C

(707) 987-3670

FAX: (701) 987-9091

22223 HIghway 29 at Rancherla Road

P.O. Box 1035 Middletown, CA 95461

JOSE SIMON UI, ChaIrman

PAMELA REVES, V1ca-Chairper~on LLJYA RIVERA, Secmtary ANON QAUJPE-SRIONES, lleaeurer

HA8KOLA RIVERA, Repreeentatlve

WHEREAS,

WHEREAS,

the Middletown Rancheria (Tribe) is a Federally Recognized California

Indian Tribe recognized by the Secretary of the Interior with a

Government to Government relationship with the United States

Government with the members of its General Council as its governing

body; and

on February 12, 2000 at a Special General Council Meeting, called for the

purpose of approval of the Middletown Rancheria Amended Tribal

Gaming Ordinance, the General Council of the Middletown Rancheria

voted to~ approve the Middletown Rancheria Amended Tribal Gaming

Ordinance with a vote of 11 FOR. () AGAINST AND Q ABSTAIN.

NOW THEREFORE BE IT RESOLVED, that the General Council of the

Middletown Rancheria through the Tribal Council and the Tribal Gaming

Commission authorizes the Tribal Chairman to execute a resolution on

behalf of the Middletown Rancheria.

CERTIFICATION

This is to certify that the foregoing Resolution No. 2000-05-01 was duly adopted by

the Middletown Rancheria Tribal Council at a meeting held on Thursday, May 11,

2000 at which time a quorum was present, by a vote of ~ for, Q against and Q abstain.

ATTESTED TO BY:

Jo~imon III, Tribal Chairperson

ve~alS~

ecretary

HzhlLaow4%

RESOLUTION NO. 2000-05-01

~4i/~Oo

Date

Date
=.i0D: ~~ 707 ~? 7 2

MIDDLETOWN RANCHERIA

TRIBAL GAMING ORDINANCE
l.~I:G~m-., Ccmm 7O7Q~T2~~

Methods of Approval

Tribal Gaming Commi8sion:

February 12,2000 the Middletown Rancheria Tribal Gaming Ordinance

was prepared and submitted, for review, by the Middletown Rancheria

General Council, at a duty called General Council Meeting.

Tribal Council:

The Middletown Rancheria Tribal Council called for a Special Meeting of

the General Council to approve or deny Middletown Rancheria Amended

Tribal Gaming Ordinance on Saturday, February 12, 2000.

Ill. General Council:

On February 12, 2000, at a Special Meeting called for the purpose of

approval or denial of the Middletown Rancheria Amended Tribal Gaming

Ordinance the following occurred:

Motion made:,

_~11~ -

For __0 Against -

_0_ Abstain

Motion Passes.

IV. Tribal Gaming Commission:

Implemented the approved Middletown Rancheria Tribal Gaming

Ordinance, on February 12, 2000.

V. National Indian Gaming Commission:

The Tribal Gaming Commission has on February 14, 2000, forwarded a

copy of the newly approved Middletown Rancheria Tribal Gaming

Ordinance to the National Indian Gaming Commission.

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Middletown Rancheria Tribal Gaming Ordinance

Section I. Short Title

This Amended Tribal Gaming Ordinance may be cited as the Middletown

Rancheria Tribal Gaming Ordinance.

Section II. Purpose

The Middletown Rancheria Lake Miwok/Band of Porno Indians, as beneficial

owner of the Middletown Rancheria, 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 Middletown

Rancheria and the members of the Middletown Rancheria Lake Miwok/Band of

Porno 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 Ill gaming may be conducted within

the boundaries of the Middletown Flancheria.

Section III. Gaming Authorized

A. Class II gaming as defined in the Indian Gaming Regulatory Act, PL 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, however, that 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 and is in

effect.

C. Traditional Indian Games as defined by the Middletown Rancheria Lake

Miwok/Pomo Indians General Council.

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D. If the Middletown Rancheria elects to allow individually owned gaming

operations is~ shall authorize such operations in accordance with the

requirements set forth in 25 CFR Section 522.10 and 522.11.

Section lV~ Ownership of Gaming Facilities and/or Enterprises

The Middletown Rancheria shaD have the sole proprietary interest In and

responsibility for the conduct of any gaming facilities and/or enterprise (s)

authorized by this Ordinance.

