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TULE RIVER INDIAN RESERVATION

IN THE MATTER OF:

Tule River Tribal Council ) RESOLUTION NO. 6594

approving the Tule River

Reservation Gaming Ordinance)

BE IT RESOLVED BY THE COUNCIL OF THE TULE RIVER INDIAN TRIBE:

WHEREAS, the Tule River Tribe is governed under a Constitution

and Bylaws duly adopted and approved by the Secretary

of the Interior on January 15, 1936; and

WHEREAS, Article ~I, Section 1(a) of the Tribal Constitution

authorizes the governing body to enter into

negotiations with federal, state or local agencies on

behalf of the Tribe; and

WHEREAS, a duly called meeting was held by the Tule River Tribal

Council on September 27, 1994; and

WHEREAS, the Tule River Tribal Council Gaming Ordinance was

presented to the membership present at the meeting; and

WHEREAS, the Tule River Tribal Constitution, Article VI, Powers

and Authority of Tribal Council, limits enactment of

Tribal Ordinances to regulation of Tribal Land

Assignments; and

WHEREAS, the Tule River Tribal Constitution, Article VI,

reserves the power and authority by the people of the

Tule River Reservation to adopt appropriate ordinances;

THEREFORE BE IT RESOLVED that the members voted, approved and

adopted the Tule River Reservation Gaming Ordinance.

BE IT FURTHER RESOLVED that this resolution has not been amended

or rescinded in any way.

Teephone (209) 781-4271

P.O. BOX 589, PORTERVILLE, CALIFORNIA 93258
Page 2.

RESOLUTION NO. 6594

Tule River Tribal Councils approval o~ the Tule River

Reservation Gaming Ordinance

CERTIFICATION

UPON MOTION OF COUNCIL MEMBER Richard McDarment, SECONDED BY

COUNCIL MEMBER Leona Dabney, THE FOREGOING WAS ADOPTED BY THE

TULE RIVER TRIBAL COUNCIL AT A DULY CALLED MEETING HELD ON

September 27, 1994, AT WHICB A QUORUM WAS PRESENT, BY THE

FOLLOWING VOTES:

AYES:

NOES:

ABSTAIN: ~

I L. HUNTER, CHAIRPERSO PATSY ~J~Z~/ SECRET~Y TULE RIVER TRIBAL COUNCIL TULE R~TE~ TRIBALCOUNCIL

ATTEST TO:

~W-tu~ cClN~Th~

RECORDING SE~RETARY
TUI~ RIVER TRIBE

GAMING ORDIR~NCE

Approved 9/27/94

Resolutioii #6594
TUIZ IVER TRIBE OF ~TUI~ ~IVER INDIAN ~SE1W~TION

GAMING ORDINANCE

~. Purpose

The !tule River Tribe of the Tule River indian Reservation,

as the beneficial owner of the Tule River Indian Reservation, and

acting pursuant to its Constitution in the exercise of its

inherent sovereign power to enact ordinances and otherwise safe

guard and provide for the health, safety and welfare of the Tule

River Indian Reservation and the members of the Tule River Tribe,

hereby ordains and establishes this Ordinance for the purpose of

authorizing and comprehensively and preemptively regulating the

terms and conditions under which Class II and Class III gaining

may be conducted within the boundaries of the Tule River Indian

Reservation.

II. Definitions

A. Tule River Tribal Council or Tribal Council means

the elected governing body of the Tule River Tribe as established

and definedby the Tule River Tribes Constitution.

B. Gaining or gambling means the offering of any gaines

authorized by the Tule River Tribe Gaining Ordinance, except card

gaines played in private homes in which no person makes money for

operating the game other than as a player, arid traditional Indian

games as defined in the Tule River Tribe Gaining Ordinance.

C. Gaming operation means each economic entity that

operates gaines, receives the revenues, issues the prizes, and

pays the expenses of the gaines.

