ROUNL I/ALLEY INDIAN T~ S

A Sovereign Nation of Confederated Tribes

TRIBAL COUNCIL OFFICE LOCATION: ON STATE HWY 162

POST OFFICE BOX 448 ONE MILE NORTH OF COVELO

COVELO, CALIFORNIA 95428 IN ROUND VALLEY

PHONE: 707-983-6126 TRIBAL TERRITORY SINCE TIME BEGAN

FAX: 707-983-6128

ROUND VALLEY RESERVATION ESTABUSHED 1856

RESOLUTION NO. RV-96-35

A RESOLUTION AMENDING RESOLUTION NO. RV-96-08

WHEREAS, the Round Valley Indian Tribes is the sovereign Nation of the Indian Tribes of the

Round Valley Indian Reservation, and

WHEREAS, the Round Valley Tribal Council is recognized by the Federal Government of the

United States of America as the governing body for the Indians of the Reservation, and

WFIEREAS, Article V, Section 1 of the Constitution of the Round Valley Indian Tribes

authorizes the Round Valley Tribal Council to administer all Tribal Business, and

WHEREAS, the Round Valley Tribal Council has been in the process of developing a Gaming

Ordinance for the Round Valley Indian Reservation, and

WHEREAS, the Round Valley Tribal Council has developed an Ordinance for Class Ii & Class

III Gaming operations on the Round Valley Indian Reservation, and

WHEREAS, adoption of the Gaming Ordinance would be in the best economically interest of

the Tribe and is authorized and published in the Federal Register at 57 FR 12382-12393, April 9,

1992, and

WHEREAS, this amendment to Resolution No. RV-96-08 authorizes the re-submission of the

Tribes revised Gaming Ordinance for the Class II & Class III Gaming.

NOW THEREFORE BE IT RESOLVED, that the Round Valley Tribal Council, governing

body for the Round Valley Indian Tribes hereby approves and adopt the Round Valley Indian

Tribes Class 11 & Class 111 Gaming Ordinance, listed as Attachment No. I, for the Round Valley

Indian Reservation.

BE IT FURTHER RESOLVED, that the Round Valley Tribal Council, authorizes and directs

the President of the Tribal Council, and/or Vice-President in the absence of the President, to

execute said resolution, contracts, agreements and amendments, with the approval of the Tribal

Council thereto in order to carry out the intent of said resolution.
RESOLUTION NO. RV-96-35

Page 2

CERTifICATION

I certify that the aforementioned resolution was adopted by the Round Valley Tribal Council at

which a quorum was present at a special meeting duly called and held on July 18, 1996, Council

Members, James Bettega Sr., Ronald Lincoln, Ernest Merrifield, Gerald Britton Sr., and John

Azbill voted five (5) for, none (0) against, and Council Member, Joseph A. Russ Sr.,

abstained.

~

esident, Round Valley Tribal Council

Dated

ATTEST:

Q iQ~&i

Executive Secretar~ Roun~ValIey

Tribal Council

Dated
Round Valley Indian Tribes

Class II & Ill Gaming Ordinance

I. Purpose

JUL 2 4 (~

The Round Valley Indian Tribes, hereinafter referred to as the

Tribe, empowered by the Tribes Constitution, to enact ordinances,

hereby enacts this ordinance in order to set the terms for Class II & Class

Ill gaming operations on tribal lands.

II. Gaming Authorized

Class II gaming as defined in the Indian Gaming Regulatory Act, P.L.

100-447, 25 U.S.C. Section 2703 (7) (A) and Class Ill gaming as defined

in the Indian Gaming Regulatory Act, P.L. 100-447, 25 U.S.C. Section 2703

(8) promulgated by the National Indian Gaming Commission at 25 C.F.R. S

502.3 (as published in the Federal Register at 57 FR 12382-1 2393, April 9,

1992), is hereby authorized.

Ill. Ownership of GamIng

The Tribe shall have the sole propriety interest in and responsibility

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

IV. Use of Gaming Revenue

A. Net revenues means gross gaming revenues of Indian gaming

operation less;

(a) Amounts paid out as, or paid for, prizes; and

(b) Total gaming-related operating expenses, excluding

management fees.

pg. 1
B. Net revenues from Class II and Class Ill gaming shall be used

only for the following purposes: to fund tribal government operations and

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

promote tribal economic development; donate to charitable organizations;

or help fund operations of local government agencies.

C. If the Tribe 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 under 25 U.S.C. S 2710 (b) (3).

V. Gaming Commission

Establishment of Gaming Commission: There is established by

the Tribe a Commission; acting under the authority of the Tribe, to be

known as the Round Valley Indian Tribes (RVIT) Gaming Commission.

The Gaming Commission shall be composed of five (5) persons, who

would themselves qualify for licensing under this Ordinance, and may be

appointed by the Round Valley Tribal Council. Two (2) of the

Commissioners may be members of the Tribal Council and the other three

(3) shall not. The Chairman of the RVIT Gaming Commission shall not

hold the office of President of the Round Valley Tribal Council.

VI. Audit

A. The Tribe shall cause to be conducted annually an

independent audit of gaming operations and shall submit the resulting audit

reports to the National Indian Gaming Commission.

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.