A. All gaming operations of Tribal Lands shall be conducted by the

Middletown Rancheria or its management contractors only.

B. All gaming activities provided for by this Ordinance within the lands of the

Middletown Rancheria shall be conducted in conformance with the

requirements of the Ordinance, the Indian Gaming Regulatory Act, 102

Stat. 2467, 25 U.S.C. Section 2701, et sea, as implemented by the

regulations promulgated by the National Indian Gaming Commission, and

the provisions of any Tribal-State, compact governing Class Ill gaming on

the Middletown Rancheria Tribal Lands.

C. Tribal Lands means all lands within the limits of the Middletown Rancheria

and; Lands in which the Middletown Rancheria exercise governmental

power and that is either held in trust by the United States for the benefit of

the Middletown Rancheria or lands held by the Middletown Rancheria

which are subject to restriction against alienation imposed by the United

States.

Section V. Use of Gaming Revenue

A. Except as specifically authorized pursuant to subsection B of this section,

net revenues from Class Il and Class lii gaming on the Middletown

Rancheria shall be used only for the following purposes:

1. Funding of Middletown Rancheria Tribal Government operations

and programs;

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2. Providing for the general welfare of the Middletown Flancheria

Trlbal~Members and its members;

3. Promoting Middletown Rancherias economic development;

4. Donating to charitable organizations; or

5. AssistIng with funding the operations of local government agencies.

B. If the Middletown Rancherias General Council elects to make per capita

payments to Middletown Rancheria Tribal 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. Section 2710 (b)(3).

Section VI. Audit

A. The Middletown Rancheria Tribal Council shall cause to be conducted at

least annually an independent audit of all gaming operations. The Tribal

Council shall direct and instruct the Tribal Gaming Commission to

research and investigate potential external auditors. Upon the completion

of all research and investigation, the Tribal Gaming Commission shall hire

a competent and reputable external auditor to conduct an annual

independent audit of all gaming operations. The resulting audit reports

shall be distributed to the Tribal Council, General Council, and the

National Indian Gaming Commission. The resulting audit reports may be

submitted to other agencies as may be required by the terms and

conditions of any Class Ill compact or other document authorizing Class

III gaming on~the Middletown Rancheria. The Management of the Gaming

Facility will receive a copy of the Independent Audit with a cover letter

from the Tribal Gaming Commission stating a deadline date to conform to

the necessary changes recommended by the external auditor.

B. AU gaming-related contracts that result in the purchase of supplies,

services, or concessions 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.

C. The Gaming Facility shall keep permanent books of account or records,

including inventory records of gaming supplies, sufficient to establish the

amount of gross and net income, deductions and expenses, receipts and

disbursements, and other information required in any financial statement,

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report or other accounting prepared pursuant to the Act or Chapter III in

Title 25 C.F.R.

D. No later than~ the fifteenth (15th) day of each month, each gaming operator

shall provide, in a report form prescribed by the Middletown Rancheria

Tribal Gaming Commission, a statement of gross revenues, assessable

gross revenue and net revenues received or collected at each gaming

establishment during the immediate preceding month.

E. All papers, books, and records including computer records of the gaming

operation relating to licensed gaming activities shall be subject to

inspection, examination, photocopying, and auditing by the Middletowri

Rancheria Tribal Gaming Commission and the NIGCs authorized

representatives at any time during reasonable hours. All such papers

books and records shall be retained not less than seven (7) years.

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

Class II and Class Ill gaming facilities on the Mlddletown Rancheria shall be

constructed, maintained and operated in a manner that adequately protects the

environment and the public health and safety. National Standard Building Codes

may be used to assure a facility is constructed and maintained in a manner,

which compliments the protection of the environment and public heaith and

safety. The Middletôwn Rancheria Tribal Council shall have the primary

responsibility for assessing the environmental impact of all construction and

gaming operations through the development of an Environmental Protection Act

Program, and shall take such measures as it determines may be reasonably

necessary to mitigate any adverse environmental impacts identified.

A. The Management of the Tribal Gaming Enterprise must submit current

structural plans of the Gaming Facility, noting location of Video Machines,

Card Tables, and Promotional display areas. If the Management decides

to alter the current layout of the floor plan, the plans must be presented to

the Tribal Gaming Commission for~eview and approval prior to any

alterations including but not limited to moving of machines, adding on

rooms, or entertaining various promotional displays.

