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RESOLUTION 00-311

APPROVAL OF MOORETOWN GAMING COMMISSION REGULATIONS

AND RESUBMITTAL OP TRIBAL GAMING ORDINANCE 99-22

WHEREAS, the Mooretown Rancheria is a federally-recognized Indian tribe

located in Butte County, California; and

WHEREAS, the Mooretown Rancheria is engaged in lawful indian gaming in

compliance with the Indian Gaming Regulatory Act.

NOW, THEREFORE, BE IT RESOLVED THAT the Tribal Council of the

Mooretown Rancheria hereby approves the Mooretown Gaming Commission

Regulations, regarding Criminal History and Background Investigations, as

revised October 19, 2000.

BE IT FURTHER RESOLVED THAT the submission requirements of 25 CFR

522.2 have been met with the approval of the Tribal Gaming Ordinance 99-22

by the National Indian Gaming Commission (NIGC).

CERTIFICATION

Resolution 00-311

I, the undersigned, as Tribal Chairperson of the Mooretown Rancheria, hereby

certify that at a duly called and convened meeting on the 19th day of October,

2000, at which a quorum of the Tribal Council was present, this Resolution

was adopted by a vote of:

yes, no, and abstentions

and that said Resolution has not been rescinded or amended in any way.

Shirley Prusia, Tn Chairperson J)a~te

ATTESTED BY: - -.

Debbie Schmidt, Tribal Council Secretary Date
MOORETOWN GAMING COMMISSION REGULATIONS

SUBJECT: GENERAL REGULATIONS

CONDUCTING BACKGROUND INVESTIGATIONS

I.PURPOSE

Pursuant to 99-22-5 (h) of the Tribal Gaming Ordinance (Gaming Commission) which states in part

The Gaming Commission shall have the power, duty, and primary responsibility to carry out the

Tribes regulatory responsibilities under federal or tribal law and any applicable gaming compact...

This document in accordance to 25CFR § 522.2(b) is established to set forth reasonable and

progressive Tribal Gaming Regulations as deemed necessary and appropriate by the Tribal Gaming

Commission.

II.LICENSING PROGRAM

The Mooretown Gaming Commission gaming licensing program is an investigative licensing process

under which applicants are subject to applicable provisions set forth in the Indian Gaming Regulatory

Act (IGRA) and regulations promulgated thereunder; Tribal Law, and any other applicable law or

Tribal-State Compact. An applicant that meets the standards for licensing wilt be granted a license and

will be subject to biennial renewal. Any gaming license granted shall be deemed a privilege that is

subject to suspension or revocation at any time.

III.LICENSE APPLICATIONS

A license applicant must submit all application documents, including any fees required, to the office of

the Gaming Commission. License applications are subject to the following requirements.

a. Applications must be submitted on forms approved by the Gaming Commission. An

application is not considered complete until all information requested is provided to the

Gaming Commission. If the application is incomplete or if the applicant fails to promptly

provide any additional materials requested, the license may be denied.

b. Applicants must provide a general release and waiver of any privilege in connection with

the release of all information required to conduct the review and investigation, so that the

Gaming Commission may obtain from any and all sources that information which otherwise

may be privileged.

c. The Gaming Commission shall require fingerprinting and background checks for Class A

license applicants )to include any key employee or primary management official, as defined

in IGRA), and may require fingerprinting and background checks as part of the licensing

investigation for any person seeking a license or holding an interest in any gaming activity,

including but not limited to an interest in equipment, financing, supplies or services.

The gaming Commission may submit fingerprints to the Federal Bureau of Investigation,

the National Indian Gaming Commission, or another federal, local, or state agency for the

purpose of searching their records for any criminal background information.

IV.BURDEN ON APPLICANT

The burden of proof with respect to the granting of any license is at all times upon the person applying for

or holding such license. No license shall be granted unless and until the applicant has satisfied the Gaming

Commission of their good character, honesty and integrity.
GENERAL REGULATIONS

BACKGROUND NVESTIGATIONS

Page 2

V.RELEASE OF CLAIMS

The application to receive a gaming license constitutes a request for detennination of the applicants

general character, integrity and ability to participate or engage in, or to be associated with the gaming

operation. Any written or oral statement made in the course of an investigation, proceeding or process of

the Gaming Commission by any member, employee or by any witness, which is relevant to the

investigation, proceeding or process, is absolutely privileged and shall not impose any liability for slander,

libel or defamation, or constitute any grounds for recovery in any legal action. An applicant must accept all

risk of adverse public notice, embarrassment or other action; which may result from the application and

investigation process, and must expressly waive any claim for damages as a result of the process.

