it, as it may
deem necessary. Additionally, the Gaming Commission shall employ and fix the salaries of
or contract for services of such professional, technical and operational personnel and
consultants as the execution of its duties and the operation of the Gaming Commission may
require. At the Tribal Council's discretion, said budget may be reviewed and modified.

Section 3-313 RECORDKEEPING.

The Gaming Commission shall keep and maintain a file of all applications for licenses under
this Section, together with a record of all action taken with respect to such applications in
the matter detailed in Section 3-403.

Section 3-314 PROCESSING LOYEE AND PATRON COMPLAINTS.

The Gaming Commission may receive any complaint from an employee of the Gaming
Operation or any member of the public who is or claims to be adversely affected by an act
or omission related to any Gaming Activities which is asserted to violate this Ordinance, the
Tribal-State Compact, or regulation of the Gaming Commission, and may upon
consideration of such complaint order such remedial action as it deems appropriate to
bring the Gaming Activities into compliance with such provisions. The Gaming Commission
may for this purpose, in its sole discretion, direct the Executive Director to conduct a
hearing and receive evidence with regard to such complaint if the Gaming Commission
deems an evidentiary proceeding useful in the resolution of such complaint. Hearings
under this Section 3-314 shall be conducted in accordance with due process.

Section 3-315 VIOLATIONS OF GAMING ORDINANCE — CIVIL
INFRACTION.

Any violation of this Ordinance is a civil infraction and any person found to have committed
such an infraction is subject to imposition of a fine of no more than Five Thousand Dollars
($5,000.00) for each violation.

Any money, other representative of value or real or personal property used in or derived
from participation in any activity conducted in violation of this Ordinance shall be subject
to seizure by Tribal law enforcement or security officers, and forfeited to the Tribe's
treasury upon a finding by the Tribal Court that such money or other representation of
value was used in or derived from participation in an activity conducted in violation of this

13


Y. “State” means the State of California.

Z. “State Gaming Agency” means the entity or entities of the State authorized to
investigate, approve, regulate and license gaming pursuant to State law under a Tribal-
State Compact.

AA. “Tribal Council” means the Tribal Council of the Tribe.
BB. “Tribal Member” means an enrolled member of the Tribe.
CC. “Tribe” means Wilton Rancheria.

DD. “Tribal-State Compact” means an agreement between the Tribe and the State
pursuant to 25 U.S.C. § 2710(d)(3) or Secretarial Procedures pursuant to 25 U.S.C.
§ 2710(d)(7), which govern the conduct of Class II] Gaming Activities on the Indian Lands
of the Tribe.

ARTICLE II
GENERAL PROVISIONS
Section 3-201 GAMING AUTHORIZED.

Class II Gaming and Class III Gaming are hereby authorized to be conducted on the Tribe's
Indian Lands, if such gaming is conducted in accordance with this Ordinance, IGRA, the
NIGC’s regulations, and any other applicable laws or regulations. Any Class III Gaming
Activities conducted under this Ordinance are limited to those Gaming Activities
authorized under a Tribal-State Compact.

Section 3-202 OWNERSHIP OF GAMING.

The Tribe shall have the sole proprietary interest in and responsibility for the conduct of
any Gaming Operation authorized by this Ordinance.

Section 3-203 USE OF NET GAMING REVENUES.

Net Revenues shall be used only for the following purposes:

A. To fund tribal government operations and programs;

B. To provide for the general welfare of the Tribe and its Members;
C. To promote tribal economic development;

D. To donate to charitable organizations; or

E. To help fund local government agencies.


B. The notice of results must be submitted to the appropriate Regional Office of the
NIGC no later than sixty (60) calendar days after the applicant begins working for the Tribe.

C. The notice of results shall include the following information:

1.
2.

The applicant's name, date of birth, and social security number;

The date on which applicant began or will begin employment as a Primary
Management Official or Key Employee;

A summary of the information presented in the investigative report,
including:

a. Licenses that have been previously denied;

b. Gaming licenses that have been revoked, even if subsequently
reinstated;

Cc Every known criminal charge brought against the applicant within the
last ten (10) years of the date of the application; and

d. Every felony of which the applicant has been convicted or any ongoing
prosecution.

A copy of the eligibility determination made in accordance with Section 3-
608 of this Ordinance.

Section 3-610 REPORTING TO STATE GAMING AGENCY.

A. With respect to Gaming Employees, upon receipt of a completed license application
and a determination to issue a temporary or permanent license, the Gaming Commission
shall transmit within twenty-one (21) calendar days to the State Gaming Agency for a
determination of suitability for licensure under the California Gambling Control Act a
notice of intent to license the applicant, together with all of the following:

1.

A copy of all tribal license application materials and information received by
the Gaming Commission from the applicant which is not otherwise
prohibited or restricted from disclosure under applicable federal law or
regulation;

A complete set of fingerprint impressions, rolled by a certified fingerprint
roller, which may be on a fingerprint card or transmitted electronically;

Acurrent photograph; and

Except to the extent waived by the State Gaming Agency, such releases of
information, waivers, and other completed and executed forms as have been
obtained by the Gaming Commission.

28


D. The Gaming Commission and its investigators shall keep confidential the identity of
each person interviewed in the course of conducting a background investigation.

Section 3-606 DUCTING BACK INVESTIGATIONS.

The Gaming Commission shall employ or engage an investigator to conduct a background
investigation of each applicant for a gaming license. The investigation must be sufficient to
allow the Gaming Commission to make an eligibility determination under this Ordinance. In
lieu of conducting its own background investigation, and to the extent that doing so does
not conflict with or violate IGRA or this Ordinance, the Gaming Commission or Tribe may
contract with the State Gaming Agency for the conduct of background investigations, may
rely on a State determination of suitability previously issued under a Class II] Gaming
compact involving another tribe and the State, or may rely on a State Gaming Agency
license previously issued to an applicant, to fulfill some or all of the Gaming Commission’s
background investigation obligations.

When conducting a background investigation, an investigator shall:

A. Verify the applicant’s identity through items such as a social security card, driver’s
license, birth certificate or passport;

B. Contact each personal and business reference provided in the license application,
when possible;

C. Conduct a personal credit check, according to Gaming Commission policy and
regulation; ,
D. Conduct a civil history check for past or outstanding judgments, current liens, past

or pending lawsuits, and any other information deemed to be relevant;

E. Conduct a criminal history records check by submitting the applicant's fingerprints
to the NIGC or to another law enforcement agency for forwarding to the FBI to perform a
criminal history records check utilizing the FBI's database;

F. Based on the results of the criminal history records check, as well as information
acquired from an applicant’s self-reporting or from any other source, obtain information
from the appropriate court regarding any past felony and/or misdemeanor convictions or
ongoing prosecutions within the past ten (10) years;

G. Inquire into any previous or existing business relationships with the gaming
industry, including with any tribes with gaming operations, by contacting the entities or
tribes;

H. Verify the applicant’s history and current status with any licensing agency by
contacting the agency; and

L Take other appropriate steps to verify the accuracy of the information, focusing on
any problem areas noted.

25


B. “Class Il Gaming” means those gaming activities as defined as Class I] gaming in
IGRA at 25 U.S.C. § 2703(7) and the NIGC’s regulations at 25 C.F.R. § 502.3.

C. “Class III Gaming” means those gaming activities as defined as Class II] gaming in
IGRA at 25 U.S.C. § 2703(8) and the NIGC’s regulations at 25 C.F.R. § 502.4.

D. “Executive Director” means the Executive Director of the Gaming Commission.

E. “Facility License” means a separate license issued by the Tribe to each place, facility
or location on Indian Lands where the Tribe elects to allow Class II or Class III Gaming.

F, “FBI” means the Federal Bureau of Investigation, an agency of the United States
Department of Justice.
G. “Financial Source” means any person or entity that, directly or indirectly, extends

financing to the Gaming Facility or Gaming Operation or as otherwise defined under a
Tribal-State Compact.

H. “Gaming Activities” means Class II Gaming and Class III Gaming conducted on the
Tribe’s Indian Lands.

I. “Gaming Authority” means Wilton Rancheria Gaming Authority.

J. “Gaming Commission” means the Wilton Rancheria Gaming Commission as
established herein to perform regulatory oversight and to monitor compliance with tribal,
federal, and applicable State regulations.

K. “Gaming Employee” means any natural person who (a) conducts, operates,
maintains, repairs, accounts for, or assists in any Gaming Activities, or is in any way
responsible for supervising such Gaming Activities or persons who conduct, operate,
maintain, repair, account for, assist, or supervise any such Gaming Activities, (b) is in a
category under federal or tribal gaming law requiring licensing, (c) is an employee of the
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 in which any
activities related to Gaming Activities are conducted but that are not open to the public.

L. “Gaming Facility” means any building in which Gaming Activities or any Gaming
Operations occur, or in which business records, receipts, or funds of the Gaming Operation
are maintained (excluding offsite facilities primarily dedicated to storage of those records,
and financial institutions), and all rooms, buildings, and areas, including hotels, parking
lots, and walkways, a principal purpose of which is to serve the activities of the Gaming
Operation and facility rather than providing that operation with an incidental benefit.
Nothing herein shall be construed to apply in a manner that does not directly relate to the
operation of Gaming Activities.

M. “Gaming Operation” means each economic entity that is licensed by the Gaming
Commission, operates the games, receives the revenues, issues the prizes, and pays the

2


WILTON RANCHERIA CODE
TITLE 1 - BUSINESS AND FINANCE CODE
CHAPTER 3 - GAMING ORDINANCE OF 2019

CITE AS: 1 WRC § 3-101, et seq.