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Section VIII. Licenses for Key Employees and Primary Mgmt Officials

The Middletown Rancheria Tribal Gaming Commissioners or its designated

gaming regulatory employees 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 Ill gaming

enterprise operated on Indian lands within the boundaries of the Middletown

Rancheria.

A. Definitions

For the purpOse of this section, the following definitions apply:

Key employee means

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

(1) Bingo Caller;

(2) Count Room Supervisor

(3) Director of Security

(4) Cashiers

(5) Floor Manager

(6) Pit Boss

(7) Dealer

(Œ) Drop Team Members

(9) Video Technicians

(10) Croupier

(11) Approver of credit

(12) Custodian of gaming supplies or cash

(13) 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.

B. 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

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7:n.4_:I:GDrnIrr Cnr1nhI~~inr 7 70 7 ~

(c) The Chief Financial Officer, or other person who has financial

management responsibility.

Bi. Application Forms

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

inform~ation is provided: Solicitation of the information on this form

is authorized by 25 U.S.C. Section 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 the 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 members

of Mickiletown Rancheria Tribal Council and Middletown Ranchoria

Tribal Gaming Commission, as well as appropriate Federal, State,

Local or foreign law enforcement and regulatory agencies when

relevant to civil, criminal, or regulatory investigations or

proseÆutions. Further, the information may be disclosed to another

Federally Recognized American Indian Tribe or the National Indian

Gaming Commission in connection with the hiring or firing of an

employee or the issuance or revocation of a gaming license.

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.

B2. 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.

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forr~i

B3. The fàllowing 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 raise 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. Section

1001).

B4. The Middletown Rancheria Tribal Gaming Commissioners 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

Cl. The Middletown Rancheria Tribal Gaming Commission shall

request from each primary management official and from each key

employee all or 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 five 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 Middletown Rancheria or any other

Indian Tribe, 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 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;

(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 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 conviction, if such criminal charge

is within ten years of the date of the application and Is not

otherwise listed pursuant to the 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;

(I) A current photograph;

(m) Any other information the Middletown Rancheria Tribal

Gaming Commission may deem relevant under the

circumstances; and

(n) Fingerprints of the applicant to be taken by the Middletown

Rancheria Tribal Gaming Commission for a criminal history

check. A criminal history check will include a check of

criminal history records information maintained by the

Federal Bureau of Investigation in accordance with 25

C.F.R. Section 522.2(h).

C2. The Middletown Rancheria Tribal Gaming Commission shall

conduct an investigation sufficient to make a determination under

Subsection D. below. in conducting a background investigation,

the Middletown Rancheria shall promise to keep confidential the

identity of each person interviewed in the course of the

investigation.

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The Middletown Rancheria Tribal Gaming Commission 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. lf:the Middletown Rancheria Tribal Gaming Commission

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.

Dl. The Mlcldletown Rancheria Tribal Gaming Commission may issue

or renew a gaming license to an applicant who submits a proper

and cdmp!eted application and pays the appropriate annual license

fee, provided that the Tribal Gaming Commission determines that

the applicant:

(a) Is not a minor:

(b) is a person of good character, honest and integrity;

(c) has no prior activities, criminal record, reputation, habits,

and associations which pose a threat to the public interest or

the interest of the Middletown Rancheria or to the effective

regulation and control of gaming, or create or enhance the

dangers of unsuitable, unfair, or illegal practices, methods

and activities in the conduct of gaming or the carrying in if

the business and financial arrangements incidental to the

conduct of gaming;

(d) has not supplied false and/or misleading information or who

has not omitted material information required under this

Ordinance, the Act, and 25 C.F.R. Chapter III;

(e) has not had, or is not in privity with anyone who has had, a

gaming license revoked for cause in any jurisdiction since

the effective date of the Act;

(f) has complied with this Ordinance or any resolution adopted

by the Middletown Rancheria Tribal Gaming Commission:

(g) does not occupy a competing position in the employ of

another Tribe within a five hundred (500) mile radius of any

Tribal Gaming Operation; and

D. Eligibility Determination

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(h) does not violate any of the requirements set forth in 25

:(J.S.C. Section 2711(a) and (e),

D2. The Tribal Gaming Commission shall make the final decision as to

whether a gaming license shall be issued, suspended or revoked.