VI.CLASS A LICENSE

A license issued to an individual for employment with any Class II or Class Ill gaming activity, shall be

considered a Class A license. Employees who is considered a key employee or primary management

official must qualiQv for and hold a Class A gaming license.

Employees in any Class 11 or Class Eli gaming enterprise who perform one or more of the following

functions are considered to be key employees, and must qualif~, for and be licensed as Class A employee:

bingo caller; counting room supervisor; chief of security; custodian of gaming supplies or cash; floor

manager; it boss; dealer; croupier; approver of credit; or custodian of gambling devices, including persons

with access to cash and accounting records within such devices. If not otherwise included, all persons

whose total cash compensation exceeds $50,000 per year and the four (4) most highly compensated persons

in the gaming operation must qualif~j for and obtain a Class A license.

These are standards set forth by Mooretown Gaming Commission on this

date: October 19, 2000

Sharon Arnold, Commissioner

Calvin Rose, Commissioner

Ernest Tognietti, Commissioner

Mariam Davis, Secretary-Commissioner
GAMING COMMISSION PROCEDURES

FOR APPLICANT INTERVIEW

APPLICATION STATEMENT

Pg 1: Personal History

Name

1) Ask for all alias names (This is checked through DMV records)

2) Women

a. Get all married names

b. Maiden names

Current Information

1) This information is confirmed off their Drivers License or Identification

card.

a) date of birth

b) address

c) height

d) weight

e) hair color

f) eye color

2) Check Social Security number confirmed with Social Security Card

and Credit Report.

3) Previous address for last 5 years. Check with Credit Report and or

Social Search Report.

Financial

1) Use credit check through Credit Data North for the last ten (10) years.

Pg 2: Criminal History

1) Check for misdemeanors and felonies at local County Court House and

an outside agency Information Resource Service Company (IRSC) for

out of state or county for last 10 years.

Pg 3: References

Employment History

1) Make sure no lapse of time in employment (month to month, year to

year)

2) Any lapse in time needs justification

3) Verification on credit report

4) Call previous employers. Ask for dates of employment, position held,

reason for leaving and if rehireable.

Business

1) Needed most recent years tax forms ified

Personal

1) Contact at least three references in person or over

phone on character of individual.
V

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(C I

Pg 4: Gaming

Business Relationships

I) We ask applicant to list any interest in the gaming industry.

Financial Relationships

1) Applicant to list any financial situation within a gaming operation.

Licensing

1) Applicant to list all licenses held with any gaming establishment

2) If applicable photocopy previous gaming license.

Pg 5: Education

High School

1) Get all documents that confirm their high school diploma or GED.

College

1) All documents that confirm; transcripts or degree.

Certificates

1) All documents that confirm trade school or training in a specific field.

9/00
V

MOORETOWN GAMING COMMISSION REGULATIONS

SUBJECT: GENERAL REGULATIONS

CONDUCTING CRIMINAL HISTORY CHECKS

I.AUTHORITY

Pursuant to 99-22-11 (a)(14) of the Tribal Gaming Ordinance (Gaming Commission) which states in

part Fingerprints consistent with procedures adopted by the Gaming Commission according to 25CFR

§ 522.2(h) and 99-2211 (b) The Gaming Commission may employ all reasonable means, including

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

information necessary to determine whether or not a license should be issued.... This document is

established to set forth reasonable and progressive Tribal Gaming Regulations as deemed necessary

and appropriate by theTribal Gaming Commission.

II.PROCESSING PROCEDURES

The Mooretown Gaming Commission is processing fingerprint cards submitted to the National Indian

Gaming Commission (NIGC) as part of their employee background investigations. This is required by

the Gaming Commission to perform a fingerprint check, through the FBI records system, as part of the

background investigation on each individual who has applied for a position as a key employee or

primary management official.

III.LAW ENFORCEMENT AGENCY

Pursuant to Tribal Resolution 97-202 the Tribe authorizes the Mooretown Gaming Commission to

enforce all provisions of Tribal and Federal gaming regulations or provisions of any TriballState

compact, and that the Tribe authorizes the Mooretown Gaming Commission to take all fingerprints and

process the fingerprint cards through the Federal Bureau of Investigations via the National Indian

Gaming Commission.

IV.BURDEN ON APPLICANT

The burden of proof with respect to the granting of any license is at all times upon the person applying

for or holding such license. No license shall be granted unless and until the applicant has satisfied the

Gaming Commission of their good character, honesty and integrity.