ENACTED:
ARTICLE I
GENERAL
Section 3-101 AUTHORITY.

A. Article V, Section 1(a) of the Constitution grants the Tribal Chairperson the power to
execute, administer, and enforce all the laws of the Tribe.

B. Article V, Section 1(k) of the Constitution grants the Tribal Chairperson the power to
administer all departments created by the Tribal Council.

C. Article V, Section 1(m) of the Constitution grants the Tribal Chairperson the power
to nominate the directors of each department subject to confirmation by the Tribal Council,
except that if a confirmation vote is not taken by the Tribal Council within forty-five days,
the nominations shall be deemed confirmed.

D. Article VI, Section 2 of the Constitution authorizes the Tribal Council to make the
Tribe’s laws.

E. Article VI, Section 2(a) of the Constitution grants the Tribal Council the power to
make all laws, including resolutions, codes, and statutes.

F. Article VI, Section 2(b) of the Constitution grants the Tribal Council the power to
establish administrative departments that shall be administered by the Chairperson, such
as a Department of the Treasury, Administration, Business, Housing, Health, Social Services,
Education, Personnel, and any other departments deemed necessary by the Tribal Council.

Section 3-102 PURPOSE.

This Gaming Ordinance (“Ordinance”) is enacted to govern Class II and Class III Gaming
Operations on the Indian Lands of the Tribe, and to establish the Gaming Commission as an
administrative department to regulate such Gaming Operations.

Section 3-103 DEFINITIONS.
Throughout this Ordinance the following words have the following definitions:

A. “Class I Gaming” means those gaming activities as defined as Class I gaming in IGRA
at 25 U.S.C. § 2703(6) and the NIGC’s regulations at 25 C.F.R. § 502.2.


Ordinance. Tribal law enforcement or security officers shall coordinate and cooperate with
the Executive Director in the issuance of citations and seizure of property used in the
commission of a violation of this Ordinance. A Tribal law enforcement or security officer
shall accompany the Executive Director during the issuance of any such citation or seizure
of property.

Winnings found to have been received in violation of this Ordinance shall be forfeited and
become the property of the Gaming Operation.

The general manager of the Gaming Operation and the head of security for the Gaming
Operation (as designated by the general manager), the Executive Director and the Gaming
Commission's compliance manager shall each have the power to temporarily detain
persons suspected of violating this Ordinance and seize evidence if any of the foregoing
persons determine that such action is necessary to preserve the same for Tribal law
enforcement or security officers or other law enforcement officials.

The Tribe intends that the general manager of the Gaming Operation and the head of
security for the Gaming Operation (as designated by the general manager) shall be the
primary persons who may detain persons and seize evidence within the Gaming Facility.
The Executive Director and the Gaming Commission's compliance manager may take such
action within the Gaming Facility if the general manager or head of security for the Gaming
Operation are not available or in the event no action is taken and the Executive Director or
the Gaming Commission's compliance manager determine it is necessary to take action.
The Executive Director and the Gaming Commission's compliance manager shall be the
primary persons who shall detain persons and seize evidence outside of the Gaming
Facility. Detention and seizure actions taken by the Executive Director or Gaming
Commission’s compliance manager shall be completed in coordination with Tribal law
enforcement or security officers and pursuant to a regulation adopted pursuant to Section
3-308 of this Ordinance.

Such detention shall be for a temporary period and for the sole purpose of identifying such
persons, and for purposes of notifying and summoning appropriate law enforcement
authorities and detaining such persons as long as is necessary to transfer them to the
appropriate law enforcement officers. Detention of such persons shall not unduly interfere
with the business of the Gaming Operation. Persons shall be transferred to appropriate law
enforcement officers as soon as reasonably possible. Any area within which a person is
detained pursuant to this Ordinance shall be equipped with both video and audio recording
capabilities. Any person detained in such an area shall be kept under both video and audio
observation during such temporary detention.

Violations of this Ordinance may result in: persons being prohibited from being present
within the Gaming Facility; license suspensions, revocations or limitations; and, closure of
establishments pursuant to cease and desist orders issued by the Gaming Commission. All
such action shall be taken at the discretion of the Gaming Commission, subject to the right
to appeal the civil fine or forfeiture of property to the Tribal Court. A violator of this
Ordinance may also be required to pay court costs, storage fees and auction or sales fees.

14


2 If not otherwise included, any other person whose total cash compensation is
in excess of Fifty Thousand Dollars ($50,000.00) per year;

3. If not otherwise included, the four (4) most highly compensated persons in
the Gaming Operations; or

4, Any other person designated by the Tribe as a Key Employee.

Ss. “Licensee” means a tribally owned Class I or Class III Gaming Operation or a person
licensed by the Gaming Commission as a Primary Management Official, Key Employee,
other Gaming Employee or Gaming Resource Supplier required to be licensed under the
provisions of the Tribal-State Compact or this Ordinance.

T. “Management Contract” means any contract, subcontract or collateral agreement
between the Tribe or Gaming Authority and a contractor or between a contractor and a
subcontractor if such contract or agreement provides for the management of all or part of a
Gaming Operation.

U. “Management Contractor” means any Gaming Resource Supplier with whom the
Tribe or Gaming Authority has contracted for the management of any Gaming Activities,
Gaming Operation or Gaming Facility, including, but not limited to, any person or entity
that would be regarded as a Management Contractor under IGRA.

V. “Net Gaming Revenues” means gross gaming revenue (Win), of the gaming
enterprise from Gaming Activities less all gaming related operating expenses, excluding the
management fee, and less promotional allowances, and less all excluded revenue for such
period. It is intended that this provision be consistent with 25 U.S.C. § 2703(9) and
25 C.F.R. § 502.16 as determined in accordance with GAAP consistently applied.

WwW. “NIGC” means the National Indian Gaming Commission established pursuant to
IGRA, 25 U.S.C. § 2704.

X. “Primary Management Official” means:
1. The person(s) having management responsibility for a Management
Contract;

2. Any person who has authority:
a. To hire and fire employees; or
b. To set up working policy for the Gaming Operation;

3. The chief financial officer or other person who has financial management
responsibility for the Gaming Operation; and

4. Any other person designated by the Gaming Commission as a Primary
Management Official.


Section 3-507 = =— INDIAN PREFERENCE.

Where applicable, any contract pertaining to the Gaming Operation must include, to the
extent permitted by applicable law, provisions for complying with any Indian hiring
preferences adopted by the Tribe.

Section 3-508 TRIBAL MINIMUM INTERNAL CONTROL STANDARDS.

The Gaming Commission shall adopt and implement minimum internal control standards
for the conduct of Class II Gaming Activities to the extent such standards are required
under federal law and for the conduct of Class III Gaming Activities to the extent such
standards are required under the Tribal-State Compact.

Section 3-509 SURVEILLANCE REQUIREMENTS
A. The Tribe shall adopt security and surveillance control standards that are no less

stringent than the minimum internal control standards set forth in the current NIGC
Guidance on Class II] Minimum Internal Control Standards, as may be amended.

B. The Gaming Commission shall promulgate surveillance regulations which address
the following:

1. The Gaming Commission must approve:
a. The surveillance system and all related equipment;
b. All training programs for surveillance personnel;
c The satellite monitoring system;
d. Who has access to the surveillance room and the list of persons who

have unescorted access;
e. The format of the visitors’ log for the surveillance room;

f. All vendors and consultants providing goods or services for the
surveillance system; and

g Surveillance policies and procedures for all operations of the Gaming
Facility.
2. The Management Contractor (or, if none, the Gaming Authority) shall provide

all surveillance equipment, supplies, and space as deemed necessary by the
Gaming Commission for the reasonable protection of patrons, employees,
and Tribal assets, including the operation of a satellite monitoring system by
the Gaming Commission.

20


NAL |
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Ve comm?

VIA FIRST CLASS MAIL

August 30, 2019

Raymond Hitchcock, Chairman
Wilton Rancheria

9728 Kent Street

Elk Grove, CA 95624

Re: Wilton Rancheria Gaming Ordinance and Resolution No. 2019-28

Dear Chairman Hitchcock:

This letter is to inform you that the Wilton Rancheria’s Gaming Ordinance enacted by
Resolution No. 2019-28 of the Wilton Rancheria Tribal Council and received by the National
Indian Gaming Commission on May 31, 2019, is approved by operation of law.

Pursuant to the Indian Gaming Regulatory Act, the NIGC Chair has ninety days from the
date of submission to either approve or disapprove a gaming ordinance.' Any ordinance not
acted upon at the end of the ninety day period is considered to have been approved by the Chair
to the extent it is consistent with the provisions of IGRA.? Because no action was taken by the
Chair within the ninety day period, the Tribe’s Gaming Ordinance is considered approved to the
extent it is consistent with IGRA. It is the opinion of the Office of General Counsel that the
Gaming Ordinance is compliant with the requirements of IGRA and NIGC regulations.

If you have any questions, please feel free to contact NIGC Staff Attorney Austin Badger
at (202) 632-7003.

Sincerely,

Whol Aoo——

Michael Hoenig
General Counsel

'25 U.S.C. § 2710(e).
21d.

