~Uffl~V IHDUIII 4U1H(iIQ~U~

Ioc,a-~)e-~j1t~e

RESOLUTION NO. 0l~ D~- 103 -01

WHEREAS, the Rumsey Indian Rancheria of Wintun Indians of

California (hereinafter the Tribe) is a federally

recognized Indian Tribe; and

WHEREAS, the Tribal Council is the governing body of the Tribe;

WHEREAS, the Tribe enacted a Class II gaming ordinance, which

was approved in 1993 by the National Indian Gaming

Commission to ensure its gaming operation complies with

explicit requirements concerning gaming employee

licensing, background checks, and related matters; and

WHEREAS, the Tribe plans to engage in Class III gaming

authorized by the tribal-state compact executed with

the State of California on July 13, 1998; and

WHEREAS, the National Indian Gaming Commission has promulgated

regulations, which contain explicit requirements

concerning gaming employee licensing, background

checks, and related matters; and

WHEREAS, the Tribe wishes to ensure that its Class III gaming

operations comply with these regulations; and

WHEREAS, the Tribe believes that the regulations will further

enhance the Tribes capability to ensure that its

Class III and Class II gaming operations are managed

honestly and efficiently; and

WHEREAS, the Tribe wishes to designate its counsel, Howard

Dickstein, as its agent for service of process for

official communications from the National Indian Gaming

Commission;

NOW THEREFORE BE IT RESOLVED that the Tribal Council hereby amends

its Class II Gaming Ordinance as attached hereto, and authorizes

its Chairperson, Paula Lorenzo, to execute the ordinance and submit

said ordinance with all accompanying documents required to the

National Indian Gaming Commission for review and approval.

CERTIFICATION

The foregoing resolution was adopted by a vote of ~J for,

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

the Tribal Council, at which a quorum was present, on this 3r-d day

of c1j~.~tkJ , 1998.

Pau L , Chairperson

F:\RUMSEY\RESOLUTI\CLASS2&3.RES

-

P.O. Box 18 Brooks, California 95606 (916) 796-3400 (916) 796-2143 Fax

T~IUflL cowicii.

p~AJJIA LO~B.~ZO

S

MA~HAJ.L W~AY

~a~y

S

BESSEY ~UAIO~OS

Tr~awr~

~EW~WBL

Coundi Menther

S

Coundi Munther

Member Board of Diredon

and
ORDINANCE NO. 98-03

AMENDED TRIBAL CLASS II AND CLASS III GAMING ORDINANCE

I. Purpose

The Tribal Council of the Rumsey Indian Rancheria of Wintun

Indians of California (hereinafter Tribe), empowered by the

Tribes Constitution to enact ordinances, hereby amends its Class

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

activities on tribal lands as well.

II. Gaming Authorized

A. 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)

(IGRA) are hereby authorized, including but not limited to bingo,

pulltabs, and non-banking card games.

B. All forms of Class III gaming as defined in the Indian

Gaming Regulatory Act, P.L. 100-447, 25 U.S.C. Section 2703(8)

(IGRA) and authorized by the tribal-state compact between the

Tribe and the State of California executed on July 13, 1998

(hereinafter tribal-state compact), including Indian Lottery

Games, are hereby authorized.

III. Ownership of Gaming

The Tribe shall maintain the sole propriety interest in and

responsibility for the conduct of all Class II and Class III gaming

activities authorized by this ordinance.

IV. Use of Gaming Revenue

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

III 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 pursuant to its Plan for the

Allocation of Gaming Revenue, approved by the Secretary of the

Interior under §2710(b) (3) of IGRA.

1
V. 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 Commission.

B. All gaming related contracts that result in the purchase

of supplies, services, or concessions in excess of $25,000

annually, except for 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. Environmental Protection

The construction, maintenance and operation of Class II and

Class III gaming facilities and Class II and Class III 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 and/or

Class III 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;

-2-
(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.

(d) If not otherwise included, any other person who

is designated as a key employee under the tribal-state

compact.

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. 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 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

-3-
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 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 and/or Tribal Gaming 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 number(s), birth date, place

of birth, citizenship, gender, all languages

(spoken or written);

(b) Currently and for the previous 5 years:

-4-
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 (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;

(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

-5-
license or permit, whether or not such license

or permit was granted;

(1) A current photograph;

(m) Any other information the Tribe and/or Tribal

Gaming Agency deems relevant; and

(n) Fingerprints consistent with procedures

adopted by a tribe according to 25 C.F.R. §

522.2(h).

2. The Tribe and/or Tribal Gaming Agency shall conduct

an investigation sufficient to make a determination under

subsection D 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 Tribal Gaming Agency 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 Tribal Gaming

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, 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 C above.

3. The Tribes gaming operation shall not employee in a

key employee position associated with Class III gaming

activity any applicant who fails to meet any necessary

suitability requirements under the tribal-state compact.

B. 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 and/or Tribal Gaming Agency 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.

-6-
2. Upon completion, the Tribe and/or Tribal Gaming

Agency 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.