V.POLICY

Applicants are subject to applicable provisions set forth in the Indian Gaming Regulatory Act

(IGRA) and regulations promulgated there under; Tribal Law, and any other applicable law or

Tribal-State Compact. An applicant that meets the standards for licensing will be granted a license and

will be subject to biennial renewal. Any gaming license granted shall be deemed a privilege that is

subject to suspension or revocation at any time.

These are standards set forth by Mooretown Gaming Commission on this

date: October 19, 2000

Sharon Arnold, Commissioner

Calvin Rose, Commissioner

Ernest Tognietti, Commissioner

Mariam Davis, Secretary-Commissioner
GAMING COMMISSION PROCEDURES

FOR CRIMINAL HISTORY CHECKS

In accordance with the 25 C.F.R. § 522.2(h)

Interview Application

The Tribal Gaming Commission shall have sole authority and responsibility to conduct

investigations and file reports. All federal and misdemeanor criminal charges are to be

recorded, investigated and filed.

All current information contained in the employee application is verified by these

designated agencies:

California Driver License (current) or California Identification Card

Department of Motor Vehicle printout

Social Security Card

Credit Report

Military DD2 14 discharge papers

Criminal Check last 10 years

1) local County Court House records

2) all other Counties and States records with an outside agency

3) Federal Bureau Investigation (FBI)

Local Court House

Tribal Gaming Commissioner in person conducts the criminal investigation at the local

Butte County Court House. Information is collected on charges, dates, dispositions,

penalties and fines.

Outs~ide ARencV

Applicants addresses living outside of the area are investigated through an outside

agency, Information Resource Service Company (IRSC). Information pertaining to their

State, County, and previous address is obtained through the initial interview with

applicant and Gaming Commissioner.

Federal Bureau ofInvestijation

Mooretown Gaming Commission is required to perform a fingerprint check, through the

FBI records system. Fingerprints are taken of the applicant in a key employee or primary

management official position by a Tribal Gaming Commissioner. The completed

fingerprint cards are forwarded directly to the National Indian Gaming Commission to be

immediately sent to the FBI for processing.

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ORDINANCE 99-22

TRIBAL GAMING REGULATIONS

99-22-1 PURPOSE

The Tribal Council of the Mooretown Rancheria (Council), empowered

by the Constitution and bylaws of the Mooretown Rancheria (Rancheria),

hereby enacts this Ordinance to govern class II and/or Class rn, subject to the

establishment of a compact with the State of California, class II gaming as

operations on Tribal lands. The Council of the Mooretown Rancheria,

empowered by the Constitution and bylaws of the Mooretown Rancheria also

hereby establishes the Mooretown Gaming Commission to conduct all the

provisions empowered to the Commission provided for in this ordinance. The

Gaming Commission is funded by Tribal Government programs.

99-22-2 GAMING AUTHORIZED

Class II and/or class ifi gaming, subject to the establishment of a

compact with the State of California, as defined in the Indian Gaming

Regulatory Act (25 U.S.C. § 2701 et seq. (IGRA) and regulations promulgated

thereunder.

99-22-3 DEFINITIONS

Unless otherwise specified the terms used in this document shall have the

same meaning as they do in IGRA, and NIGC, 25 U.S.C chapter ifi, and a legal

binding compact signed by the designated authorities for Tribe and State. With

the exclusion of NIGC 502.1, Chairman, in this document any reference to

chairman means the Mooretown Rancheria Tribal Chairman, and NIGC 502.6

Commission, in this document any reference to Commission, Gaming

Commission or Commissioners shall mean the employees of the Mooretown

Rancheria Gaming Commission.

-

-
Ordinc~nce 99-22

Mooretown Rancheria Tribal Gaming Regulations

99-22-4 OWNERSHIP OF GAMING

The Rancheria shall have the sole propriety interest in and responsibility

for the conduct of any gaming operation authorized by this Ordinance.

99-22-5 GAMING COMMISSION

a. Gaming Commission or Tribal Gaining Agency shall mean the

Mooretown Gaming Commission as established herein under tribal

law, and designated responsibility for carrying out the Tribes

regulatory responsibilities under IGRA and this Gaming Act,

including the duties and responsibilities set forth in any Gaming

Compact adopted by the Tribe.

b. The Gaming Commission shall be composed of three (3) to seven

(7) permanent, full time employees. These positions will include

one (1) management position. The increase or decrease in the

number of employees shall be the decision of the Tribal Council.

c. Gaming Commission employees are employees of Mooretown

Rancheria and shall be subject to the Personnel Policies &

Procedures of Mooretown Rancheria. This includes pre

employment requirements, employee conduct and termination of

employment.