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail Stop # 1621 Washington, DC 20240 Tel: 202.632,7003 Fax: 202.632.7066

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa OK; Oklahoma City, OK
WWW.NIGC.GOV


Resolution 2019-28
May 23, 2019
Page 2

WHEREAS, the Tribal Council Organization Act of 2012, Section 1-303(B) provides that all acts and
amendments shall go through the legislative process unless the Tribal Council deems the passage
of the specific proposed act or amendment must occur immediately to address a situation that
adversely affects the health, safety, welfare, or economic well-being of the Tribe or an individual
tribal member; and

WHEREAS, pursuant to Resolution No. 2017-21, the Tribal Council approved the current Gaming
Ordinance (“2017 Gaming Ordinance”) and requested the Tribal Chairperson to submit the Gaming
Ordinance to the National Indian Gaming Commission (“NIGC”) for approval; and

WHEREAS, the NIGC Chairperson approved the 2017 Gaming Ordinance on October 13, 2017; and

WHEREAS, the Tribal Council desires to repeal the 2017 Gaming Ordinance and replace it with the
Gaming Ordinance of 2019, which includes provisions to organize the Wilton Rancheria Gaming
Commission, establish the position of Executive Director of the Gaming Commission, provide
procedures for the promulgation of gaming regulations, and make other amendments that the
Tribal Council deems to be in the best interest of the Tribe; and

WHEREAS, the Gaming Ordinance of 2019 shall become effective on the date it is approved by the
NIGC Chairperson, and the Tribal Council desires to maintain the 2017 Gaming Ordinance until the
Gaming Ordinance of 2019 is effective.

NOW BE IT THEREFORE RESOLVED, the Tribal Council does hereby approve the Gaming
Ordinance of 2019; and

BE IT FURTHER RESOLVED, the Tribal Council does request the Chairperson to submit the
Gaming Ordinance of 2019 for approval by the NIGC Chairperson; and

BE IT FURTHER RESOLVED, upon approval of the Gaming Ordinance of 2019 by the NIGC
Chairperson, the 2017 Gaming Ordinance immediately and automatically will be repealed and
replaced by the Gaming Ordinance of 2019; and

BE IT FINALLY RESOLVED, the Tribal Chairperson shall fully and faithfully execute, and take any
and all action necessary to implement, the Gaming Ordinance of 2019.

106548520_1


a Gaming Commissioner or a Gaming Commission employee during that person's term on
the Gaming Authority, the Tribal Council, Tribal Chairperson, or Vice-Chairperson.
Additionally, Commissioners may engage in business; provided, however, that
Commissioners shall not engage in any business that is subject to the provisions of this
Ordinance. Commissioners may not game in the Gaming Facility nor have any personal
financial interest in any gaming by any person in the Gaming Facility or conducted by the
Gaming Operation (other than such interest held by Tribal Members as a whole). A
Commissioner shall immediately resign from the Gaming Commission upon the
Commissioner's conviction in a Federal, State, or other court of competent jurisdiction for
any felony or any misdemeanor or civil infraction related to illegal gambling or bribery or
any charge that the Tribal Council, Tribal Chairperson, or Vice-Chairperson finds relates to
the Commissioner's honesty, integrity or ability to fulfill his or her duties. If a
Commissioner is found by a court of competent jurisdiction to have violated this Ordinance
or the Conduct and Ethics Act of 2015, as may be amended from time to time, the Gaming
Commission shall immediately revoke his or her gaming license, and the Tribal
Chairperson shall immediately terminate him or her from employment as a member of the
Gaming Commission, and such termination shall not require the consent of the Tribal
Council.

Section 3-303 ETHICS.

The Gaming Commission members shall comply with the Conduct and Ethics Act of 2015,
as may be amended from time to time, and the Gaming Commission employees shall
comply with the Employment Act. In addition, the Gaming Commission shall promulgate
pursuant to Section 3-308 a Code of Ethics regulation that addresses issues particular to
the regulation of gaming and which shall be complied with by all Gaming Commission
members, the Executive Director, and Commission employees.

Section 3-304 MEETINGS OPEN TO THE PUBLIC.

General meetings of the Gaming Commission are open to all Tribal Members and at the
Gaming Commission’s discretion other persons may attend a particular session or any part
thereof. Additionally, closed sessions may be held for good cause, including, but not limited
to, protecting the privacy of persons, considering personnel matters, considering licensing
determinations, reviewing background investigations, hearing complaints against
individuals, and considering whether to include persons on the list of excluded individuals.
All meetings shall be governed by Roberts Rules of Order or such other procedures as the
Gaming Commission may adopt. Nothing herein shall preclude a commissioner from
participating in such meeting or a vote from being taken by the Gaming Commission by
telephone poll in an emergency when circumstances do not allow a meeting of the full
board in one location in a timely manner.

Section 3-305 QUORUM REQUIRED.

A quorum shall consist of a majority of the members of the Gaming Commission. A quorum
shall be required for any vote or decision by the Gaming Commission. All decisions shall be
made by a majority vote of those present, unless indicated otherwise in this Ordinance.

7


ARTICLE III

GAMING COMMISSION
Section 3-301 ESTABLISHMENT.
A. The Wilton Rancheria Gaming Commission is hereby established. The Gaming

Commission shall consist of three (3) Commissioners, or such other number determined by
the Tribal Council. Commissioners shall be appointed by the Tribal Chairperson and
confirmed by the Tribal Council. Where minimum qualifications are met, the Tribal
Chairperson shall give preference in employment opportunities in accordance with the
preference policy set forth in Title 7, Chapter 1 Employment Act of the Wilton Rancheria
Code, as may be amended. All members of the Gaming Commission, including Gaming
Commissioners and Gaming Commission employees shall be at-will employees and will
serve at the discretion of the Tribal Chairperson, provided that removal of any
Commissioner shall be subject to Tribal Council consent. The Tribal Chairperson and Tribal
Council shall endeavor to fill vacancies on the Gaming Commission within thirty (30)
business days of a vacancy.

B. Appointments of the Gaming Commissioners shall be for a period of four (4) years,
except that, for the terms of the initial members, one (1) initial Chair of the Gaming
Commission’s term shall be for two (2) years, and two (2) initial members’ terms shall be
for four (4) years, which shall result in staggered appointments and provide continuity
within the Gaming Commission. The Commissioners may be reappointed for one or more
successive terms. Commissioners may be compensated at a level determined by the Tribal
Council.

Cc Gaming Commissioners and any Gaming Commission employees who have access to
confidential information must satisfy the suitability standards set forth for Key Employees
in this Ordinance. Gaming Commissioners and any Gaming Commission employees may not
participate in matters relating to their background investigation, except, as subject of the
investigation, to provide information required or requested by the investigator. Such
background investigations shall be performed under the direction of the Tribal Council or
its designee.

D. The Tribal Chairperson shall designate one (1) of the three (3) Gaming
Commissioners to be the Chair of the Gaming Commission, and such designation shall be
confirmed by the Tribal Council, concurrent with the appointment of such Gaming
Commissioner pursuant to Section 3-301 of this Ordinance. The Chair of the Gaming
Commission shall conduct all meetings and hearings of the Gaming Commission, receive
surveillance reports from the surveillance supervisor or the Executive Director as set forth
in regulations of the Gaming Commission, and perform such other responsibilities as
assigned by the Gaming Commission regulations.

Section 3-302 RES' IONS O:

Commissioners may hold other Tribal governmental positions; however no member of the
Tribal Council, Tribal Chairperson, Vice-Chairperson or the Gaming Authority shall serve as

6


1. All rights to notice and hearing shall be governed by tribal law and comport
with federal procedural due process by, at a minimum, providing the
applicant or Licensee with notice reasonably calculated to apprise the
applicant or Licensee of the pendency of the determination, access to the
materials upon which the suspension or revocation is based, and an
opportunity to be heard.

2. Written, certified, return receipt requested or personally hand-delivered
notification of the denial, suspension or proposed revocation be given to the
applicant or Licensee ten (10) calendar days in advance of the proposed
action;

3. Such written notification shall include the reason for denial, suspension or
proposed revocation and information concerning the applicant or Licensee’s
right to a hearing, specify the date, time and place for the hearing, and advise
the applicant or Licensee that failure to appear for a scheduled hearing shall
forfeit any further right to appeal;

4, A written decision issued by the Gaming Commission within five (5) business
days of the hearing, which decision shall give a reason for the ruling and
provide the applicant or Licensee notice of a right to appeal the decision to
the Tribal Court within fifteen (15) calendar days of receipt of the written
decision, provided, however, that if the Tribal Court has not been established,
the Tribal Council shall act in the Tribal Court's stead to hear appeals and
issue a written decision, subject to approval or veto of the Tribal Chairperson
in accordance with tribal law; and

5 If the applicant or Licensee files an appeal within fifteen (15) calendar days
of receipt of the written notification described in the preceding paragraph,
the Tribal Court shall review any additional information submitted by the
Licensee with the petition and notify the Licensee in writing of its decision,
which shall be a final decision.

B. Notwithstanding subparagraph (A) above, the Gaming Commission may suspend or
revoke a license without advance notice if, in the opinion of the Gaming Commission, the
continued licensing of the person:

1. Poses an immediate threat to the integrity of the Gaming Operation; or
2. Poses a threat to public health or safety.

Within two (2) business days of an immediate revocation or suspension, the Gaming
Commission and Tribal Court, if applicable, shall proceed with the requirements of
subparagraph (A)(2) through (4).

