(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,
2. Primary management official means
(a) The person having management

responsibility for a management contract;
(>) 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. Application Forms

1. The following notice shall be placed on the
application 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 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

3


a. Shall notify the National Indian Gaming
Commission; and

b. 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.

4. With respect to key employees and primary management
officials, the ‘Santa Rosa Rancheria Tribal 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 a Gaming License 5

1. If, within a thirty (30) day period after the
National Indian Gaming Commission receives a report, the National
Indian Gaming Commission notifies the Santa Rosa Rancheria 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 Santa Rosa Rancheria Tribal Council or its
designated gaming regulatory agency has provided an application and
investigative report to the National Indian Gaming Commission, the
Santa Rosa Rancheria Tribal Council or its designated gaming
regulatory agency may issue a license to such applicant.

2. The Santa Rosa Rancheria Tribal Council or its
designated gaming 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 30-day period under Subsection G.l. of this Section
until the Chairman of the National Indian Gaming Commission
receives the additional information.

3. If, within the thirty (30) day period described
above, the National Indian Gaming Commission provides the Santa
Rosa Rancheria 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 Santa Rosa Rancheria
Tribal Council or its designated gaming regulatory agency has
provided an application and investigative report to the National
Indian Gaming Commission, the Santa Rosa Rancheria Tribal Council
or its designated gaming regulatory agency shall reconsider the
application, taking into account the objection(s) itemized by the
National Indian Gaming Commission. The Santa Rosa Rancheria Tribal
Council shall make the final decision whether to issue a license to

8


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;

. Currently and for the previous five years: all
business and employment positions held, ownership
interests in those businesses, business and
residence addresses, and drivers license numbers;

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 (1)(b) of this Subsection;

Current business and residence telephone numbers;

A description of any existing and previous business
relationships with the Santa Rosa Rancheria or any

other Indian Tribe, including ownership interests
in those businesses;

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

The name and address of every 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) within ten years of the date of the
application, the name and address of the court
involved and the date and disposition;

For each criminal charge (excluding minor traffic

5


for the information in the performance of their official
duties. The information may be disclosed to appropriate
Federal, Santa Rosa Rancheria 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 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’s being unable to hire you in a primary management
official or key employee position.

The disclosure of your Social Security Number (SSN) is
, voluntary. However, failure to supply a SSN 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;

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 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.

(18 U.S.C, §1001). .

4. The Santa Rosa Rancheria 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

b. Sign a statement that contains the notice regarding
false statements.

//1


F,

Procedures for Forwarding Applications and Reports for
Key Employees and Primary Management Officials to the
National Indian Gaming Commission

1. When a key employee or primary management official
begins work at a gaming operation authorized by this
Ordinance, the Santa Rosa Rancheria Tribal Council or its
designated gaming regulatory agency shall forward to the
National Indian Gaming Commission a completed application
for employment and conduct the background investigation
and make the determination referred to in Subsection D of
this Section.

2. The Santa Rosa Rancheria Tribal Council or its
designated gaming regulatory agency shall forward the
report referred to in Subsection F 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
Gaming Commission.

3. The gaming operation shall not employ as a key

employee or primary management official a person who does
not have a license after 90 days.

Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in Subsection E

of this Section, the Santa Rosa Rancheria Tribal Council or its
designated gaming 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 bases for those conclusions.

2. The Santa Rosa Rancheria 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
Santa Rosa Rancheria Tribal Council or its
designated gaming regulatory agency:


COMMISSION June 27, 1994

Clarence Atwell, Jr., Chairperson
Santa Rosa Band of Tachi Indians
P.O. Box 8

Lemoore, California 93245

Dear Chairperson Atwell:

This letter responds to your request to review and approve
the tribal gaming ordinance adopted on January 26, 1994, by the
Santa Rosa Band of Tachi Indians (Band). This letter constitutes
such approval under the Indian Gaming Regulatory Act (IGRA).

Under the IGRA and the regulations of the National Indian
Gaming Commission (NIGC), the Chairman is directed to review
ordinances with respect to the requirements of the IGRA and the
implementing regulations. Thus, the scope of the Chairman's
review and approval is limited to the requirements of the IGRA
and the NIGC regulations. Provisions other than those required
under the IGRA or the NIGC regulations that may be included in a
tribal ordinance are not subject to review and approval. Such
approval does not constitute approval of specific games. Also,
the gaming ordinance is approved for gaming only on Indian lands
as defined in the IGRA.

Although the Band's ordinance has been approved, the Band
must still correct the deficiencies listed in the April 7, 1994,
letter from the NIGC. Those deficiencies include developing
adequate descriptions for the following procedures: background
investigations of key employees and primary management officials,
criminal history checks, and resolving disputes between the
gaming public and the gaming operation. The Band must also
identify the agent for service of process and the official law
enforcement agency that will take fingerprints of applicants for
key employee or primary management official positions.

With the Chairman's approval of the Band's gaming ordinance,
the Band is now required to conduct background investigations on
its key employees and primary management officials. The NIGC
expects to receive a completed application for each key employee
and primary management official pursuant to 25 C.F.R. § 556.5(a)
and an investigative report on each background investigation
before issuing a license to a key employee or primary management
official pursuant to 25 C.F.R. § 556.5(b).