d. Gaming Commission employees are prohibited from working at any

gaming enterprise or gaming facility of Mooretown Rancheria.

e. Members of the Tribal Council are not eligible for employment on

the GRming Commission during their term.

f. Commissioners may be removed from office by the Tribal Council,

for neglect of duty, malfeasance or other good cause shown,

including but not limited to dishonesty or an unacceptable drug

test.

g. The Gaming Commission Role and Scope of Duties shall be set

forth in a document so named and adopted by the Tribal Council.

h. The Gaming commission shall have the power, duty, and primary

responsibility to carry out the Tribes regulatory responsibilities

under federal or tribal law and any applicable gaming compact; to

enforce those requirements; and to protect the integrity of the

gaming activities and the reputation of the Tribe and the gaming

operation for honesty, fairness, and confidence of patrons, under

provisions to include the following:

1. Inspect, examine and monitor Gaming Activities and gaming

facilities, including unresthcted access to any area of the

gaming operation, the authority to inspect, examine,

Page 2 of 15
Ordinance 99-22

Mooretown Rancheria Tribal Gaming Regulations

photocopy and audit all papers, books and records

respecting such.

2. Investigate any suspicion of wrongdoing or violations in

connection with any Gaming Activities, and require

correction of violations as the Gaming Commission deems

necessary, including imposing fines or other sanctions

established by the Tribal Council, against licensees or other

persons who interfere with or violate the Tribes gaming

regulatory requirements under applicable federal or tribal

law or Gaming Compact.

3. Conduct, or cause to be conducted, such investigations in

connection with any Gaming Activity as may be necessary to

determine compliance with law, including this Gaming Act,

or with any contracts, agreements, goods, services, events,

incidents, or other matters related to the Gaming Activities.

4. Conduct, or cause to be conducted, background

investigations regarding any person in any way connected

with any Gaming Activities and issue licenses to, at

minimum, all Key Employees and Primary Management

Officials according to requirements at least as stringent as

those in 25 C.F.R. parts 556 and 558, as well as any

employees, investors, contractors, or others required to be

Licensed under standards established by the Gaining Act,

IGRA, or an applicable Gaming Compact.

5. implement and administer a system of investigating,

licensing, monitoring, reviewing, and license renewal for the

gaming facility, employees, gaming contractors and vendors,

suppliers, investors, and others connected with Gaming

Activities, as described below, including the issuance of

licenses to gaming facilities, individuals and entities as

required under this Gaming Act, IGRA, or any applicable

Gaming Compact.

6. To the extent required, comply with any reporting

requirements established under this Gaming Act, a Gaming

Compact to which the Tribe is a party, or other applicable

law, including the IGRA.

7. Issue such regulations as it deems appropriate in order to

implement the provisions of this Gaming Act, IGRA, or any

applicable Gaming compact, and to promulgate rules and

regulations for operation and management and ensure their

effective enforcement in areas including: enforcement of

relevant laws and rules; conduct of hearings and

investigations; physical safety of patrons, employees, and

other persons in the gaming facility; physical safeguarding of

Page3 of 15
Ordinance 99-22

Mooretown Rancheria Tribal Gaming Regulations

assets; prevention of illegal activity within the facility or in

respect to the gaming operation including employee

procedures and surveillance systems; detention of persons

who may be involved in illegal acts for notification of law

enforcement authorities; recording of any and all

occurrences within the gaming facility; conduct of audits;

submission, approval, and maintenance of class ifi game

rules; maintenance and approval of surveillance system

consistent with industry standards; cashiers cage

maintenance consistent with industry standards; staffing

and supervisory standards; staffing and supervisory

requirements; and technical standards for operation of

gaming terminals and other games consistent with gaming

testing laboratory standards.

8. Impose license fees, sanctions, fines, and conditions

established by the Tribal Council, and renew licenses; deny,

suspend or revOke licenses; and issue temporary or

conditional licenses as appropriate under the provisions of

this Gaming Act, IGRA, or an applicable Gaming compact.

9. Investigate and report violations and compliance failures as

required under this Gaming Act, IGRA, or an applicable

Gaming Compact.

10. Investigate and assure compliance with any requirements for

tribal ownership, management, and control of the gaming

facility and gaming operation, as set forth in tribal or federal

law or an applicable Gaming Compact.

11. Investigate and assure compliance with age restrictions for

patrons including provisions prohibiting minors in the

gaming facility and age limits on service of alcoholic

beverages as provided under applicable law.

12. Issue identification cards or badges to those persons

required to be licensed and require such cards or badges to

be worn at all times while in the gaming facility.