39


such violation has occurred upon any premises occupied or operated by any
such person or over which he or she has/had substantial control;

5. If the applicant knowingly caused, aided, abetted, or conspired with another
to cause any person or entity to violate any of the laws of any jurisdiction, the
provisions of this Ordinance or the Tribal-State Compact;

6. If the applicant has ever obtained a license by fraud, misrepresentation,
concealment, or through inadvertence or mistake;

7. If the applicant has ever been convicted of, or forfeited bond upon a charge
of, or plead guilty to forgery, larceny, extortion, conspiracy to defraud, willful
failure to make required payment or reports to any tribal, state, or U.S.
Government agency at any level, or filed false reports therewith, or of any
similar offense(s), or of bribing or otherwise unlawfully influencing a public
official or employee of a tribe, a state, or the U.S. Government, or of any
felony or misdemeanor involving any gaming activity, physical harm to
individuals or moral turpitude;

8. If the applicant is subject to current prosecution, pending charges, or a
conviction under appeal for any of the offenses listed above. Upon request of
the applicant, the Gaming Commission may defer decision on the application
pending the results of such prosecution or appeal;

9. If the applicant has demonstrated a willful disregard for compliance with a
gaming regulatory authority in any jurisdiction or has ever had a gaming
license issued by any state, tribe or foreign gaming regulatory agency
suspended, revoked or denied; or

10. ‘If the applicant has failed to provide any information requested by the
Gaming Commission within ten (10) calendar days of the request for the
information.

B. Copies of an eligibility determination shall be included with the notice of results
issued pursuant to Section 3-609 and the notice must be submitted to the NIGC before the
licensing of a Primary Management Official or Key Employee.

C. If the Gaming Commission, in applying the standards adopted in this Ordinance,
determines that licensing the person poses a threat to the public interest or to the effective
regulation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal
practices, methods and/or activities in the conduct of gaming, the Gaming Commission
shall not license that person in a Key Employee or Primary Management Official position.

Section 3-609 NOTICE OF RESULTS OF BACKGROUND INVESTIGATIONS.
A. Before issuing a license to a Primary Management Official or Key Employee, the

Gaming Commission shall prepare a notice of results of the applicant’s background
investigation to submit to the NIGC.
27


Resolution 2019-28
May 23, 2019
Page 3
CERTIFICATION
It is hereby certified that the foregoing Resolution was adopted by an affirmative vote of 7 for, 0

against, and 0 abstaining, presented for approval on May 23, 2019, pursuant to the authority
contained within the Constitution of Wilton Rancheria.

Dated this 23rd day of May 2019.
~ len wl al-lvol

Tonya Calehell
Tribal Council Spokesperson

Attest:

i = “
Vice-Chairperson

106548520_1


Section 3-607 INVESTIGATIVE REPORTS.

A. The Gaming Commission shall create and maintain an investigative report for each
background investigation of a Primary Management Official or Key Employee. Investigative
reports shall include all of the following information:

1. Steps taken in conducting the background investigation;
2. Results obtained;
3. Conclusions reached; and
4. The basis for those conclusions.
B. If, in the course of a background investigation, the Gaming Commission discovers

that applicant has a notice of results on file with the NIGC from a prior investigation and
the Gaming Commission has access to the earlier investigative materials, the Gaming
Commission may rely on those materials and update the investigation and investigative
report to be provided to the NIGC.

Section 3-608 ELIGIBILITY DETERMINATIONS.
A. Before a license is issued to a Primary Management Official or Key Employee

applicant, the Gaming Commission shall make a finding concerning the eligibility of that
person to receive a gaming license by reviewing the applicant’s prior activities, criminal
record, if any, and reputation, habits and associations. A license may not be issued unless
the Gaming Commission is satisfied the applicant is a person of good character, honesty
and integrity. In making findings concerning the eligibility of license applicants, the Gaming
Commission may take into consideration any of the following circumstances:

1. If the applicant knowingly and intentionally provided false statements or
information or omitted relevant information on the application, or otherwise
misrepresented or failed to disclose a material fact to the Gaming
Commission;

2. If the prior activities, criminal record, reputation, habits and associations of
the person indicate that the person may be a threat to the public interest or
to the effective regulation and control of gaming;

3. If association with, or employment of, the applicant creates or enhances the
dangers of unsuitable, unfair, or illegal practices, methods, and activities in
the conduct of gaming or the carrying on of the business and financial
arrangements incidental thereto;

4. If the applicant has violated, failed, or refused to comply with the provisions,
requirements, conditions, limitations, or duties imposed by any provision of
this Ordinance or the Tribal-State Compact, or possesses knowledge that

26


expenses. A gaming operation may be operated by the Tribe or Gaming Authority directly
by a Management Contractor.

N. “Gaming Resources” means any goods or services provided or used in connection
with Gaming Activities, whether exclusively or otherwise, including, but not limited to,
equipment, furniture, gaming devices and ancillary equipment, implements of Gaming
Activities such as playing cards, furniture designed primarily for Gaming Activities,
maintenance or security equipment and services, and gaming consulting services. “Gaming
Resources” does not include professional accounting and legal services.

0. “Gaming Resource Supplier” means any person or entity who, directly or indirectly,
does, or is deemed likely to, manufacture, distribute, supply, vend, lease, purvey, or
otherwise provide to the Gaming Operation or Gaming Facility at least Twenty-Five
Thousand Dollars ($25,000.00) in Gaming Resources in any consecutive twelve (12) month
period, or who, directly or indirectly, receives, or is deemed likely to receive, in connection
with the Gaming Operation or the Gaming Facility, at least Twenty-Five Thousand Dollars
($25,000.00) in any consecutive twelve (12) month period, provided that the Gaming
Commission may exclude a purveyor of equipment or furniture that is not specifically
designed for, and is distributed generally for use other than in connection with, Gaming
Activities, if, but for the purveyance, the purveyor is not otherwise a Gaming Resource
Supplier as defined herein, the compensation received by the purveyor is not grossly
disproportionate to the value of the goods or services provided, and the purveyor is not
otherwise a person who exercises a significant influence over the Gaming Operation.

P. “IGRA” means the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 et seq., and any
and all regulations promulgated pursuant thereto.
Q “Indian Lands” means:
1. Land within the limits of an Indian reservation; or
2. Land over which an Indian tribe exercises governmental power and that is
either:
a. Held in trust by the United States for the benefit of any Indian tribe or

individual; or

b. Held by an Indian tribe or individual subject to restriction by the
United States against alienation.

R. “Key Employee” means:

1. A person who performs one or more of the following functions: bingo caller,
counting room supervisor, chief of security, custodian of gaming supplies or
cash, floor manager, pit boss, dealer, croupier, approver of credit or
custodian of gambling devices including persons with access to cash and
accounting records within such devices;

3


B. The Gaming Commission and Executive Director may maintain such other files or
records as they deem desirable.

C. The Executive Director shall also maintain all information and data:

1.
2.

Included within any application for license or supporting materials;

Required by the Gaming Commission or the Executive Director to be
furnished to them under this Ordinance or which may otherwise be obtained
relative to the finances, earnings or revenue of any applicant or Licensee;

Pertaining to an applicant's or Licensee’s criminal record, antecedents or
background which have been furnished to or obtained by the Gaming
Commission or the Executive Director from any source;

Provided to the Gaming Commissioners or the Executive Director or his or
her employees by a governmental agency or an informant or on the
assurances that the information will be held in confidence and treated as
confidential;

Pertaining to the identity of any informant;

Obtained by the Executive Director or the Gaming Commission from a
supplier relating to the manufacturing of gaming devices or gaming goods;
and

Including the signed Conflict of Interest policies of the Executive Director, all
Commissioners and employees of the Gaming Commission and the Gaming
Operation; and

That are confidential and may be revealed in whole or in part only in the
course of the necessary administration of this Ordinance or upon the lawful
order of a court of competent jurisdiction or at the direction of the Gaming
Commission pursuant to its duties and obligations under this Ordinance.

D. All records retained by the Gaming Commission or the Executive Director shall be
retained for a period of five (5) years, after which such records may be disposed of in the
discretion of the Gaming Commission. It is a violation of this Ordinance for a person to
falsify, destroy, erase or alter any records of any kind or other information relating to the
Gaming Operation in a manner other than provided in this Ordinance, regulation or Gaming
Commission policy.

17


the Tribe, except for the bona fide repayment of all outstanding sums
(exclusive of interest) owed as of the date of termination, upon revocation or
non-renewal of the Financial Source’s license by the Gaming Commission
based on a determination of unsuitability by the State Gaming Agency. The
Tribe shall not enter into, or continue to make payments pursuant to (except
for the bona fide repayment of all outstanding sums (exclusive of interest)
owed as of the date of termination), any contract or agreement for the
provision of financing with any person whose application to the State Gaming
Agency for a determination of suitability has been denied or revoked or has
expired without renewal.

Gaming Commission Licensing of Management Contractor Required.

1.

A Management Contractor is a Gaming Resource Supplier and must hold a
valid tribal gaming license prior to providing services pursuant to any
Management Contract. Any Management Contract entered into by the Tribe
or Gaming Authority for the operation and management of Gaming Activities
must provide that individuals listed in subsection (D)(1)(a) below shall
submit to a suitability determination by and licensing requirements of the
Gaming Commission. The Gaming Commission may require and obtain the
following information:

a. The name, address and other additional pertinent background
information on each person including, in cases involving entities, each
individual, partner, officer, shareholder, and director comprising such entity
having direct financial interest in, or management responsibility for, such
Management Contract; and in the case of a corporation, those individuals
who serve on the board of directors of such corporation and each of its
shareholders who hold, directly or indirectly, ten percent (10%) or more of
its issued and outstanding shares;

b. A complete financial statement of each person listed pursuant to the
subsection above; and

c Such other information as is necessary for the Gaming Commission to
make a licensing decision.

Any person listed pursuant to subsection (D)(1)(a) above shall be required to
respond to such written or oral questions that the Gaming Commission may
propound in accordance with its responsibilities under this Ordinance.

The Gaming Commission may require Management Contractors and potential
Management Contractors to pay a fee as set from time to time to cover the
cost of the investigation necessary to reach a suitability determination as
required by this Ordinance.