D. License means a written approval of the Tule River

Tribal Council authorizing a specific individual to engage in

certain gaming activities which may also require approval from

the federal government.

E. Permit means a written approval of the Tule River

Tribal Council authorizing a specific individual to engage in

certain gaming activities that do not require a separate approval

from the federal government.

F. Employee has the same meaning as the term is used by

the Dnited States Internal Revenue Service. Key employee has

the meaning defined herein.

C. National indian Gaming Commission or NIGC means the

federal gaming regulatory body created by the Indian Gaming

Regulatory Act (Public Law 100497, 25 U.S.C. 2701 et seg. and

as that Act may hereafter be amended.
Qsrnr , Authorized

A. Class II gaining as defined in -the indian Grnnii~g

Regulatoi~y Act, ~.L. iOO447, 25 V.S.C. Section 2703(7)(A)

(IGRA) ~xid .by regulations lawfully promulgated by the ~Nat.iona1

indian G~ring Commission (NIGC), that now or hereafter may be

in effect, is hereby authorized.

B. Class Ill gaining as defined in IGRA, 25 V.S.C. Section

2703(8) and by regulations promulgated by the NIGC, that now or

hereafter ~ay be in effect, is hereby authorized, provided such

gaining is also authorized by and consistent with a TribalState

Compact -that has been approved by the Secretary of the Interior

or federal law.

IV. Ownership of Gamin.g Facilities and/or Enterprises

The Tule River Tribe of the Tule River Indian Reservation

shall have the sole proprietary interest in and responsibility

for the conduct of any gaining facilities and/br enterprise(s)

authorized by this ordinance.

V. Use of Ga~ng Revenue

A. Except as specifically authorized pursuant to

Subsection B of this Section, net revenues from Class II and

Class III gaining on the Tule Indian Reservation shall be used

only for the following purposes:

1) -to fund Tule Indian Reservation Tribal government

operations and programs;

2) provide for the general welfare of the Tule River

Tribe of the Tule River Indian Reservation and .its

members;

3) promote Tule River Indian Reservation economic

development;

4) donate to charitable organizations; or

5) help fund operations of local government agencies.

B. If the Tule River Tribal Council elects to make per

capita payments to Tule River Tribe members, it shall authorize

such payments only in conformity with a plan submitted to and

approved by the Secretary of the Interior pursuant to 25 U.S.C.

2710(b) (3).

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~VI. ~u~i-t

~. ~he Tule River ~ribal Council shall cause to be

conducted at least annually an independent aud.it of all grnn5ng

operations and shall submit the resulting audit reports to the

National indian Gaining Commission, and to such other agencies as

may be required by the terms and conditions of any Class :ii

compact or other document authorizing Class lU gaming on the

Tule River Indian Reservation.

B. All gamingrelated 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 that is described in Subsection A above.

VII. Protection of -the Environment and Public Health and Safety

Class II and Class III gaming facilities on the Tule River

Indian Reservation shall be constructed, maintained arid operated

in a manner that adequately protects the environment and the

public health and safety, with the Tule River Tribal Council

having primary responsibility for assessing the environmental

impact of all construction and gaming operations, and taking such

measures as it determines may be reasonably necessary to mitigate

any adverse environmental impacts as it may identify.

VIII. licenses for Key En~ployees and Primary Management Officials

The Tule River Tribal Council or its designated gaming

regulatory agency shall ensure that the policies and procedures set out in this section are implemented with respect to key

employees and primary management officials employed at any Class

II and/or Class III gaining enterprise operated on indian lands

within the boundaries of the Tule River Indian Reservation:

A. Definitions

For the purposes of this section, the following

definitions apply:

1. Key employee means

(a) A person who performs one or more of the

following functions:

(1) Bingo Caller;

(2) Counting Room Supervisor

(3) Chief of Security

(4) Custodian of gaining supplies or cash;

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(5) TJ..oor Nanager

(6) Pit ross

(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;

(b) If not otherwise included, any other person

whose total cash compensation is in excess of

$50,000 per year; or

(C) If not otherwise included, the four most

highly compensated persons in the gaining

operation.