D3. Until aUthorized by a Tribal-State Compact, no gaming license shall

be issued by the Middletown Rancheria Tribal Gaming Commission

for Class Ill gaming.

E. National Indian Gaming Commission Reports and Applications

El. When a key employee or primary management official begins work

at a gaming operation authorized by this ordinance, the Middletown

Rancheria Tribal Gaming Commission 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.

E2. The Middietown Rancheria Tribal Gaming Commission shall

forward the report referred to in Subsection F of this Section to the

National Indian Gaming Commission within days after an employee

begins work or within 60 days of the approval of this Ordinance by

the Chairperson of the National Indian Gaming Commission.

E3. 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. investigative~Report

Fl. Pursuant to the procedures set out in Subsection E of this section,

the Middletown Rancheria Tribal Gaming Commission 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

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(d) The basis for those conclusions.

F2. The Middletown Ranchena Tribal Gaming Commission shall

submit, with the report, a copy of the eligibility determination made

under Subsection 0 of this Section.

F3. If a license is not issued to an applicant, the Middletown Rancheria

Tribal Gaining Commission:

(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.

F4. With respect to key employees and primary management officials,

the Middletown Rancheria Tribal Gaming Commission shall retain

applications for employment and reports (if any) of background

investigations for inspection by the Chairperson 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 Temporary Gaming License

01. When the Gaming Facility proposes to hire a new employee the

Gaming Facility shall submit applications of proposed employees

with the designated fees to the Tribal Gaming Commission.

G2. The Tribal Gaming Commission shall run a preliminary Background

investigation on prospective employees. If the preliminary

investigation is satisfactory, the Tribal Gaming Commission shall

inform the Gaming Facility.

03. The Gaming Facility shall then have the prospective employee

submit to a drug test, and provided that the results are satisfactory,

the prospective employee shall set a time to meet with the Tribal

Gaming Commission.

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G4. Once the prospective employee sets a time for meeting with the

Gaming Commission, the Tribal Gaming Commission may then

issue a Temporary Gaming License.

35. If the preliminary background investigation is not satisfactory, the

Tribal Gaming Commission may elect not to issue a Temporary

Gaming License. If this is done, the prospective employee wilt be

denied the issuance of a Temporary Gaming License.

06. The Tribal Gaming Commission has a two to four week period in

which to issue a Temporary Gaming License.

H. Withdrawal of Temporary Gaming License Issuance

Hi. If, during any stage of the background investigation, the Tribal

Gaming Commission finds that an employee is unsuitable for a

gaming license, a Temporary Gaming License previously issued

may be withdrawn.

H2. Written notice that a Temporary Gaming License has been

withdrawn shall be provided to the employee and the General

Manager of the Gaming Facility by the Tribal Gaming Commission.

H3. A decision by the Tribal Gaming Commission to withdraw a

Temporary Gaming License will be final unless investigative

information is proved to be inaccurate by the applicant.

Granting a Gaming License

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

Commission receives a report, the National Indian Gaming

Commission notifies the Middletown Rancheria Tribal Gaming

Commission 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 Middletown Ranchoria

Tribal Gaming Commission has provided an application and

investigative report to the National Indian Gaming Commission, the

Middletown Rancheria Tribal Gaming Commission may issue a

license to such an applicant.

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12. The Middletown Rancheria Tribal Gaming Commission shall

respoAd to a request for additional information from the

Chairperson 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.1 of this Section until the Chairperson

of the National Indian Gaming Commission receives the additional

information.

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

Indian Gaming Commission provides the Middletown Rancheria

Tribal Gaming Commission 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 Middletown Rancheria

has provided an application and investigative report to the National

Indian Gaming Commission, the Middletown Rancheria Tribal

Gaming Commission shall reconsider the application, taking into

account the objection(s) itemized by the National Indian Gaming

Commission. The Middletown Rancheria Tribal Gaming

Commission shall make the final decision whether to issue a

license to such an applicant.

J. License Suspension

Ji. If, after the issuance of a gaming license, the Middletown

RanchØria Tribal Gaming Commission 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 Middletown Rancheria

Tribal Gaming Commission shall suspend such license and shall

notify in writing the licensee of the suspension and the proposed

revocation.

J2. The Middletown Rancheria Tribal Gaming Commission shall notify

the lice, see of a time and a place for a hearing on the proposed

revocation of a license.