34


4. In lieu of conducting its own background investigations, and to the extent
that doing so does not conflict with or violate IGRA or this Ordinance, the
Gaming Commission may rely upon determinations referenced in Section 3-
606 and NIGC determinations of suitability of individuals associated with a
Management Contractor as evidenced by the approval of the Management
Contract by the Chair of the NIGC.

E. All exemptions and exclusions from suitability or licensure for Gaming Resource
Suppliers, Gaming Employees and Financial Sources permitted by the Tribal-State Compact
and State Gaming Agency regulations (as defined in the Tribal-State Compact) are hereby
incorporated herein. Accordingly, any person or entity that would not require mandatory
licensure as a Licensee under the Tribal-State Compact shall be exempt from licensure by
the Gaming Commission, and in those instances where the Gaming Commission may
exclude persons and entities from licensure, the Gaming Commission shall make best
efforts to exclude such persons and entities from licensure.

Section 3-617 LICENSING PROCESS FOR GAMING RESOURCE SUPPLIERS.

Gaming Resource Suppliers, excluding Management Contractors and including Financial
Sources required to be licensed under the Tribal-State Compact, shall be licensed in
accordance with the following process. In order to obtain a Gaming Resource Supplier
license, a business must complete a Gaming Resource Supplier license application and
submit to a background investigation. For applicants that are business entities, licensing
and background investigation provisions of this Ordinance shall apply to the entity as well
as: (i) each of its officers, limited liability members, and directors; (ii) each of its principal
management employees, including any chief executive officer, chief financial officer, chief
operating officer, and general manager; (iii) each of its owners, or partners, if an
unincorporated business; (iv) each of its shareholders who owns more than ten percent
(10%) of the shares of the corporation, if a corporation, or who has a direct controlling
interest in the applicant; and (v) each person or entity (other than a Financial Source that
the Gaming Commission has determined does not require a license) that, alone or in
combination with others, has provided financing in connection with any Gaming Operation
or Gaming Activities of the Tribe, if that person or entity provided more than ten percent
(10%) of either the start-up capital or the operating capital, or of a combination thereof,
over a twelve (12) month period. For purposes of this subdivision, where there is any
commonality of the characteristics identified in this Section, subdivision (i) through (v),
inclusive, between any two (2) or more entities, those entities may be deemed to be a
single entity. For purposes of this subdivision, a direct controlling interest in the applicant
referred to in subdivision (iv) excludes any passive investor or anyone who has an indirect
or only a financial interest and does not have the ability to control, manage or direct the
management decisions of the applicant.

Section 3-618 CONT! OF THE GAI ES CE SUPPLIE!
APPLICATION.
A. Applications for a Gaming Resource Supplier license must include the following:

35


the issuance, denial, or revocation of a gaming license, or investigations of
activities while associated with a tribe or a gaming operation. Failure to
consent to the disclosures indicated in this notice will result in a tribe being
unable to license you for a Primary Management Official or Key Employee
position. The disclosure of your Social Security Number (SSN) is voluntary.
However, failure to supply a SSN may result in errors in processing your
application.

B. The following additional notice shall be placed on the application form for a Primary
Management Official or Key Employee before it is filled out by an applicant.

A false statement on any part of your license application may be grounds for
denying a license or the suspension or revocation of a license. Also, you may
be punished by fine or imprisonment (U.S. Code, title 18, section 1001).

Section 3-603 === =—LICENSE FEES.

The Gaming Commission shall establish a fee schedule for licenses to cover its expenses in
investigating and licensing persons and entities required to be licensed by this Ordinance.
The fee schedule shall be established by regulation promulgated by the Gaming
Commission within one hundred eighty (180) days of approval of this Ordinance.
Application fees shall be nonrefundable, regardless of whether or not a license is issued.
Such fees shall be made payable to the Gaming Commission.

Section 3-604 FINGERPRINTS.

The Gaming Commission shall request fingerprints from each Primary Management Official
and Key Employee applicant for a gaming license.

Section 3-605 BACKGROUND INVESTIGATIONS.
A. The Gaming Commission shall perform a background investigation for each

applicant for a gaming license. The Gaming Commission is responsible for conducting the
background investigations of gaming license applicants (other than the Gaming
Commissioners themselves).

B. The Gaming Commission shall conduct or cause to be conducted an investigation
sufficient to make an eligibility determination of a gaming license applicant under this
Ordinance. The Gaming Commission shall request from each Primary Management Official
and Key Employee applicant all of the following information:

1. Full name, other names used (oral or written), social security number(s),
birth date, place of birth, citizenship, gender, all languages (spoken or
written);

2. Currently and for the previous five (5) years: business and employment

positions held, ownership interests in those businesses, business and
residence addresses, and driver's license numbers;

23


Section 3-605
Section 3-606
Section 3-607
Section 3-608
Section 3-609
Section 3-610
Section 3-611
Section 3-612
Section 3-613
Section 3-614
Section 3-615

Section 3-616

Section 3-617

Section 3-618

Section 3-619

Section 3-620

Section 3-621

Section 3-622

Section 3-623
Section 3-624
Section 3-625

Section 3-626

BACKGROUND INVESTIGATIONS. cessssssssscssssssssssssssssesessssssesssssnseees 23

CONDUCTING BACKGROUND INVESTIGATIONG......ssssssssssessseee 25
INVESTIGATIVE REPORTS. ..cssscssssssssscssssssssssssssesessansnneeeesnsseessenneeees 26
ELIGIBILITY DETERMINATIONS. ...scssssssssssssssssessssssssseeesssseesunssestees 26

NOTICE OF RESULTS OF BACKGROUND INVESTIGATIONS.....27

REPORTING TO STATE GAMING AGENCY... 28

GRANTING A GAMING LICENSE. .sssssssssssssesssseessssesssssesssessssessseee 29
TEMPORARY LICENSES. wascsssssssssssssssscesccssssseseanssneesesensestessnsseeeneestees 30

DENYING GAMING LICENSES.

GAMING LICENSE SUSPENSIONS AND REVOCATIONS. .....ssesse- 31
RECORDS RETENTION sssssissssssssssusssssasssosscssssticssssssssssssssscessssvanivosies 32

REQUIREMENT OF LICENSES FOR GAMING RESOURCE
SUPPLIERS. wcsscscsssssssessssseessssnssessssusssnssneesensesssensassneestsessseresessssetnssssase 32

LICENSING PROCESS FOR GAMING RESOURCE SUPPLIERS....35

CONTENTS OF THE GAMING RESOURCE SUPPLIER
LICENSE APPLICATION. sssssssscssssssssssssesssssssovecasosssssusnsssesessssseosnnessoesee 35

REQUIRED COMPONENTS OF GAMING RESOURCE
SUPPLIER BACKGROUND INVESTIGATIONS..

GAMING RESOURCE SUPPLIER BACKGROUND
INVESTIGATION REPORTS. ssssssssssosessssetsssnessstessssersnseenssseasesenseees 37

EXEMPTION OF GAMING RESOURCE SUPPLIER'S
LICENSING ssssssssssseseasecssserasessnsesersnnnersassesussensssenanseennasenvsseeeeersneee 38

REGISTRATION OF SUPPLIERS PROVIDING GOODS AND
SERVICES TO THE GAMING OPERATION

IDENTIFICATION CARDS..ccssssssssssssessssssssesesssseeessnsneseseunsnseeeussseeteenee 38
DUE PROCESS. ssisssssccssacsssszsaassssasesossnssisacnsisostaivopavoagnnerenosneneonernsnserennge 38
DURATION AND RENEWAL sessesssssssecssssssssccssssssssssssssesssnsscessnnsseceees 40
ADDITIONAL REQUIREMENTS. wescsssosssssssssosesssssesessssssessssssssssnsssssees 40

iii


WwW

ilton Rancheria

9728 Kent Street, Elk Grove, CA 95624

Tribal Council Resolution No. 2019-28
RESOLUTION TO CONDITIONALLY REPEAL AND REPLACE THE 2017 GAMING ORDINANCE
WITH THE GAMING ORDINANCE OF 2019, SUBJECT TO APPROVAL BY THE NATIONAL
INDIAN GAMING COMMISSION

WHEREAS, Wilton Rancheria (“Tribe”) is a federally-recognized Indian tribe eligible for all rights
and privileges afforded to recognized Native American tribes; and

WHEREAS, Wilton Rancheria adopted the Constitution of Wilton Rancheria (“Constitution”) on
November 12, 2011; and

WHEREAS, Article V, Section 1(a) of the Constitution provides that the Tribal Chairperson has the
power to execute, administer, and enforce all the laws of the Tribe; and

WHEREAS, Article V, Section 1{k) of the Constitution grants the Tribal Chairperson the power to
administer all departments created by the Tribal Council; and

WHEREAS, Article V, Section 1(m) of the Constitution grants the Tribal Chairperson the power to
nominate the directors of each department subject to confirmation by the Tribal Council, except
that if a confirmation vote is not taken by the Tribal Council within forty-five days, the nomination
shall be deemed confirmed; and

WHEREAS, Article VI, Section 2 of the Constitution authorizes the Tribal Council to make the
Tribe’s laws; and

WHEREAS, Article VI, Section 2(a) of the Constitution grants the Tribal Council the power to make
all laws, including resolutions, codes, and statutes; and

WHEREAS, Article VI, Section 2(b) of the Constitution grants the Tribal Council the power to
establish any administrative departments that shall be administered by the Chairperson, such as a
Department of the Treasury, Administration, Business, Housing, Health, Social Services, Education,
Personnel, and any other departments deemed necessary by the Tribal Council; and

WHEREAS, the Tribal Council Organization Act of 2012 provides that acts shall be the formal laws

passed by the Tribal Council in development of the Tribe’s permanent body of law, 4 WRC § 1-
303(A); and

p. (916) 683-6000 « f. (916) 683-6015 ¢ www.WiltonRancheria-nsn.gov


Section 3-625 DURATION AND RENEWAL.