2. Primary management official means

(a) The person having management responsibility

for a management contract;

(b) Any person who has authority:

(1) To hire and fire employees; or

(2) To set up working policy for the gaining

operation; or

(C) The chief financial officer or other person

who has financial management responsibility.

B. Application Forms

1. The following notice shall be placed on the

a~plication form of a key employee or a 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 TJ.S.C. 2701 et sec~ The

purpose of the requested information is to determine the

eligibility of individuals to be employed in a gaining

operation. The information will be used by National Indian

Gaining Commission members and staff who have need for the

information in the performance of their official duties.

The information may be disclosed to appropriate Federal,

Tule River Tribal Council, State, local, or foreign law

enforcement and regulatory agencies when relevant to civil,

criminal or regulatory investigations or prosecutions, or

when pursuant to a requirement by a Tribe or the National

Indian Gaming Commission in connection with the hiring or

firing of an employee, the issuance or revocation of a

4
gnming license, or investigations of activities while

associated ~itb a Ltibe or a gaining operation. Pai.lure to

consent to the disclosures .ind.icated in this notice wil].

result in the ~ribe being nnable to ~.ire you in a priinal37

management official or key employee position.

The disclosure of your Social Security Number (SSN) is

voluntary. Bowever, failure to supply a SSN may result in

errors in processing your application.

2. ~xisting key employees and primary management

officials shall be notified in writing that they shall either:

a. complete a new application form that contains

a Privacy Act notice; or

b. Sign a statement that contains the Privacy Act notice and consent to the routine uses

described in that notice.

3. The following notice shall be placed on the

application form for a key employee or a primary official before

that form is filled out ~ an applicant:

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. (18 U.S.C. 1001).

4. The Tule River Tribal Council or its designated

gaming regulatory agency shall notify in writing existing key

employees and primary management officials that they shall

either:

a. Complete a new application form that contains

a notice regarding false statements; or

Sign a statement that contains the notice

regarding false statements.

C. Background Investigations

1. The Tule River Tribal Council or its designated

gaming regulatory agency shall request from each primary

management official and from each key employee all of the

following information:

a. Full name, other names used (oral or

written), Social Security nuniber(s),.birth

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date, place of birth, citizenship, gender,

all languages spoken or written;

b. Currently and for the previous live years:

all business and employment positions held,

ownership interests in those businesses,

business and residence addresses, and drivers

license numbers;

c. 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 (l)(b) of this

Subsection;

d. Current business and residence telephone

numbers;

e. A description of any existing and previous

business relationships with the Tule River

Tribe or any other Indian Tribe, including

ownership interests in those businesses;

–. A description of any existing and previous

business relationships with the gaining

industry generally, including ownership

interests in those businesses;

g. The name and address of every licensing or

regulatory agency with which the person has

filed au application for a license or permit

related to gaining, whether or not such

license or permit was granted;

h. 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;

i. For each misdemeanor conviction or ongoing

misdemeanor prosecution (excluding minor

traffic violations) within ten years of the

date of the application, the name and address

of the court involved and the date and

disposition;

j. For each criminal charge (excluding minor

traffic charges), whether or not there is a

6
conviction, 1– such criminal charge is within

-ten years of the date of the application and

i~ not otherwise listed pursuant to paragraph

(l)(h) or (l)(i) of this Subsection, the

criminal charge, the name and address of the

court involved and the date and disposition;

k. The name and address of each 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;

1. A current photograph;

in. Any other information the Tule River Tribal

Council may deem relevant under tne

circumstances; and

n. Fingerprints consistent with procedures

adopted by the Tule River Tribal Council or

its designated gaining regulatory agency in

accordance with 25 C.F.R. 522.2(h).