13. Review and monitor gaming facilities on the Reservation,

issue certifications, and assure gaming facility compliance

with any inspection and licensing requirements under

federal or tribal law, and any applicable Gaming Compact.

14. Carry out any requirements under tribal or federal law or

applicable Gaming Compact for the protection of the health

and safety of gaming facility patrons, guests, and employees,

including requirements that gaming facilities meet building

and safety codes duly adopted by the Tribe.

Page 4 of 15
Ordinance 99-22

Mooretown Rancheria Tribal Gaming Regulations

15. Monitor inspections by qualified building and safety experts

to review and determine compliance with such requirements

for gaming facility licensing and certification.

16. Carry out such other duties with respect to Gaming

Activities on the Reservation and this Gaming Act, IGRA, or

any applicable Gaming Compact shall direct.

99-22-6 USE OF GAMING REVENUE

a. The Council reserves the right to adopt or impose a uniform and

comprehensive system of revenue distribution and taxation relating to gaming,

provided such system is adopted in compliance with the IGRA.

b. Net revenues from gaming shall be used only for the following

purposes: to fund Tribal government operations and programs; to provide for

the general welfare of the Rancheria and its members; to promote Tribal

economic development; to donate to charitable organizations; or to help fund

operations of local government agencies.

c. If the Council elects to make per capita payments to Tribal

members, it shall authorize such payments only upon approval of a plan

submitted to the Secretary of the Interior or delegated authority under 25

U.S.C. § 2710(b)(3) and such rules as may be promulgated by the Council

and/or the Secretary under lawful authority.

99-22-7 AUDIT

a. The Council shall cause to be conducted annually an outside audit

by a recognized independent accounting firm for the gaming operations and

shall submit the resulting audit reports to the Tribe and National Indian

Gaming Commission or another entity as may be required by Jaw.

b. All gaming related contracts that result in the purchase of

supplies, services, or concessions in excess of $25,000.00 annually, except

contracts for professional legal and accounting services, shall be specifically

included within the scope of the audit.

Page 5 of 15
Ordinance 99-22

Mooretown Pancheria Tribal Gaining Regulations

99-22-8 ENVIRONMENT AND PUBLIC HEALTH AND SAFETY

All Tribal gaming facilities shall be constructed, maintained and operated

in compliance with federal law, Tribal Law and Ordinances to protect the

environment and the public heakh.and safety.

99-22-9 LICENSES FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT

OFFICIALS

The Gaming Commission will perform background investigations of and

issue licenses to key employees and primary management officials according to

the requirements of 25 CFR § 556 and 558. The Gaming Commission shall

ensure that the policies and procedures set out in the following sections are

implemented with respect to key employees and primary management officials

employed at any gpming enterprise operated on Mooretown Rancheria Tribal

lands.

DEFINITIONS

For the purposes of this section the following definitions apply:

a. Key employee means any person who performs one or more of the

following functions:

(1) Bingo Caller;

(2) Counting room supervisor;

(3) Chief of Security;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gambling devices, including persons with access

to cash and accounting records within such devices;

(11) If not otherwise included above, any other person whose total

cash compensation is in excess of $50,000 per year; or

(12) If not otherwise included above, the four most highly

compensated persons in the gaming operation.

b. Primary Management Official means any person who:

(1) Has management responsibility for a management contract;

Page 6 of 15
Ordinance 99-22

Mooretown Rancheria Tribal Gaining Regulations

(2) Has authority to hire and fire employees or to set up working

policy for the gaming operation; or

(3) Has financial management responsibility; for example, the

chief financial officer.

99-22-10 APPLICATION NOTICE

a. The following notices shall be placed on the application form for a

key employee or a primary management official before that form is filled out by

the applicant:

(1) In compliance with the Privacy Act of 1974, the following

information is provided: Solicitation of the information on this form

is authorized by 25 U.S.C. §~ 2701 et seq. The purpose of the

requested information is to determine the eligibility of individuals

to be employed in a gaming operation. The information will be

used by National Indian Gaming Conimission members and staff

who have a need for the information in the performance of their

official duties. The information may be disclosed to appropriate

Federal, Tribal, State, local, or foreign law enforcement and

regulatory agencies when relevant to civil, criminal or regulatoxy

investigations or prosecutions or when pursuant to a requirement

by a Tribe or the National Indian Gaming Commission in

connection with the hiring or firing of an employee, the issuance or

revocation of a gaming license, or investigations of activities while

associated with a Tribe or a gaming operation. Failure to consent

to the disclosure indicated in this notice will result in a Tribes

being unable to hire you in a primary management official or key

employee position. The disclosure of your Social Security Number

(SSN) is voluntary. However, failure to supply a SSN may result in

errors in processing your application.