Thank you for submitting the ordinance of the Santa Rosa

1850 M STREET.NW. SUITE 250 WASHINGTON. DC. 20036__ TEL 202-632-7003 _ FAX. 202-632-7066



the Santa Rosa Rancheria Tribal Council.

C. There shall be a Chairperson of the Santa Rosa Rancheria
Gaming Commission, who shall be appointed for a term of two years.
The remaining members of the Commission shall be appointed for
terms of one year. The Tribal Council shall determine and
authorize the, compensation to be paid to members of the Santa Rosa
Rancheria Gaming Commission based upon the Tribai Council's
determination of the time required to be expended upon Commission
duties and the qualifications of the appointed Commissioners.

D. The Santa Rosa Rancheria 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 I] and Class III gaming activity to be
authorized to be conducted on the Santa Rosa Rancheria, and no form
of such gaming may be conducted on the Santa Rosa Rancheria without
prior approval by the Santa Rosa Rancheria Gaming Commission.
Pending approval of the Santa Rosa Rancheria Gaming Commission's
regulations by the Santa Rosa Rancheria Tribal Council, any interim
regulations that the Santa Rosa Rancheria Tribal Council may adopt
shall govern gaming on the Santa Rosa Rancheria.

E. The Santa Rosa Rancheria Gaming Commission, independent of
the Tribal Council, shall have full authority to monitor compliance
with this Ordinance and ite 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 therefor, the Santa Rosa Rancheria Ga
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

performing similar duties in other governmental gaming regulatory
agencies,

G. Subject to the approval of the Tribal Council, the Santa
Rosa Rancheria Gaming Commission hereby is authorized to establish
and impose upon gaming facilities, permittees, applicants and
licensees such application, permit and license fees as May be
necessary to fully reimburse the Santa Rosa Rancheria Tribal
Council for its actual costs of operating the Santa Rosa Rancheria
Gaming Commission, enforcing this Ordinance and Santa Rosa
Rancheria Gaming Commission regulations, processing of licensing
and permit applications, and otherwise fulfilling its regulatory
responsibilities under IGRA. All such fees shall be collected by
the Santa Rosa Rancheria Gaming Commission and hereby are

continuously appropriated solely for the Purposes enumerated in
this Subsection.

10


such applicant.

H. License Suspension

1. If, after the issuance of a gaming license, the
Santa Rosa Rancheria Tribal Council or its designated gaming
regulatory agency receives from the National Indian Gaming
Commission reliable information indicating that a key employee or
a primary management official is not eligible for employment under
Subsection D above, the Santa Rosa Rancheria Tribal Council or its
designated gaming regulatory agency shall suspend such license and

shall notify in writing the licensee of the suspension and the
proposed revocation.

2. The Santa Rosa Rancheria Tribal Council or its
designated gaming regulatory 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 Santa Rosa Rancheria
Tribal Council or its designated gaming regulatory agency shall
decide whether to revoke or to reinstate a gaming license. The

Santa Rosa Rancheria Tribal Council shall notify the National
Indian Gaming Commission of its decision.

VIII. 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 gaming
is to be conducted on the Santa Rosa Rancheria.

IX. Creation of Santa Rosa Rancheria Gaming Commission

A. There is hereby created the Santa Rosa Rancheria Gaming
Commission, which shall consist of three persons who would
themselves qualify for licensing under-this Ordinance.

B. The members of the Santa Rosa Rancheria Gaming Commission
shall be appointed by the Santa Rosa Rancheria Council, and 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 licensure hereunder. An affirmative vote of at
least four members of the Santa Rosa Rancheria Tribal Council
taken in an open meeting after a duly-noticed hearing at which the
member charged with misconduct shall have the right to hear and
Present evidence concerning his/her removal, shall be required to
remove a member of the Commission. At the request of the member
whose removal is at issue, the hearing may be held in executive
session. The Santa Rosa Rancheria Tribal Council also may elect to
receive in executive session any evidence public disclosure of
which might compromise any on-going law-enforcement investigation,
or which might jeopardize any privilege or immunity possessed by

9


charges), whether or not there is a conviction, if
such criminal charge is within ten years of the
date of the application and is not otherwise listed
pursuant to paragraph (1)(h) or (1)(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;

‘ m. Any other information the Santa Rosa Rancheria

Tribal Council may deem relevant under the
circumstances; and

n. Fingerprints consistent with procedures adopted by
the Santa Rosa Rancheria Tribal Council or its

designated gaming regulatory agency in accordance
with 25 C.F.R. §522.2(h).

2. The Santa Rosa Rancheria Tribal Council or its
designated gaming regulatory agency shall conduct an investigation
sufficient to make a determination under Subsection D. below. In
conducting a background investigation, the Santa Rosa Rancheria
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 Santa Rosa Rancheria Tribal Council or its designated
gaming regulatory agency shall review a applicant’s 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 Santa Rosa Rancheria 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 gaming’ operation shall not employ

that person in a key employee or primary management official
position.