2. The Tule River Tribal Council or its designated

gaining regulatory agency shall conduct an investigation

sufficient to make a determination under Subsection D below.

conducting a background investigation, the Tule River Tribal

Council or its agent(s) shall promise to keep confidential the

identity of each person interviewed in the course of the

investigation.

D. Eligibility Determination

The Tule River Tribal Council or its designated gaming

regulatory agency shall review an applicants prior activities,

criminal record, if any,and reputation, habits and associations

to make a finding concerning the eligibility of a key employee or

primary management official for employment in a gaming operation.

If the Tule River Tribal Council or its designated gaming

regulatory agency determines that employment of the person poses

a threat to the public interest or to the effective regulation of

gaming, or creates or enhances dangers of unsuitable, unfair, or

illegal practices and methods and activities in the conduct of

gaming, the gaining operation shall not employ that person in a

key employee or primary management official position.

7-
I. Procedures for Yorwardino ~pplications andReports for

]

Key Employees and Primary Management Officials to the

Indian Gamninç Commission

1. When a key -employee or primary management official

begins work at a gaining operation authorized by this Ordinance,

the Tule River Tribal Council or its designated gaining regulatory

agency shall forward to the National indian Gainii~g Commission a

completed aDplication for employment and conduct the background

investigation and make the determination referred to in

Subsection D of this Section.

2. The Tule River Tribal Council or its designated

gaming regulatory agency shall forward the report referred to in

Subsection T of this Section to the National Indian Gaming

Commission within 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.

3. The aaining operation shall not employ as a key

employee or primary management official a person who does not

have a license after 90 days.

F. R~ort to the National Indian Gaminy Commission

1. Pursuant to the procedures set out in Subsection ~

of this Section, the Tule River Tribal Council or its designated

gaining regulatory agency shall prepare and forward to the

National Indian Gaming Commission an investigative report on each

background investigation. ~An investigative report shall include

all of the following:

a. Steps taken in conducting the background

investigation;

b. Results obtained;

c. Conclusions reached; and

d. The basis for those conclusions.

2. The Tule River Tribal Council or its designated

gaming regulatory agency shall submit, with the report, a copy of

the eligibility determination made under Subsection D of this

Section.

3. If a license is not issued to an applicant, the

Tule River Tribal Council or its designated gaming regulatory

agency:

8
a. Shall notify the ~National indian Gaining

Commission; and

b. May forward copies of its eligibility

determ.ination and .investigative report (if

any) to the National indian Gaining Conunission for

inclusion in the Indian Gaining Individuals Records

System.

4. With respect to key employees and primary

management officials, the Tule River ~r.iba1 Council or its

designated gaming regulatory agency 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 or denial of employment.

G. Granting p Gaming License

1. If, within a thirty (30) day period after the

National Indian Gaming Commission receives a report, the National

Indian Gaining Commission notifies the Tule River Tribal Council

or its designated gaming regulatory agency 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 Tule River Tribal Council or its designated

gaming regulatory agency has provided an application and

investigative report to the National Indian Gaming Commission,

the ~u1e River Tribal Council or its designated gaining regulatory

agency may issue a license to such applicant.

2. The Tule River Tribal Council or its designated

gaining regulatory agency shall respond to a request for

additional information from the Chairman of the National Indian

Gaming Commission concerning a key employee or a primary

management official who is the subject of a report. Such a

request shall suspend the 30day period under Subsection G.1. of

this Section until the Chairman of the National Indian Gaining

Commission receives the additional information.

3. If, within the thirty (30) day period described

above, the National Indian Gaming Commission provides the Tule

River Tribal Council with a statement itemizing its objection(s) to the issuance of a license to a key employee or to a primary

management official for whom the Tule River Tribal Council or its

designated gaming regulatory agency has provided an application

and investigative report to the National Indian Gaming

comnLlsson, the Tule River Tribal Council or its designated

gairu..ng regulatory agency shall reconsider the application, taking

9
into acco~mt the objection(s) itemized by the national ndian

Gaining Commi ~~sion. ~The Tale River Tribal Council shall make the

–inal decision whether to issue a license to such applicant.