(2) A false statement on any part of your application may be

grounds for not hiring you, or for firing you after you begin work.

Also, you may be punished by fine or imprisonment (U.S.Code, title

18, section 1001).

b. The Gaming Commission shall notify, in writing, existed key

employees and primary management officials that they shall:

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

notice pursuant to subsection (a)(1) of this section; or

Page 7 of 15
Ordinance 99-22

Mooretown Rancheria Tribal Gaming Regulations

(2) Sign a statement that contains the Privacy Act notice and

consent to the routing uses described in that notice.

and also that they shall:

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

regarding false statements pursuant to subsection (a)(2) of this section;

or

(4) Sign a statement that contains the notice regarding false

statements.

99-22-11 BACKGROUND INVESTIGATIONS

a. In addition to any applicable provisions in any compact with the

state of California, the Gaming Commission shall conduct a background

investigation for each ~,rimary management official and for each key employee.

The Gaming Commission shall request from each primary management official

and from each key employee all of the following information:

(1) Fu.1l 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 5 years: business and

employment positions held, ownership interests in those

businesses, business and residence addresses and drivers license

numbers;

(3) The names and current addresses of at least three personal

references, including one personal reference who was acquainted

with the applicant during each period of residence listed under

paragraph (2) of this section;

(4) Current business and residence telephone numbers;

(5) A description of any existing and previous business

relationships with Indian Tribes, including ownership interests in

those businesses;

(6) A description of any existing or previous business

relationships with the gpming industry generally, including

ownership interest in those businesses;

Page 8 of 15
Ordinance 99-22

Mooretown Rancheria Tribal Gaming Regulations

(7) The name and address of any licensing or regulatory agency

with which the person has ified an application for a license or

permit related to gaming, whether or not such license or permit

was granted;

(8) For each felony for which there is an ongoing prosecution or

a conviction, the charge, the name and address of the court

involved, and the date and disposition if any;

(9) For each misdemeanor conviction or ongoing misdemeanor

prosecution (excluding minor traffic violations), within 10 years of

the date of the application, the name and address of the court

involved and the date and disposition, if any;

(10) For each criminal charge (excluding minor traffic charges),

whether or not there is a conviction, if such criminal charge is

within 10 years of the date of the application and is not otherwise

listed pursuant to paragraph (8) or (9) of this section, the criminal

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

and disposition, if any;

(11) The name and address of any licensing or regulatory agency

(Federal, Tribal, State, local or foreign) with which the person has

ified an application for an occupational license or permit, whether

or not such license or permit was granted;

(12) A current photograph;

(13) Any other information the Gaming Commission deems

relevant; and

(14) Fingerprints consistent with procedures adopted by the

Gaming Commission according to 25 CFR § 522.2(h).

b. The Gaming Commission may employ all reasonable means,

including the engagement of outside services and investigators and the holding

of hearings to acquire the information necessary to determine whether or not a

license should be issued. Applicants shall also agree to release all information

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

section and to furnish such information to the Gaming commission, the NIGC

or other federal agency, or such other agency as may be required by law or an

applicable Gaming Compact.

Page 9 of 15
Ordinance 99-22

Mooretown Rancheria Tribal Gaming Regulations

c. The Gaming Commission shall conduct an investigation sufficient

to make a determination under 99-22-12 below. In conducting a background

investigation, the Gaming Commission or its agents shall promise to keep

confidential the identity of each person interviewed in the course of the

investigation.

d. If the National Indian gaining Commission has received an

investigative report concerning an individual who another Tribe wishes to

employ as a key employee or primary management official and if the Gaming

Commission has access to the investigative materials held by the first Tribe,

the Gaming Commission may update the investigation and update the

investigative report under section 99-22-13 below.

99-22-12 ELIGIBILITY DETERMINATION

The Gaming Commission shall review a persons prior activities, criminc~l

record, if any, reputation, habits and associations to determine the eligibility of

a key employee or primary management official for employment in a gaming

operation. If the Gaming Commission, in applying the standards of this

ordinance, determines that employment of the person poses a threat to the

public interest or to the effective regulation of gaming, or creates or enhances

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

conduct of gaming, or Tribal gaming operation, shall not be employed by the

gaming facility in a key employee or primary management official position.