VII. Protection of the Environment and Public Health and Safety

Class II and Class Ill gaming facilities shall be constructed,

maintained and operated in a manner that adequately protects the

environment and the public health and safety.

pg.2
VIII. Dispute Resolution

Patrons who have complaints against the gaming establishment shall

have as their sole remedy the right to file a petition for relief with the Round

Valley Indian Tribes (RVIT) Gaming Commission. For such purposes, a

dispute with any management contractor or its employees shall be made to

the RVIT Gaming Commission, as shall be he exclusive remedy for patron

complaints. Complaints shall be submitted in writing and , at the discretion

of the RVIT Gaming Commission, the petitioner may be allowed to present

evidence. The RVIT Gaming Commission will render a decision in a timely

fashion and all decisions will be final when issued. Any patron having a

claim against the gaming establishment or a management contractor or its

employees must submit such claim to the RVIT Gaming Commission within

thirty (30) days of its occurrence. All claims by patrons shall be limited to a

maximum recovery of $10,000.00 per occurrence, and a cumulative limit of

$20,000.00 per patron in any twelve (12) month period.

VHII. 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 and Class Ill gaming

enterprise operated on Tribal lands:

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 gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

pg.3
(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 $50,000.00 per year;

or

(C) If not otherwise included, the four most highly

compensated person in the gaming 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 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 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

pg.4
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:

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.

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.

pg.5
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 address of at least 3 personal

references, including one personal reference who was acquainted with the

applicant during each period of residence listed under paragraph (1) (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;

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;

pg.6
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 or the date of the application and is not otherwise listed

pursuant to paragraph (1) (h) or (1) (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;

I. A current photograph;

m. An other information the Tribe deems relevant; and

n. Fingerprints consistent with procedures adopted by the

Tribe according to 25. C.F.R. S 522.2 (h).

2. The Round Valley Indian Tribes Gaming Commission shall

arrange for a city or county law enforcement agency, located in Mendocino

County of the State of California, to take the applicants fingerprints and

forward those fingerprints directly to the National Indian Gaming

Commission, to be forwarded to the Federal Bureau of Investigation,

National /Criminal Information Center, for review of the applicants criminal

history, and perform or arrange to have performed the necessary

background investigation of the applicant required by this Ordinance. Such

investigations shall include contacting each reference provided in the

application and taking all appropriate steps necessary to verify the

accuracy of the information contained in the report of the findings.

Interviews will be conducted with a sufficient number of knowable people

such as former employers of the applicant, personal references, to provide

a basis for the Tribe to make a finding concerning eligible for employment.

There shall be a written investigation report of the findings and conclusions

of each investigation; (2) the results obtained; (3) the conclusions reached;

pg.7
and (4) the basis for the conclusions. The Round Valley Indian Tribes

Gaming Commission shall review the findings and conclusions of the report

for the purpose of determining whether to grant or deny the license applied

for. In addition, there will be documentation of all potential problem areas

noted and disqualifying information.

3. The Tribe through the RVIT Gaming Commission shall conduct

or cause to be conducted an investigation, through the RVIT Gaming

Commission, sufficient to make a determination of eligibility as required

under this Ordinance. In conducting the background investigation, the

RVIT Gaming Commission and its agents shall promise to keep

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

investigation.

D. Eligibility Determination

The Tribe 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 primary management official for

employment in a gaming operation. If the Tribe 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.

E. 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 Tribe 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.

pg.8
2. The Tribe 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.

F. Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in subsection E of this

section, the Tribe 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 a background investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

2. The Tribe 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 Tribe:

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 Tribe~ 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

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

pg.9
G. Granting a Gaming License

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

Commission receives a report, the National indian Gaming 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 National Indian Gaming Commission, the Tribe

may issue a license to such applicant.

2. The Tribe 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 paragraph

G. 1. of this section until the Chairman of the National Gaming Commission

receives the additional information.

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

indian Gaming Commission provides the Tribe with a statement itemizing

objectives to the issuance of a license to a key employee or to a primary

management official for whom the Tribe has provided an application and

investigative report to the National Indian Gaming Commission, the Tribe

shall reconsider the application, taking into account the objections itemized

by the National Indian Gaming Commission. The Tribe shall make the final

decision whether to issue a license to such applicant.

H. License Suspension

1. If, after the issuance of a gaming license, the Tribe 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 Tribe shall suspend

such license and shall notify in writing the licensee of the suspension and

the proposed revocation.

2. The Tribe shall notify the licensee of a time and a place for a

hearing on the proposed revocation of license.

pg. 10
3. After a revocation hearing, the Tribe shall decide to revoke or

to reinstate a gaming license. The Tribe shall notify the National Indian

Gaming Commission of its decision.

X. License Locations

The Tribe shall issue a separate license to each place, facility, or

location on Indian lands where Class II and Class Ill gaming is conducted

under this ordinance.

XI. Service of Process

The Tribe designates as its agent for the service of any official

determination, order, or notice of violation, the President of the Tribe.

XII. Repeal

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

gaming ordinances are hereby repealed.

XIII. Amendments

All provisions of this Ordinance are subject to revision, repeal, or

amendment by the Tribal Council at any time. Regulations promulgated by

the Gaming Commission under this Ordinance are subject to revisions,

repeal, or amendment by the Gaming Commission at any time.

pg. 11