E. License Suspension

1. Ii, after the issuance of a gaining license, the

Tule River Tribal Council or its designated gaming regulatory

agency receives from the NationaJ. indian Gaming commission

reliable .ini orxnation indicating that a key employee or a primary

management o–ficia.1 is not eligible for employment under

Subsection D above, the Tule River Tribal Council or its

designated oaining regulatory agency shall suspend such license

and shall notify in writing the licensee of the suspension and

the proposed revocation.

2. The Tule River Tribal Council or its designated

gaming reaulatory agency shall notify the licensee of a time and

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

3. After a revocation hearing, the Tule River Tribal

Council or its designated gaming regulatory agency shall decide

whether to revoke or to reinstate a gaming license. The Tule

River Tribal Council shall notify the National Indian Gaming

Commission of its decision.

IX. Licensing of Gaming Places, Facilities and Locations

A separate license shall be required for each place,

facility, or location on Indian lands where Class II and/or Class

III gaining is to be conducted on the Tule River Indian Reserva

tion.

X. Creation of Thle River Tribe Gaming Coirmission

A. There is hereby created the Tule River Tribe Gaming

Commission, which shall consist of five persons who would

themselves qualify for licensing under this Ordinance.

B. The members of the Tule River Tribe Gaming Commission

shall be appointed by the Tule River Tribal Council at such time

as the Tribal Council determines that the best interests of the

Tribe require that the Gaming Commission be activated, and said

appointees shall not be removed during their terms of office

except for misconduct, neglect of duties or other acts that would

render such persons unqualified for l.icensure hereunder. An

affirmative vote of a simple majority of the Tule River Tribal

Council, taken in an open meeting after a dulynoticed hearing at

which the member charged with misconduct shall have the right to

10
bear and present evidence concerning his/her removal, shall be

required to remove a inember of -the commission. At the request of

-the member whose removal is .at issue, the hearing may be .held in

executive session. The Tule River Tribal Council also may elect

to receive in executive session any evidence public disclosure of

which mnight compromise any ongoing lawenforcement

investigation, or which might jeopardize any privilege or

iimnunity possessed by the Tule River Tribal Council.

C. There shall be a Chairperson, ViceChairperson, and

Secretary/Treasurer of -the Tule River Tribe gaining Commission,

who shall be appointed for a term of three years. The remaining

members of the Commission shall be appointed for terms of two

years. The Tribal Council shall determine and authorize the

compensation to be paid to members of the Tule River Tribe Gaming

Commission based upon the Tribal Councils determination of the

time required to be expended upon Commission duties and -the

qualifications of the appointed Commissioners.

D. The Tule River Tribe Gaming Commission shall be

authorized and hereby is directed to promulgate, subject to

review and approval by the Tribal Council, detailed and

comprehensive regulations for the implementation and enforcement

of this Ordinance. Said regulations shall describe and establish

the rules for each specific Class II and Class III gaming

activity to be authorized to be conducted on the Tule River

Indian Reservation, and no form of such gaming may be conducted

on -the Tule River Indian Reservation without prior approval by

-the Tule River Tribe Gaining Commission. Pending approval of the

Tule River Tribe Gaming Commissions regulations by the Tule

River Tribal Council, any interim regulations that the Tule River

Tribal Council may adopt shall govern gaining on the Tule River

Indian Reservation.

E. The Tule River Tribe Gaining Commission, independent of

the Tribal Council, shall have full ~uthority to monitor

compliance with this Ordinance and its Regulations, and to

investigate and act to prevent any violation(s) thereof.

F. Subject to the approval of the Tribal Council and the

appropriation of funds theref or, the Tule River Tribe Gaming

Commission shall be authorized to employ such staff as reasonably

may be required to fulfill its responsibilities under this

Ordinance. Compensation of Commission employees shall be limited

to that which is comparable to compensation paid to persons

perfornang similar duties in other governmental gaming regulatory

agencies.