99-22-13 PROCEDURES FOR FORWARDING APPLICATIONS TO THE

NATIONAL INDIAN GAMING COMMISSION

a. When a key employee or primary management official begins work

at a gaming operation of the Rancheria, the Gaming Commission shall forward

to the National Indian Gaming Commission a completed application for

employment which contains the notices and information contained in sections

99-22-9 and 99-22-10 above, and shall conduct the background investigation

and make the eligibility determination for employment, or for continued

employment, in a gaming operation as referred to in section 99-22-11.

b. Upon completing the background investigation and the

determination of eligibility for employment, or for continued employment, in a

gaming operation, the Gaming Commission shall forward the report referenced

in. section 99-22-13 to the National Indian Gaming Commission, within the 60

days after an employee begins work or within 60 days of the approval of this

Ordinance by the Chairman of the National Indian Gaining Commission.

Page 10 of 15
Ordinance 99-22

Mooretown Rancheria Tribal Gaming Regulations

c. The gaming operation shall not employ as a key employee or

primary management official who does not have a gaming license within the 90

days of the approval of this Ordinance by the Chairman of the National Indian

Gaming Commission.

d. During a thirty (30) day period beginning when the National Indian

Gaming Commission receives an investigative report from the Gaming

Commission, the Chairman of the National Indian Gaming Commission

concerning a key employee or a primary management official who is the subject

of the investigative report shall suspend the 30-day period until the Chairman

of the National Indian Gaming Commission receives the information requested.

99-22-14 REPORT TO THE NATIONAL INDIAN GAMING COMMISSION

a. Pursuant to the procedures set out in section 99-22-12, when the

Gaming facility employs a primary management official or a key employee, the

Gaming Commission shall forward to the National Indian Gaming Commission

a completed application containing the information listed in 25 CFR §

556.4(a) (1)- (13).

b. Before issuing a license to a primary management official or to a

key employee, the Gaming Commission shall forward to the National Indian

Gaming Commission an investigative report on each background investigation

conducted. An investigative report shall include all of the following:

(1) Steps taken in conducting a background investigation;

(2) Results obtained;

(3) Conclusions reached; and

(4) The basis for those conclusions.

c. The Gaming Commission shall submit with the report a copy of the

eligibility determination made pursuant to section 99-22-11 above.

d. If the Gaming Commission does not license an applicant, the

gaming Commission:

(1) Shall notify the National Indian Gaming Commission; and

Page 11 of 15
Ordinance 99-22

Mooretown Rancheria Tubal Gaming Regulations

(2) May forward copies of its eligibility determination and

investigative report (if any) to the National Indian Gaming

Commission for inclusion in the Indian Gaming Individuals

Records System.

e. With respect to key employees and primary management officials,

the Gaming Commission shall retain applications for employment and reports

(if any) of background investigations for inspection by the Chairman of the

National Indian Gaming Commission or his or her designee for no less than

three (3) years from the date of termination of employment.

99-19-15 GRANTING A GAMING LICENSE

a. The Gaming Commission shall develop licensing procedures for all

employees of a gaming operation. The procedures and standards of 25 CFR §~

556 and 558, which are incorporated in this Ordinance, apply only to primary

management officials and key employees.

b. A right to a hearing under section 99-22-15 below shall vest only

upon receipt of a license granted under an ordinance approved by the

Chairman of the National Indian Gaming Commission.

c. If, within a thirty (30) day period after the National Indian Gaming

Commission receives a background investigation and a determination of

eligibility report from the Gaming Commission, the National lndi~n Gaining

Commission notifies the Gaming Commission that it has no objection to the

issuance of a license pursuant to a license application filed by a key employee

or a primary management official for whom the Gaming Commission has

provided an application and investigative report to the National Indian Gaming

Commission, the Gaming Commission may issue a license to such applicant.

d. The Gaming Commission shall provide any additional information

requested by the NIGC concerning a key employee or primary management

official who is the subject of a report as required under this subsection. An

NIGC request for additional information shall suspend the thirty-(30) day

period established under subsection (c.) above until the NIGC receives the

additional information.

e. If, within the thirty (30) day period described above, the National

Indian Gaming Commission provides the Gaming Commission with a statement

itemizing objections to the issuance of a license to a key employee or to a

primary management official for whom the Gaming Commission has provided

an application and investigative report to the National Indian Gaming

Commission, the Gaming Commission shall reconsider the application, taking

Page 12 of 15
Ordinance 99-22

Mooretown Rancheria Tribal Gaining Regulations

into account the objections itemized by the National Indian Gaming

Commission. The Tribal Council and/or Gaming Commission shall make the

final decision whether to issue a license to such applicant.