A. All regular licenses shall be issued for a specified period not to exceed two (2) years
from the date of issue, except that a Management Contractor providing management
services to the Gaming Operation pursuant to a Management Contract approved by the
NIGC may be licensed for a period of no more than seven (7) years, provided such
Management Contractor continues to apply for renewal of a determination of suitability by
the State Gaming Agency at least every two (2) years in accordance with a Tribal-State
Compact. Renewal applications must be received by the Gaming Commission at least thirty
(30) calendar days prior to the expiration of the license. Upon receiving a renewal
application, the Gaming Commission shall inform the applicant of his or her obligation, if
any, to apply to the State Gaming Agency for renewal of his or her determination of
suitability. Any Licensee applying for renewal may continue to be employed or engaged
under the expired license for not more than ninety (90) calendar days following the
expiration of the license, unless otherwise notified by the Gaming Commission. Applicants
for renewal shall provide updated material as requested by the Gaming Commission on the
appropriate renewal forms but, at the discretion of the Gaming Commission, may not be
required to resubmit information already available to the Gaming Commission. Additional
background investigations may be performed at the discretion of the Gaming Commission.
Updated criminal history checks are required.

B. Prior to renewing a license, the Gaming Commission shall forward to the State
Gaming Agency copies of the renewal application and related documents as required under
a Tribal-State Compact. With respect to Gaming Facilities, the Gaming Commission shall
provide verification to the State Gaming Agency that it has reviewed and, if appropriate,
renewed a Gaming Facility’s license.

Section 3-626 ADDITIONAL REQUIREMENTS,

The Gaming Commission shall promulgate regulations providing for such additional
licensing and background investigation requirements and procedures as it deems
appropriate, provided that such additional requirements are at least as stringent as those
contained in IGRA at 25 U.S.C. § 2710(b)(2)(F) and the NIGC’s regulations at 25 C.F.R. Parts
556, 558, and 559, and a Tribal-State Compact.

ARTICLE VII
MISCELLANEOUS PROVISIONS

Section 3-7 COMPLIANCE WITH FEDERAL LAW.

The Gaming Operation shall comply with all applicable federal laws, including the Bank
Secrecy Act, 31 U.S.C. § 5311 et seq.

Section 3-702 CONSENT TO JURISDICTION.

Any person who applies for a license under this Ordinance, applies for employment in any
Gaming Operation, enters into any contract or agreement with the Gaming Operation

40


E. Make licensing eligibility determinations, which shall be signed by the Chair of the
Gaming Commission;

F, Submit a notice of results to the NIGC of the background investigations conducted
for each Primary Management Official and Key Employee applicant;

G. Issue gaming licenses if warranted by the eligibility determination;

H. Consistent with Section 6.4 of the Tribal-State Compact, establish standards for
licensing Gaming Facilities, Gaming Employees, Gaming Resource Suppliers and Financial
Sources;

I. Issue gaming licenses to Gaming Facilities, Gaming Resource Suppliers and Financial
Sources;
J. Inspect, examine and monitor all of the Tribe’s Gaming Activities, and have

immediate access to review, inspect, examine, photocopy and audit all records of the
Gaming Operation;

K. Ensure compliance with all applicable tribal, state, and federal laws, rules and
regulations regarding Indian gaming;

L. Investigate any suspicion of wrongdoing associated with any Gaming Activities;

M. Hold hearings on patron complaints, in accordance with procedures established in
this Ordinance, the Gaming Commission’s regulations, or the Tribal-State Compact;

N. Comply with any and all reporting requirements under IGRA, the NIGC’s regulations,
ora Tribal-State Compact, and any other applicable law;

0. Promulgate and issue regulations that adopt as a matter of tribal law, Uniform
Tribal Gaming Regulations CGCC-1, CGCC 2, CGCC-7, and CGCC-8, and subsequent Uniform
Tribal Gaming Regulations;

P. Promulgate and issue regulations necessary to comply with applicable internal
control standards;

Q Promulgate and issue regulations on the levying of fees and/or taxes associated
with gaming license applications;

R. Promulgate and issue regulations on the levying of fines and/or the suspension or
revocation of gaming licenses for violations of this Ordinance or any tribal, federal or State
gaming regulations, if applicable;

Ss. Maintain a list of persons permanently excluded from the Gaming Facility who,
because of their past behavior, criminal history, or association with persons or
organizations, pose a threat to the integrity of the Gaming Activities of the Tribe or to the
integrity of regulated gambling within the State. The Gaming Commission shall transmit a

10


Gaming. The Gaming Commission shall notify the NIGC of the results of such background
checks before the issuance of such licenses;

DD. Review all records, documents and anything else necessary and pertinent to
enforcement of any provisions of this Ordinance or the Tribal-State Compact;

EE. The Gaming Commission shall have full power and authority to issue subpoenas and
compel the attendance of witnesses for hearings at any place within the Indian Lands of the
Tribe, to administer oaths and to require testimony under oath. Any process or notice may
be served in the manner provided for service of the process and notices in civil actions. The
Gaming Commission may pay such transportation and other expenses of witnesses, as it
may deem reasonable and proper;

FF. In connection with the Gaming Commission's power to conduct hearings, the
Gaming Commission may determine whether sanctions should be imposed on, or
conditions should be placed on the license of any person subject to the jurisdiction of this
Ordinance;

GG. With the exception of the promulgation of regulations, the conduct of hearings or
such other functions as determined by the Tribal Council, Tribal Chairperson and Vice-
Chairperson in a Resolution distributed to the Gaming Authority and Management
Contractor (if any), the Gaming Commission may delegate any of its duties and authorities
to the Executive Director; and

HH. _ If the Gaming Commission has not yet been appointed, then the Executive Director
shall have the powers of the Gaming Commission until the Gaming Commission is
appointed in accordance with Section 3-301.

Section 3-311 RIGHT OF INSPECTION.
The Gaming Commission shall have the authority to:

A. Inspect and examine all Gaming Facilities and premises where gambling devices or
equipment are manufactured, sold or distributed;

B. Inspect all equipment and supplies in, upon or about a Gaming Facility, or inspect
any equipment or supplies, wherever located, which may have or have been used in the
Gaming Facility;

& Seize and remove from a Gaming Facility, wherever located, and impound such
equipment and supplies for the purpose of examination, inspection, evidence or forfeiture,
providing reasonable notice as long as such notice will not adversely affect an
investigation;

D. Secure unfettered access to and inspect, examine and audit all papers, books and
records of applicants and Licensees respecting any income produced by any gaming
activity and require verification of income and all other matters affecting the enforcement
of the policy of, or any of the provisions of, this Ordinance; and

12


Section 3-312 POWERS OF DELEGATION; BUDGETING MATTERG. .....sssssesseeee 13

Section 3-313 RECORDKEEPIN Gossosssssscssssisiecesssasccvicccsessiconit iiss abo 13

Section 3-314 PROCESSING EMPLOYEE AND PATRON COMPLAINTS.

Section 3-315 VIOLATIONS OF GAMING ORDINANCE — CIVIL

INFRACTION.

Section 3-316 LIMITATIONS PERIOD. stssstistcssscccsisinnoririiraassaniarcssuintaccanniiicsssstis 15
ARTICLE IV EXECUTIVE DIRECTOR ssssisssscssnsscsssnssstssssssessoscssntsssnsssssonensesssuiiessssannsasiusucasossaiitesssosssiass 15

Section 3-401 QUALIFICATIONS OF EXECUTIVE DIRECTOR; SALARY. sss. 15

Section 3-402 AUTHORITY OF EXECUTIVE DIRECTOR...

Section 3-403 FILES AND RECORDS TO BE MAINTAINED BY THE
EXECUTIVE DIRECTOR AND THE GAMING COMMISSION;
CONFIDENTIALITY OF INFORMATION. ....

ARTICLE V FACILITY AND OPERATIONAL REQUIREMENTS. ....ssssssssssssssessssessessssssstesssssseeesssssses 18
Section 3-501 AUDIT. wcessssssssssesssesssesssssssnseeceesessesssssesstesesvessssesssseeseseunsnusssssnseeseanessuausssssess 18
Section 3-502 PUBLIC HEALTH AND SAFETY...

Section 3-503 PATRON DISPUTES .ssssccossssssonsssssssssssnsssosnsssonsansanssonsonsoseusassocacsosssesessionion 18
Section 3-504 FACILITY LICENSES.....csssssssssssssssssssssseerssssessessssesssessnstessnnsssensesssessses 19
Section 3-505 SERVICE OF PROCESS ssssiascsssszssesscasnsaanisaraespacnsssaasausnssen caoanonnzeasiaata, 19
Section 3-506 PROCUREMENT s ssssisossssisssscnnsnasasnasssssosaasoasassssaniassopistaomazunnsnonsesanves 19
Section 3-507 INDIAN PREFERENCE céscssssisccsscososssossssssccsscssascensssssssssssssaiatisssastsisvisoiss 20
Section 3-508 TRIBAL MINIMUM INTERNAL CONTROL STANDARDS. ....sssso 20
Section 3-509 SURVEILLANCE REQUIREMENTS...ssssssssssssssssessssssssssssesssessssssssseesees 20

ARTICLE VI LICENSING AND BACKGROUND INVESTIGATIONS

Section 3-601 GENERAL LICENSING REQUIREMENTS. escsssssssssssessesssssnsssssnseeeseee 22
Section 3-602 LICENSE APPLICATION FORMS. ...scscsssssssssessssseessssssessenssssstssssstenee 22
Section 3-603 LICENSE FEES.