J3. After a revocation hearing, the Middletown Rancheria Tribal

Gaming Commission shall decide whether to revoke or to reinstate

a gaming license. The Middletown Ranchena Tribal Gaming

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Commission shall notify the National Indian Gaming Commission of

its decision.

K. Gaming License Fees

Ki. All fees for Gaming Licenses shall be set at the discretion of the

Tribal Gaming Commission. The Tribal Gaming Commission

reserves the right to change Gaming License fees at any time for

any License type or class. If the cost of an investigation exceeds

the License fee established, the Tribal Gaming Commission also

roserv~s the right to request payment of any of the additional

expense incurred. All applicants must promptly comply with any

requests from the Tribal Gaming Commission to provide a deposit

sufficient to cover the estimated cost of the background

investigation and processing.

L. Classes and~ Types of Licenses Issued

Li. Employee Licenses

(a) Class A: Key Gaming Employee License

(b) Class B: Non-Gaming Employee License

(c) Class C: Primary Management

L2. Vendor Permit License

(a) Class A: Businesses

(b) Class B: Principals

(C) Class C: Consultants

IX. Vendor License Permits/Contracts/Agreements

The Tribal Gaming Commission shall review prospective Vendor backgrounds

and contracts/agreements before issuing a Vendor License Permit or approving

a contract between Middletown and the prospective vendor. A Vendor must

have a Vendor License Permit and an approved contract from the Tribal Gaming

Commission before commencing work on Middletown Rancheria. Eligibility

Determination shall be as defined in Section XIII. (D).

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Any vendor or prospective Vendor that has or wishes to provide services or

goods must complete an application for a Vendor License Permit and submit the

application and required fees to the Tribal Gaming Commission in accordance

with the policies and procedures of the Tribal Gaming Commission.

X. 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 Ill gaming is to be conducted on the

Middletown Rancheria.

Xl Creation of the Middletown Rancherla Tribal Gaming Commission

A. There is hereby created the Middletown Rancheria Tribal Gaming

Commission, which shaD consist of three Middletown Rancheria General

Council Members who would themselves qualify for licensing under this

Ordinance.

Al. Qualifications:

(1) High School Diploma, GED, or equivalent.

(2) Must have knowledge of Gaming Industry and willing to train

for this position.

(3) Written and oral communication skills.

(4) Willing to travel and be available for training.

(5) Professional attire is a requirement.

(6) Must have the ability to work with staff, Federal, State, and

Local agencies.

(7) Must be available during Casino working hours.

(8) Must be able to pass a drug test.

A2. The members of the Middietown Rancheria Tribal Gaming

Commission shall be selected by secret ballot by the General

Council, The process shall be as follows:

(1) March General Council Meeting:

The Tribal Council shall announce to the General Council

that nominations for the Tribal Gaming Commissioners shall

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be entertained from the floor at the April General Council

Meeting.

(2) April General Council Meeting:

Nominations for the Tribal Gaming Commissioner positions

shall be entertained from the floor of the General Council.

All persons so nominated who accept said nomination shall

complete the necessary forms for licensure required of a

primary management official no later than June 20.

(3) May General Council Meeting:

The names of all persons nominated to serve as a Tribal

Gaming Commissioner at the April General Council meeting

who have passed the initial background investigation shall

be placed on a ballot. The Tribal Council shall oversee the

preparation of ballots and the conduct of the secret ballot

election. The ballot shall list the name of each eligible

candidate and specifically state that any ballot with more

than three votes shall not be counted. Once all ballots have

been accepted, the Tribal Council shall count the ballots in

the presence of the General Council. The three individuals

who receive the most votes shall serve as the Tribes

Gaming Commissioners; provided, however, that each

individual must be found licensable by the Gaming

Commission then in office. In the event that any person is

denied a license, then the person who received the fourth

highest votes shall serve as a Gaming Commissioner

provided that person is found licensable. The newly

appointed Tribal Gaming Commissioners shall take office as

soon as practicable given the licensure requirements, but

Under no circumstances later than June 30. Each Tribal

Gaming Commissioner so elected shall serve a three-year

term and remain in office until his/her successor is elected

and licensed.

B. Removal of aGaming Commissioner

A Tribal Gaming Commissioner shall not be removed during his/her term

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

render such persons unqualified for licensure hereunder. A petition

signed by at least 30% of the General Council Membership must be

submitted to the Tribal Council to remove a Tribal Gaming Commissioner.

