ORDINANCE NO.

TRIBAL CLASS II GAMING ORDINANCE

I. Purpose

The Community Council of the Rumsey Indian Rancheria of Wintun

Indians of California (hereinafter tlTrjbelt) empowered by the

Tribes Constitution to enact ordinances, hereby enacts this

ordinance in order to set the terms for Class II gaming activities

on tribal lands.

II. Gaming Authorized

All forms of Class II gaming as defined in the Indian Gaming

Regulatory Act, P.L. 100-447, 25 U.S.C. Section 2703 (7) (A) (1tIGRAIt)

are hereby authorized, including but not limited to bingo,

pulitabs, and non-banking card games.

III. Ownership of Gaming

The Tribe shall maintain the sole propriety interest in and

responsibility for the conduct of all Class II gaming activities

authorized by this ordinance.

IV. Use of Gaming Revenue

A. Net revenues from the Tribes share of Class II gaming

activities authorized herein shall be used only for the following

purposes: to fund tribal government operations and programs;

provide for general welfare of the Tribe and its members; promote

tribal economic development; donate to charitable organizations; or

help fund operations of local government agencies.

B. If the Tribe elects to make per capita payments, it shall

authorize such payments only upon approval of a plan submitted to

the Secretary of Interior under § 2710(b) (3) of IGRA.

V. Audit

An annual independent audit of all gaming activities,

including all contracts for supplies, services or concessions in

excess of $25,000.00 annually, except contracts for professional

legal and accounting services, shall be conducted and provided to

the National Indian Gaming Commission (hereinafter IlCommissionit)

annually.

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VI. Environmental Protection

The construction, maintenance and operation of Class II gaming

facilities and Class II games shall be conducted in a manner which

adequately protects the environment and the public health and

safety.

VII. Licenses for Key Employees and Primary Management Officials

The Tribe 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 gaming

enterprise operated on tribal lands:

A. Definitions

For the purposes of this section, the following

definitions apply:

1. KeY employee

(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 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;

(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 gaming operation.

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2. Primary Management Official

(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 gaming

operation; or

(c) The chief financial officer or other person who

has financial management responsibility.

B. AiDplication Forms

1. The following notice shall be placed on the

application form for 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

U.S.C. 2701 et seq. The purpose of the requested

information is to determine the eligibility of

individuals to be employed in a gaming operation.

The information will be used by National Indian

Gaming Commission members and staff who have need

for the information in the performance of their

official duties. The information may be disclosed

to appropriate Federal, Tribal, State, local, or

foreign law enforcement and regulatory agencies

when relevant to civil, criminal or regulatory

investigations or prosecutions or when pursuant to

a requirement by a tribe or the National Indian

Gaming Commission in connection with the hiring or

firing of an employee, the issuance or revocation

of a gaming license, or 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 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. Existing key employees and primary management

officials shall be notified in writing that they shall either:

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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 management

official before that form is filled out by 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. (U.S. Code,

title 18, section 1001.)

4. The Tribe 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

b. Sign a statement that contains the notice regarding

false statements.

C. Background Investigations

1. The Tribe 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 number(s), birth date, place of

birth, citizenship, gender, all languages (spoken

or written);

b. 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;

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 (i) (b) of this section;

d. Current business and residence telephone numbers;

e. A description of any existing and previous business

relationships with Indian tribes, including

ownership interests in those businesses;

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f. A~description of any existing and previous business

relationships with the gaming industry generally,

including ownership interests in those businesses;

g. 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;

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 if any;

i. 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;

j. 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 paragraphs (i) (h) and (i) (i) of this

section, the criminal charge, the name and address

of~ the court involved and the date and disposition;

k. 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;

1. A photograph;

m. Any other information a tribe deems relevant; and

n. Fingerprints consistent with procedures adopted by

a tribe according to 25 C.F.R. § 522.2(h).

2. The Tribe shall conduct an investigation sufficient

to make a determination under subsection (c) below. In

conducting a background investigation, the Tribe shall promise

to keep confidential the identity of each person interviewed

in the course of the investigation.