99-22-16 LICENSE SUSPENSION

a. If, after the issuance of a gaming license, the Gaming Commission

receives notice from the National Indian Gaming Commiss~ion that it has

received reliable information indicating that a key employee or a primary

management official is not eligible for employment under 25 CFR § 558.2, the

Gaming Commission shall suspend such license and shall notify in writing the

licensee, the Casino General Manager and the Tribal Council of the suspension

and the proposed revocation.

b. The Gaming Commission shall notify the licensee of a time and a

place for a hearing in writing on the proposed revocation of a license. All rights

to notice and hearing shall be governed by Tribal Law.

c. After a revocation hearing, the Tribal Council and/or Gaming

Commission shall decide to revoke or to reinstate a gaming license. The

Gaining Commission shall notify the National Indian Gaming Commission of

the final decision.

99-22-17 LICENSE LOCATIONS

A tribal license is re4uired for each, place, facility, or location on Indian

lands where class II and/or class lEt gaming is conducted. Thus, the Tribal

Council shall issue a separate license to each place, facility, or location on

Indian lands where class II and/or class UI gaming is conducted under this

Ordinance.

99-22-18 COMPLIANCE WITH TRIBAL LAWS

a. All employees, managers and gaming patrons shall be requfred to

comply with the laws of the Mooretown Rancheria. Violations of Tribal laws

shall be grounds for termination of employment and expulsion from the gaming

premises.

b. All relations between gaming employees and the enterprise shall be

subject to the personnel, drug and other relevant policies of the Mooretown

Rancheria.

Page 13 of 15
Ordinance 99-22

Mooretown Rancheria Tribal Gaming Regulations

c. Nothing herein shall be interpreted as authorizing violations of the

IGRA, or the regulations promulgated thereunder.

99-22-19 DISPUTE RESOLUTIONS

a. Any dispute between a member of the gaining public and any

employee of the gaming enterprise arising on the gaming premises of the Tribe

that is not clearly a violation of Tribal law shall be resolved by the supervisor,

manager or general manager of the employee involved in such manner that will

prevent violence and eliminate or reduce bad publicity for the enterprise,

provided such resolution does not risk unnecessarily the resources of the

enterprise. If the supervisor, manager or general manager is unable to resolve

the matter immediately to the satisfaction of the griming patron in compliance

with this section, the matter shall be referred to the gaming manager for

resolution.

b. Any dispute between a member of the g2ming public that is not

resolved pursuant to subsection (a) or any dispute involving the gaming

manager that is not clearly a violation of Tribal law arising on the gpming

premises of the Tribe shall be referred to the Tribal Council. The Council shall

provide an opportunity, at the convenience of the parties, for all parties to the

dispute to be heard and to confront any witness against them. The Council

shall resolve all disputes based on the record in a fair and equitable manner.

c. Any dispute involving violation of Tribal law shall result in

expulsion of a gaming patron from the gaming premises. Such person shall

have the right to request a hearing before the Tribal Council, which shall be

granted if the issue presented involves a question of the loss of money or

property by the gaming patron. A hearing for any other reason shall be granted

at the discretion of the Council.

d. All hearings granted under this section shall be conducted in

compliance with the Indian Civil Rights Act.

99-22-20 NOTICE TO TRIBAL CHAIRPERSON

All notices required under law or regulations with respect to gaming

activities shall be sent to the following address:

Page 14 of 15
Tribal Chairperson

Mooretown Rancheria

# 1 Alverda Drive

Oroville, CA 95966

CERTIFICATION

ORDINANCE 99-22

Shirley Prusia%ibal Chairperson

ATTESTED BY:

Date

Y7

2~ ~~i9

Ordinance 99-22

Mooretown Rancheria Tribal Gaming Regulations

99-22-2 1 REPEAL

To the extent that they are inconsistent with this Ordinance, all prior

gaming ordinances are hereby repealed.

We, the undersigned duly elected officials of the Mooretown Rancheria, do

hereby certify under penalty of perjury that at on July 15, 1999, the foregoing

Ordinance was adopted at a duly called meeting of the Tribal Council of the

Mooretown Rancheria, with~quorum present, by a vote of:

_____

for, against, and _____ abstaining.

Marion Contreras, Secretary

: ~

Date

Page 15 of 15
4..

RECERTIFICATION

ORDINANCE 99-22

We, the undersigned duly elected officials of the Mooretown Rancheria, do

hereby certify that on July 15, 1999, the foregoing Ordinance was adopted at a

duly called meeting of the Tribal Council of the Mooretown Rancheria, with a

quorum present by a vote of:

___

for, ___ against, and ___ abstaining;

Shirley Prusia, Tribal Chairperson Date

ATTESTED BY:

/

Debbie Schmidt, Secretary Date