Section 3-604 FINGERPRINTS. sssescosnssseceessnssvencerennsesnconontecorononenigovoesnepopossntsctensestneneence 23


B. Gaming Resource Suppliers.

1.

Every Gaming Resource Supplier shall be licensed by the Gaming
Commission prior to the sale, lease or distribution, or further sale, lease, or
distribution, of any Gaming Resources to or in connection with the Tribe’s
Gaming Operation or Gaming Facility. Except as otherwise provided under
the Tribal-State Compact, the Gaming Resource Supplier shall also apply to,
and the Tribe shall require it to apply to, the State Gaming Agency for a
determination of suitability at least thirty (30) calendar days prior to the
sale, lease, or distribution, or further sale, lease, or distribution, of any
Gaming Resources to or in connection with the Gaming Operation or Gaming
Facility. If the State Gaming Agency denies or revokes a determination of
suitability, the Gaming Commission shall immediately deny or revoke the
license and shall not reissue any license to that Gaming Resource Supplier
unless and until the State Gaming Agency makes a determination that the
Gaming Resource Supplier is suitable.

Any agreement between the Tribe and a Gaming Resource Supplier shall
include a provision for its termination without further liability on the part of
the Tribe, except for the bona fide payment of all outstanding sums
(exclusive of interest) owed as of, or payment for services or materials
received up to, the date of termination, upon revocation or non-renewal of
the Gaming Resource Supplier's license by the Gaming Commission based on
a determination of unsuitability by the State Gaming Agency. Except as set
forth above, the Tribe shall not enter into, or continue to make payments to a
Gaming Resource Supplier pursuant to, any contract or agreement for the
provision of Gaming Resources with any person or entity whose application
to the State Gaming Agency for a determination of suitability has been denied
or revoked or whose determination of suitability has expired without
renewal.

C. Financial Sources.

1.

Every Financial Source subject to (and not excluded from) licensing by the
Gaming Commission pursuant to the terms and exceptions included within a
Tribal-State Compact shall, contemporaneously with the filing of its tribal
license application, apply to the State Gaming Agency for a determination of
suitability. In the event the State Gaming Agency denies the determination of
suitability, the Gaming Commission shall immediately deny or revoke the
license. A Gaming Resource Supplier who provides financing exclusively in
connection with the provision, sale or lease of Gaming Resources obtained
from that supplier may be licensed solely in accordance with licensing
procedures applicable, if at all, to Gaming Resource Suppliers and need not
be licensed as a Financial Source under a Tribal-State Compact.

Any agreement between the Tribe and a Financial Source shall be deemed to
include a provision for its termination without further liability on the part of

33


The Management Contractor (or, if none, the Gaming Authority) will provide
any and all desired plans for gaming equipment installation, removal,
modification, any construction or future construction of Gaming Facility
layout changes that involve moving or altering gaming or surveillance
equipment to the Gaming Commission for review and approval, prior to any
change.

The Management Contractor (or, if none, the Gaming Authority) shall comply
with any additional requirements deemed necessary or appropriate by the
Gaming Commission with regard to surveillance equipment, coverage or
layout, in order to adequately protect the security of assets, and the security
and safety of patrons and employees.

The surveillance department shall operate in compliance with the Gaming
Ordinance, Gaming Commission regulations, NIGC regulations, any applicable
Federal laws and Tribe-State Compact provisions.

The surveillance department will assure the protection of Tribal assets and
assist in the safety and security of employees, patrons, and their property
through the maintenance and operation of a closed circuit television system
and other acceptable surveillance methods and techniques.

The surveillance area shall be a restricted area and shall be accessible only to
surveillance personnel, Gaming Commission personnel, authorized State and
Federal officials and other individuals specifically authorized by the Gaming
Commission.

The regulations shall also require surveillance system plans and reporting
including:

a. The Management Contractor (or, if none, the Gaming Authority) shall
submit to the Gaming Commission for its approval a surveillance
system and operations plan no later than ninety (90) days prior to the
start of gaming operations and annually thereafter;

b. The surveillance system and operations plan shall include a casino
floor plan that shows the placement of all surveillance equipment in
relation to the locations required to be covered, and a detailed
description of the casino surveillance system and its equipment;

c The Management Contractor (or, if none, the Gaming Authority) shall
submit to the Gaming Commission for its approval, and prior to
implementation, any proposed surveillance equipment revisions, not
including normal repair and maintenance issues;

d. The Management Contractor (or, if none, the Gaming Authority) shall
independently report any illegal activity to the Gaming Commission as

21


WILTON RANCHERIA CODE
TITLE 1 - BUSINESS AND FINANCE CODE
CHAPTER 3 - GAMING ORDINANCE OF 2019
CITE AS: 1 WRC § 3-101, et seq.

ENACTED: May 23, 2019

TABLE OF CONTENTS

ARTICLE I GENERAL. 1

Section 3-101 AUTHORBIDY. sesorsrseteareeserestnevoconannteancsietcacsaraascsnsssusscannetsussnascecsosdssubnssitbes 1
Section 3-102 PURPOSE. ..esssssssssssssnscecceeceessssssseusssssssnsenececeeeeeesessnunuunnssseseneccessnasssssseeeeeeesee 1
Section 3-103 DEFINITIONS..

ARTICLE II GENERAL PROVISIONS sisssssisscosiinissuccsasssssssauosssssoivsevisesposatesasscsiseissussesartaaalcsSsanansbesenestiis 5
Section 3-201 GAMING AUTHORIZED....sscsssssssssssssssssssssssssesseessceessnsssssesesessessunnseseeeeeeesee 5
Section 3-202 OWNERSHIP OF GAMING. cecsssssssssssssssssssssssesecssssessssussessnseeseessnnunsnseeeeeseee
Section 3-203 USE OF NET GAMING REVENUES. e.scssssssssssssssssssssssseeesnssseessnaneesenses 5

ARTICLE IIT GAMING COMMISSION ovsssssssssssssssssssssssessssssssscsssuussnsssscsesseceessesssumuussanssssssscsecsessasssssssceecsecee 6
Section 3-301 ESTABLISHMEN Twississssssssscscsscsassscccrcccsvssscsteenssuunssusanesescissuaiuaaiastoesssssuiietia 6
Section 3-302 RESTRICTIONS ON COMMISSIONERS. .vsssssssssssssssssssessssseeesssesseseneesO
Section 3-303 ETHICS.

Section 3-304 MEETINGS OPEN TO THE PUBLIC. ...ccccssssscssssssssesssseesssnseeetussntesianese 7
Section 3-305 QUORUM REQUIRED. .esssssssssssssssssssssssssssesseeesecssususssssssseeeeeesseunnsnsseesecsecees 7
Section 3-306 QUARTERLY REPORTS...
Section 3-307 POWERS cississssisssnsisicscsssssscssissvcsassssssonctovscosetcieiscuscsstcdsccisstitinsnbeeceiaiaaeel 8
Section 3-308 ISSUANCE OF REGULATIONS. wccsssssssssssssssessssscsssssssssssseeseesssssnseneeeeeeeeee 8
Section 3-309 REQUEST FOR GAMING COMMISSION ACTION. .....sssssscssssssesssnseee 9
Section 3-310 JURISDICTION AND DUTIES OF THE GAMING

COMMISSION. seecssssssscesssesssssssesssonsesuassonstenssnssesunsasssnesensceeeuneeeeesaneteeeeeste 9

Section 3-311 RIGHT OF INSPECTION. .ssssssssessssssseesssssnsssssnssssssttssseteesassssennsseneisess 12


B. Upon request, the Gaming Commission shall provide the State Gaming Agency with
the name, badge identification number (if any), and job title of all Gaming Employees.

C. Within twenty-one (21) calendar days of the issuance of a license to a Gaming
Resource Supplier, the Gaming Commission shall transmit to the State Gaming Agency a
copy of the license and a copy of all tribal license application materials and information
received by it from the applicant which is not otherwise prohibited or restricted from
disclosure under applicable federal law or regulation.

D. Within twenty-one (21) calendar days of the issuance of a license to a Financial
Source, the Gaming Commission shall transmit to the State Gaming Agency a copy of the
license. Upon issuance of a license, the Gaming Commission shall direct the Financial
Source Licensee to transmit to the State Gaming Agency within twenty-one (21) calendar
days a copy of all license application materials and information submitted to the Gaming
Commission.

E. Prior to renewing a license, the Gaming Commission shall forward to the State
Gaming Agency copies of all information and documents received in connection with the
application for renewal of the tribal gaming license, which is not otherwise prohibited or
restricted from disclosure under applicable federal law or regulation, for purposes of the
State Gaming Agency’s consideration of renewal of its determination of suitability.

F Notwithstanding any requirements to the contrary in this Ordinance, if the Tribe
operates a Gaming Facility that offers only Class II Gaming and not Class III Gaming, or the
Tribe is not otherwise subject to State reporting requirements, the Gaming Commission’s
reporting and other obligations pursuant to this Ordinance shall be limited to those
required under applicable federal law. In such case, the Gaming Commission’s ability to
issue a license shall not be dependent on receiving a determination of suitability from the
State Gaming Agency unless otherwise required by applicable federal law.

Section 3-611 TING ING LICENSE.
A. The Gaming Commission is responsible for granting and issuing gaming licenses to

all Primary Management Officials, Key Employees and any other entities required to hold a
gaming license pursuant to this Ordinance and the Tribal-State Compact.