M11


ea

3) promote Santa Rosa Rancheria economic development;
4) donate to charitable organizations; or

5) help fund operations of local government agencies.

B. If the Santa Rosa Rancheria Tribal Council elects to make
per capita payments to Santa Rosa Rancheria 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). .

v. Audit

A. The Santa Rosa Rancheria Tribal Council shall cause to be
conducted at least annually an independent audit of all gaming
operations and shall submit the resulting audit reports to the
National Indian Gaming Commission, and to such other agencies as
may be required by the terms and conditions of any Class III

compact or other document authorizing Class III gaming on the Santa
Rosa Rancheria.

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 that is described in Subsection A above,

VI. Protection of the Environment and Public Health and Safety

Class II and Class III gaming facilities on the Santa Rosa
Rancheria shall be constructed, maintained and operated in a manner
that adequately protects the environment and the public health and
safety, with the Santa Rosa Rancheria 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.

VII. Licenses for Key Employees and Primary Management Officials

The Santa Rosa Rancheria 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

A. Definitions

For the purposes of this section, the following
definitions apply: .

1. Key employee means
2


SANTA ROSA BAND OF TACHI INDIANS OF THE SANTA ROSA RANCHERIA

AMENDED GAMING ORDINANCE

I. Purpose thee wy 4 es
The Santa Rosa Band of Tachi Indians of the Santa Rosa
Rancheria, as the beneficial owner of the Santa Rosa Raricheria, and
acting through its General Council in the exercise of its inherent
sovereign power to enact ordinances and otherwise safeguard and
provide for the health, safety and welfare of the Santa Rosa
Rancheria and the members of the Santa Rosa Band of Tachi Indians,
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 gaming may
be conducted within the boundaries of the Santa Rosa Rancheria.

II. Gaming Authorized

A.’ Class II gaming as defined in the Indian Gaming Regulatory
Act, P.L. 100-447, 25 U.S.c. Section 2703(7) (A) ("IGRA") and by
regulations lawfully Promulgated by the National Indian Gaming

Commission ("NIGC") that now or hereafter may be in effect is
hereby authorized.

B. Class III gaming as defined in IGRA, 25 U.S.C. Section
2703(8) and by regulations promulgated by the NIGC that now or
hereafter may be in effect is hereby authorized, Provided such
gaming is also authorized by and consistent with a Tribal-State
Compact that has been approved by the Secretary of the Interior and

is in effect, or otherwise has been authorized by the Secretary of
the Interior or federal law.

III. Ownership of Gaming Facilities and/or Enterprises

The Santa Rosa Band of Tachi Indians of the Santa Rosa
Rancheria shall have the sole Proprietary interest in and
responsibility for the conduct of any gaming facilities and/or
enterprise(s) authorized by this ordinance,

Iv. Use of Gaming Revenue

A. Except as specifically authorized pursuant to Subsection
B of this Section, net revenues from Class II and Class III gaming

on the Santa Rosa Rancheria shall be used only for the following
purposes;

1) to fund Santa Rosa Rancheria Tribal government operations
and programs;
2)

provide for the general welfare of the Santa Rosa Band of
Tachi Indians of the Santa Rosa Rancheria and its members;

1 KO

Dens 9403a9- 0300/


Band of Tachi Indians for review and approval. The NIGC staff
and I look forward to working with you and the Band in
implementing the IGRA.

Sincerely yours,
Anthony y, Hope

Anthony J. Hope
Chairman


H, Failure to timely pay any gaming-related fee imposed by
the Tribal Council or the Santa Rosa Rancheria Gaming Commission,
or to comply with any Commission regulation or order, or any other
violation of this Ordinance or the terms of any Class III gaming
compact authorizing and regulating gaming on the Santa Rosa
Rancheria, shall be grounds for suspension or revocation of any
license or permit issued pursuant to this Ordinance, exclusion of
any non-member of the Santa Rosa Rancheria from the. Santa Rosa
Rancheria, and imposition of such other sanctions as the Santa Rosa
Rancheria Gaming Commission may deem appropriate.

I. Any person or entity subject ‘to any sanction or penalty by
the Santa Rosa Rancheria Gaming Commission shall have the right to

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 reviewable.

X. Amendments.

The Santa Rosa Rancheria Tribal Council is hereby delegated
the authority to amend this Ordinance in any manner deemed

determines to be the best interests of the Rancherla; provided,
that the Santa Rosa Rancheria 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 Tribal-State Class III
compact that is in effect.

XI. Repeal

To the extent that they are inconsistent with this ordinance,
all gaming ordinances previously enacted or amended by the Santa

Rosa Rancheria General Council or Tribal Council hereby are
repealed,

CERTIFICATION
This is to certify that the foregoing Ordinance was adopted on
ry 26] 7 at a duly-called meeting of the Santa Rosa
Rancheria General Council at which a quorum was present, by a vote
of YY in favor, © opposed and Q abstaining.

Dated: Nanuary 26, 4 Lorry Qe
Y Secretaryw

ll

brary