F. Report to Commission

1. Pursuant to the procedures set out in subsection E

of this section, the Tribe and/or Tribal Gaming Agency 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;

(d) The bases for those conclusions; and

(e) The Tribe and/or Tribal Gaming Agency 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:

(a) The Tribe and/or Tribal Gaming Agency 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. With respect to key employees and primary management

officials, the Tribe and/or Tribal Gaming Agency 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 and/or the Tribal Gaming Agency that it has no objection

-7-
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. The Tribe and/or the Tribal Gaming Agency shall

respond to a request for additional information from the

Chairman of the Commission concerning a key employee or a

primary management official who is the subject of a report.

Such a request shall suspend the thirty (30) day period under

paragraph (G) (1) of this section until the Chairman of the

Commission receives the additional information.

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

above, the Commission provides the Tribe and/or Tribal Gaming

Agency 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 and/or Tribal Gaming Agency has

provided an application and investigative report to the

Commission, the Tribe and/or Tribal Gaming Agency shall

reconsider the application, taking into account the objections

itemized by the Commission.

4. The Tribe shall ensure compliance with any other

procedures regarding licensure which may be required under the

tribal-state compact.

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 D above, the Tribe and/or Tribal

Gaming Agency shall suspend such license and shall notify in

writing the licensee of the suspension and the proposed

revocation.

2. The Tribe and/or Tribal Gaming 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 Tribe and/or Tribal

Gaming Agency shall decide to revoke or to reinstate a gaming

license. The Tribe and/or Tribal Gaming Agency shall notify

the Commission of its decision.

4. The Tribe and/or Tribal Gaming Agency shall also

suspend and revoke the license of a key employee when such

person is deemed unsuitable under the tribal-state compact.

-8-
VIII. License Locations

The Tribe and/or Tribal Gaming Agency shall issue a separate

license to each place, facility, or location on Indian lands where

Class II and Class III gaming is conducted under this ordinance.

IX. Customer Dispute Resolution Procedure

A. With respect to Class II gaming, 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 be informed 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.

B. With respect to Class III gaming, customer and third party

disputes shall be resolved pursuant to Article 10 and Article 11 of

the tribal-state compact.

X. IGRA Compliance

The Tribe shall ensure enforcement of rules and regulations

for all games played to ensure that they conform to the IGRA,

including any effective tribal-state compact, and that the games

are honest and fair.

XI. Amendments

The Tribal Council may amend this Ordinance in any manner

deemed appropriate to protect the Tribes best interests so long as

any such amendment is no less restrictive than the original terms

of this Ordinance, complies with all applicable federal law, and is

consistent with the terms of any effective tribal-state compact.

XII. Repeal

All prior gaming ordinances are hereby repealed.

CERTIFICATION

The foregoing ordinance was adopted by a vote of L for, and

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

Tribal Council, at which a quorum was present, on this 3r~ day of

September, 1998.

Chairperson
AMENDED PROCEDURE FOR BACKGROUND INVESTIGATIONS

OF KEY EMPLOYEES AND PRIMARY MANAGEMENT OFFICIALS

OF TRIBAL GAMING FACILITY

1. Responsibility for the Investigations The Rumsey Indian Rancheria,

through its tribally appointed Tribal Gaming Agency, shall be responsible for ensuring

that background investigations and suitability determinations are conducted

concerning all key employees and primary management officials of its tribal gaming

facility, as required by 25 C.F.R. section 522.2(b) and as defined in section 7(a) of the

Tribes Amended Class II and Class Ill Ordinance.

2. Conduct of the Background Investigations The Tribe designates the

Tribal Gaming Agency to conduct said background investigations by submission of

fingerprints to the National Indian Gaming Commission and/or California Department

of Justice.

3. Procedures for the Background Investigations In order to provide a basis

for the Tribal Gaming Agency and the Tribe to make a finding concerning the eligibility

for employment in a gaming operation, said background investigations shall include:

a. Verification by written or oral communication of the information

submitted by the applicant;

b. An inquiry into the applicants prior activities, criminal record, if

any, and reputation, habits and associations;

c. Interviews with a sufficient number of people such as former

employers, personal references, and others with sufficient knowledge of said

applicant;
4

d. Documentation setting forth the disposition of all potential problem

areas and disqualifying information which is obtained;

e. The obtaining and processing of fingerprints from each applicant.

The Tribe designates the Tribal Gaming Agency to obtain and the NIGC to process

said fingerprinting.

4. Reports Regarding the Background Investigations Reports regarding all

background investigations shall be reviewed and approved by the Tribes General

Counsel. Said reports shall set forth the following:

a. The steps taken in conducting the background investigations;

b. The results obtained;

c. The conclusions reached; and

d. The bases for those conclusions.

5. Submission of Reports

a. The Tribal Gaming Agency shall be responsible for submitting the

reports referred to above to the National Indian Gaming Commission.

b. The Tribal Gaming Agency shall be responsible for submitting the

reports referred to above to the Division of Gambling Control in the California

Department of Justice when the tribal-state compact between the Tribe and the State

of California, executed on July 1 3, 1 998, is approved by the Secretary and published

in the Federal Register.

F R U MS EY\ BAC K G RN D CH K