B. The Gaming Commission may license a Primary Management Official or Key
Employee applicant after submitting a notice of results of the applicant’s background
investigation to the NIGC as required under this Ordinance.

C. The Gaming Commission shall notify the NIGC of the issuance of a license to a
Primary Management Official or Key Employee within thirty (30) calendar days of issuance.

Dz The Tribe shall not employ an individual in a Primary Management Official or Key
Employee position who does not have a license after ninety (90) calendar days of beginning
work at the Gaming Operation.

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Section 3-621 EXEMPTION OF ING RESOURCE PLIER'S
LICENSING.

The Gaming Commission may adopt regulations naming specific licensing authorities that it
recognizes and may authorize exemptions to the Gaming Resources Supplier licensing
process from Gaming Resource Suppliers who have received a license from one of the
recognized state or tribal regulatory bodies, to the extent such exemption is not
inconsistent with the Tribal-State Compact.

Section 3-622 REGISTRATION OF SUPPLIERS PROVIDING GOODS AND
SERVICES T: E OPERATION.

All persons supplying $50,000 or more in goods or services to the Gaming Operation in a
calendar quarter, but not required to be licensed as a Gaming Resources Supplier, a
Financial Source or a Management Contractor (“Supplier(s)”), shall register with the
Gaming Commission. Registration shall be accomplished by completing and submitting the
registration form provided by the Gaming Commission. Registration forms must be
submitted to the Commission within ten (10) days of such Suppliers supplying $50,000 or
more in goods or services to the Gaming Operation in a calendar quarter. The Commission
shall promulgate a regulation adopting a form of registration form within one hundred and
eighty (180) days of approval of this Ordinance. The Gaming Operation shall notify
Suppliers providing goods or services to the Gaming Operation that they may be obligated
to complete the registration form. It is the responsibility of the Supplier providing goods or
services of $50,000 or more to the Gaming Operation in a calendar quarter to complete the
registration form, and it is their responsibility to update the registration form in the event
of any change in information. To facilitate compliance with this Section, the Gaming
Operation shall establish a tracking system to monitor the purchase of goods and services
of $50,000 or more from any Supplier in a calendar quarter. The Gaming Operation shall
make this information available to the Gaming Commission upon request. This registration
obligation shall become effective two hundred and forty (240) days after the effective date
of this Ordinance.

Section 3-623 IDENTIFICATI: ARDS.

All persons who are required to be licensed pursuant to this Ordinance shall be required to
wear, in plain view at all times while in a Gaming Facility, identification badges issued by
the Gaming Commission. The identification badges must display the person’s photograph,
identification number, name, and expiration date of his or her license. The Gaming
Commission may allow temporary exceptions to this provision for the purposes of
authorizing investigators who are actively investigating a matter within the Gaming Facility
to monitor Gaming Activities.

Section 3-624 DUE P| SS.
A. The denial, suspension or revocation of a license pursuant to this Ordinance shall
require:

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10.

11.

12.
13.

14.

The names and current addresses of at least three (3) personal references,
including one (1) personal reference who was acquainted with the applicant
during each period of residence listed under paragraph (B)(2) of this Section;

Current business and residence telephone numbers, and all cell phone
numbers;

A description of any existing and previous business relationships with other
Indian tribes, including ownership interests in the businesses;

A description of any existing and previous business relationships with the
gaming industry generally, including ownership interests in the businesses;

The name and address of any licensing or regulatory agency with which the
person has filed an application for a license or permit related to gaming,
whether or not such license or permit was granted;

For each felony for which there is an ongoing prosecution or a conviction, the
charge, the name and address of the court involved, and the date and
disposition, if any;

For each misdemeanor conviction or ongoing misdemeanor prosecution
(excluding minor traffic violations, but including any conviction for driving
under the influence), within ten (10) years of the date of the application, the
name and address of the court involved and the date and disposition, if any;

For each criminal charge (excluding minor traffic charges, but including any
charge for driving under the influence), whether or not there is a conviction,
if such criminal charge is within ten (10) years of the date of the application
and is not otherwise listed pursuant to paragraphs (B)(8) or (B)(9) of this
Section, the criminal charge, the name and address of the court involved and
the date and disposition, if any;

The name and address of any licensing or regulatory agency with which the
person has filed an application for an occupational license or permit, whether
or not such license or permit was granted;

A photograph within the last six (6) months;

Fingerprints obtained in accordance with procedures adopted by the Gaming
Commission pursuant to 25 C.F.R. § 522.2(h); and

Any other information the Gaming Commission deems relevant.

C. When a Primary Management Official or Key Employee is employed by the Tribe,
the Gaming Commission shall maintain a complete application file, containing all of the
information listed in paragraph (B) of this Section.

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tion 3- QUARTERLY REPORTS.

The Gaming Commission shall prepare and distribute quarterly reports to the Tribal
Council, Tribal Chairperson and Vice-Chairperson within thirty (30) calendar days after the
close of the quarter for which the information is being required. The reports shall include a
full and complete statement of all financial transactions of the Gaming Commission and a
summary of all licensing and enforcement actions. Such reports may be in the form of
minutes of the Gaming Commission meetings supplemented by any additional documents
as may be appropriate. The Gaming Commission, the Tribal Council, the Tribal Chairperson
and Vice-Chairperson may meet on a quarterly basis for presentation of the quarterly
reports at the Tribal Council, the Tribal Chairperson and Vice-Chairperson’s discretion.

Section3-307 = + POWERS.

The Gaming Commission shall exercise all powers necessary to effectuate the purposes of
this Ordinance. The Gaming Commission may exercise any proper power and authority
necessary or convenient to operate in a sufficiently independent manner and perform its
responsibilities under this Ordinance. The Gaming Commission shall meet not less than
once each month to make recommendations and set regulatory policy and transact other
business that may be properly brought before it. The ultimate power to interpret the
Tribal-State Compact is specifically reserved by the Tribal Council, the Tribal Chairperson
and Vice-Chairperson.

Section 3-308 ISSUANCE OF REGULATIONS.
A. The Gaming Commission shall from time to time promulgate and issue regulations

governing any aspect of its or its staff's responsibilities under this Ordinance. As long as the
regulations are in furtherance of and not in conflict with any provision of this Ordinance
and are ratified by the Tribal Council pursuant to Section 3-308(E) or are emergency
regulations, the regulations shall have the force of law.

B. At least thirty (30) business days before adopting, amending or repealing
regulations, the Gaming Commission shall give notice of the proposed action to the Gaming
Authority, the Management Contractor (if any), and other persons whom the Gaming
Commission has reason to believe have a legitimate interest in such proposed action, as
well as to the Tribal Chairperson who shall review and present to the Tribal Council for
their ratification. The notice shall describe the general nature of the proposed action and
advise how comments on the proposed action shall be received by the Gaming Commission.

C. Public notice may be given by posting for at least one (1) week at a place designated
by the Gaming Commission within the Gaming Facility office complex.

D. In emergencies, the Gaming Commission may summarily adopt, amend or repeal
any regulation if the Gaming Commission determines such action is necessary for the
immediate preservation of the public peace, health, safety, morals, good order or general
welfare, together with a statement of facts constituting the emergency; provided, however,
that the Gaming Commission shall schedule a hearing to receive comments within sixty

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copy of the list to the State Gaming Agency quarterly and shall make a copy of the current
list available to the State Gaming Agency upon request;

T. Establish a list of persons who have voluntarily agreed to be excluded from gaming,
and create regulations for enforcing the exclusions;

U. Provide referrals and information to the appropriate law enforcement officials when
such information indicates a violation of tribal, federal or state statutes, ordinances,
regulations, codes or resolutions;

Vv. Create a list of regulatory authorities that conduct background investigations of
licensees and are recognized as trustworthy;

w. Promulgate regulations exempting Suppliers from the licensing and/or background
investigation requirements if they have received a license from a recognized regulatory
authority;

X. Perform such other duties that the Gaming Commission deems appropriate for the
proper regulation of the Gaming Operation;

Y. Promulgate such regulations and guidelines as deemed appropriate to implement
the provisions of this Ordinance, so long as they are in furtherance of, and not in conflict
with, any provisions of this Ordinance;

Z. Ensure that all gaming fees for all Gaming Activities and any other fees assessed by
the NIGC are sent to the NIGC on a timely basis;

AA. Correspond with the NIGC regarding compliance with the rules and regulations of
that agency. The Gaming Commission shall coordinate with the Tribal Council, Tribal
Chairperson and Vice-Chairperson regarding correspondence with the NIGC on any policy
matter;

BB. Assure that all Gaming Activities are conducted honestly and fairly and that the
Gaming Facility is constructed in a manner that adequately protects the environment and
the public health and safety;

CC. Establish an adequate system to include fingerprint clearances with the California
Department of Justice and/or with the NIGC, which ensures that background investigations
are conducted on all Primary Management Officials and Key Employees of any Gaming
Activities and that oversight of such officials and their management is conducted on an
ongoing basis. The Gaming Commission will have final authority regarding the granting of
tribal gaming licenses for Primary Management Officials and Key Employees and other
persons. The Gaming Commission shall notify the NIGC of the issuance of such licenses. The
Gaming Commission will review all applications and background investigations to ensure
that no person shall be eligible for employment in or with any part of the Gaming Operation
if that person's prior activities, criminal record or reputation, habits or associations pose a
threat to the public interest or to the effective regulation of Gaming, or create or enhance
the dangers of unsuitable, unfair or illegal practice, methods and activities in the conduct of
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