11
S

~. Subject to the approval of -the ~iba1 Council, -the Thie

River T1~ :~1g Commission hereby is authorized to establish

and iinpose upon gaining facili-ties, permittees, applicants and

licensees such appl.icat.iori, permit -and license fees as may be

necessary -to fully reimburse the Tule River Tribal Council for

its actual costs of operating -the Tule River Tribe Grnning

Coimnission, enforcing this Ordinance and Tule River Tribe Gaming

Commission Regulations, processing of licensing and permit

applications, and otherwise fulfilling its regulatory

responsibi.1.it.ies under J:GRA. AU such fees shall be collected by

the Tule River Tribe Gaining Commission and hereby are

continuously appropriated solely for the purposes enumerated in

this Subsection.

H. ~ai1ure to timely pay any gaming-related fee imposed by

the Tribal Council or the Tule River Tribe Gaining Commission, or

to comply with any Commission regulation or order, or any other

violation of this Ordinance or the terms of any Class III gaining

compact authorizing and regulating gaming on the Tule River

Indian Reservation, shall be grounds for suspension or revocation

of any license or permit issued pursuant to this Ordinance,

exclusion of any nonmember of the Tule River Tribe from the Tule

River Indiax~ -Reservation, and imposition of such other sanctions

as the Tule River Tribe Gaining Commission may deem appropriate.

I. Any person or entity subject to any sanction or penalty

by the Tule River Tribe Gaming Commission shall have the right to

appeal such sanction or penalty to the Tule River Tribal Council

in accordance with such rules and regulations as may be

promulgated by the Tribal Council for that purpose. The decision

of the Tribal Council on any appeal shall be final and not

otherwise rev.iewable.

XI. Creation of Gaming Security Board

A. The Tribal Council shall establish and maintain a

Gaining Security Board composed of at least two Tribal Council

members and the Tribal administrator. The Gaming Security Board

is delegated Tribal Council powers to: conduct or oversee

necessary personal background and criminal history investigations

of license and permit applicants; approve and deny applications

for gaming licenses and permits; issue gaming licenses and

permits; restrict, suspend, or revoke licenses and permits or

impose penalties or other sanctions established by these

regulations against the holder of a license or permit; conduct

hearings or other inquiries to consider an applicants request

for a waiver of permit standards; and perform other Tribal

Council duties as the Tribal Council may decide. The Gaming

Secur~ty Board is not delegated Tribal Council authority to

12
.

contract with the State of Cplifornia or any other th5-d party,

without the prior approval of the ~ibal Council, for the

performance of background and cri.ininai. history investigations.

XII. ~nendments

The ~Tule River Tribal Council is hereby delegated the

authority to amend this Ordinance in any manner deemed

appropriate to protect what the tTule River Tribal Council

determines to be the best interests of the Tule River Tribe;

provided that the Tule River Tribal Council shall have no

authority -to enact any amendment to this Ordinance that is less

restrictive than the original terms of this Ordinance, or that

would constitute a violation of federal law or would be

inconsistent with the terms of an approved TribalState Class III

compact that is in effect.

XIII. Severability

The provisions of this Ordinance are severable. If any

part or provision hereof is held void by Tribal or federal court

or federal agency, the decisions of the court or agency so

holding shall not affect or impair any remaining provision of the

Ordinance.

XIV. Repeal

To the extent that they are inconsistent with this

Ordinance, all gaming ordinances previously enacted or amended by

the Tule River Tribe General Council or Tribal Council are

repealed.

CERTIFICA~XON

This is to certify that the foregoing Ordinance was adopted

on September 27. 1994 ata duly called meeting of the Tule River

Tribal Council at which a quorum was present, by a vote of .~ in

favor, .Q. opposed and .Q abstaining.

Dated:_______________________ ____________________________

Secretary