D. Eligibility Determination

1. The Board of Directors of Cache Creek Indian Bingo

& Casino shall review a persons prior activities, criminal

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

make a finding concerning the eligibility of a key employee or

a primary management official for employment in a gaming
operation. If the Community Council 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, a tribal

gaming operation shall not employ that person in a key

employee or primary management official position.

2. The Tribes gaming operation shall not employ in a

key employee or primary management official position a person

who has supplied materially false or misleading information

with respect to the required information for that persons

background investigation under subsection B above.

E. Procedures for Forwarding Applications and Reports for

Key Employees and Primary Management Officials to the Commission

1. When a key employee or primary management official

begins work,~ the Tribe shall forward to the Commission a

completed application for employment and conduct the

background investigation and determination referred to in

subsections A, B, C and D of this section.

2. Upon completion, the Tribe shall forward the report

referred to in subsection F of this section to the Commission

within 60 days after an employee begins work or within 60 days

of the Chairmans approval of this ordinance.

3. The gaming operation shall not employ a key employee

or primary management official who does not have a license

after 90 days.

E. Report to Commission

1. Pursuant to the procedures set out in subsection E

of this section, the Tribe shall prepare and forward to the

Commission an investigative report on each background

investigation. An investigative report shall include all of

the following:

a. Steps taken in conducting a background

investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

e. The Tribe shall include in its report a copy of the

eligibility determination made under section D of this

section.

2. If a license is not issued to an applicant:

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a. The Tribe shall notify the Commission; and

b. FOrward copies of its eligibility determination and

investigative report (if any) to the Commission for

inclusion in the Indian Gaming Individuals Records

System.

3. The Tribe shall retain applications for employment

and reports (if any) of background investigations for

inspection by the Chairman of the Commission or his or her

designee for no less than three (3) years from the date of

termination of employment.

G. Granting a Gaming License

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

Commission receives a report, the Commission notifies the

tribe 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 tribe has provided

an application and investigative report to the Commission, the

Tribe may go forward and issue a license to such applicant.

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

above, the Commission provides the Tribe with a statement

itemizing objections to the issuance of a license to a key

employee or to a primary management official for whom the

tribe has pr9vided an application and investigative report to

the Commission, the Tribe shall reconsider the application,

taking into account the objections itemized by the Commission.

The Tribe shall make the final decision whether to issue a

license to such applicant.

3. The thirty (30) day period described in this section

may be suspended by the Commission after the Commission makes

an investigative report if the Chairman requests additional

information from the Tribe, until the Chairman receives the

information. The Tribe shall respond to any request from the

Chairman of the Commission for such additional information.

H. License Suspension

1. If, after the issuance of a gaming license, the

Commission receives reliable information indicating that a key

employee or a~ primary management official is not eligible for

employment under subsection C above, the Commission shall

notify the Tribe that issued a gaming license.

2. Upon receipt of such notification under paragraph

(1) above, the Tribe shall suspend such license and shall

notify in writing the licensee of the suspension and the

proposed revocation.

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3. The Tribe shall notify the licensee of a time and a

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

4. After a revocation hearing, the Tribe shall decide

to revoke or to reinstate a gaming license. The Tribe shall

notify the Commission of its decision.

VIII.Customer Dispute Resolution Procedure

The general manager of the tribal gaming operation shall

attempt to resolve on an informal basis any customer complaints

relating to payment of prizes or services and report any such

resolution to the governing body of the enterprise. If the

complaint cannot be resolved at the general manager level, the

customer shall beinformed that he/she has the right to present his

or her complaint to the governing body of the gaming enterprise,

whose decision shall be final.

IX. IGRA Compliance

The Tribe shall ensure enforcement of rules and regulations

for all games played to ensure that they conform to the Indian

Gaming Regulatory Act and that the games are honest and fair.

X. License Locations

The Tribe shall issue a separate license to each place,

facility or locat–ion on tribal lands where Class II gaming is

conducted under this ordinance.

XI. Repeal

All prior gaming ordinances are hereby repealed.

CERTIFICATION

The foregoing resolution was adopted by a vote of 10 for, and

-0- against and -0- abstentions, at a duly called meeting of the

Community Council, at which a quorum was present, on this 1st day

of September, 1993.

Pau]~~~o,Chairperson

J:\RIJMSEY\CLASSII.ORD

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