Upon receipt of such a petition, the Tribal Council shall call a special

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meeting within 15 days to conduct a hearing of the petition. Notice of

such meeting shall be hand delivered to the Gaming Commission(s) to

whom the petition is directed. At the Special Meeting, the Tribal Council

shall read the petition aloud. Each Tribal Gaming Commissioner to whom

the petition is directed shall have a minimum of 15 minutes to respond to

the petition and present evidence on his/her behalf. Thereafter, the Tribal

Council, at its sole discretion, may permit comments from the floor. If

such discussion is pem-iitted, it shall be no longer than sixty (60) minutes.

The Tribal Council shall request that a motion be made, the substance of

which is either a recommendation that the petition be accepted or that it

be denied. If a motion to accept the petition passes, the Tribal Council

shall request~ that a motion be made recommending that the affected

Tribal Gaming Commissioner be immediately relieved of his/her duties, or

that he/she be permitted to continue to perform his/her duties pending the

decision of the Tribal Council on the petition. Following these motions,

the Tribal Council shall close the Special Meeting. Within the next five

working days, the Tribal Council shall meet to resolve the petition. At all

such meetings, four of the five Tribal Council members must be present.

When a vote is taken on the question of removing the Gaming

Commissioner(s), at least three Tribal Council members must vote to

terminate the affected Gaming Commissioner(s). The Tribal Council shall

issue written notice of its decision to the General Council and the

petitioned Tribal Gaming Commissioner(s). The decision of the Tribal

Council shall be final. The Micldletown Rancheria Tribal Council is free to

receive in special 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 the Middletown

Ranchena Tribal Council. If a Tribal Gaming Commissioner has been

removed from office for misconduct, neglect of duties or other acts that

would render~such persons unqualified for licensure hereunder, he or she

may not run fOr office for a two year period, beginning the date of removal

from office. There shall be a Chairperson of the Middletown Rancheria

Tribal Gaming Commission, to be decided amongst the newly appointed

Tribal Gaming Commissioners, by a majority consent. All Tribal Gaming

Commissioners shall serve an office term of three years. The Tribal

Council shall determine and authorize the compensation to be paid to

members of the Middletown Rancheria Tribal Gaming Commission.

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C. Authority of the Mlddletown Rancheria Tribal Gaming Commission

The Middletown Rancheria Tribal Gaming Commission shall be

authorized arid hereby is directed to promulgate, subject to review and

approval by the Tribal Council, detailed and comprehensive regulations.

Said regulations shall describe and establish the rules for each specific

Class II arid Class Ill gaming activity that may be conducted on the

Middletown Rancheria without prior approval by the Middletown Raricheria

Tribal Gaming Commission. Pending approval of the Middletown

Rancheria Tribal Gaming Commission Regulations by the Middletown

Rancheria Tribal Council, an interim regulations that the Middletown

Rancheria may adopt shall govern gaming on the Middletown Rancheria.

The Middletown Rancheria Tribal Gaming Commission shall create and

implement a comprehensive Minimum Internal Control Standards on

behalf of the~Middletown Rancheria.

Cl. The Middletown Rancheria Tribal Gaming Commission shall have

the power and responsibIlityto

(a) enforce and administer the provisions of this Ordinance

(b) issue and renew gaming licenses as provided in this

Ordinance and in any regulation which may be promulgated

by the Middletown Raricheria Tribal Gaming Commission;

(c) revoke, suspend, or condition a gaming license or deny an

application for a license for violation of applicable law or

Ordinance regulating gaming, or conviction of any offense

involving a gaming related crime or moral turpitude;

(d) collect fees and interest as provided for in this Ordinance;

(e) assess and collect penalties provided for in this Ordinance;

(f) adjust the respective amounts of the annual license fees,

provided that such fees shall not be increased retroactively;

(g) audit or cause to be audited expenditures, receipts and

reports of licensee responsible for managing a Tribal

Gaming Facility;

(h) review on demand, such books and records and inspect the

premises and operation of licensees as deems necessary

for the enforcement of this Ordinance;

(i) supervise, operate and maintain gaming observation

systems in coordination with Tribal Police/Casino Security

Department;

(j) draw up such forms as it deems necessary;

\

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(k) institute such legal proceedings in the name of the

Middietown Rancheria in a court of competent jurisdiction as

it deems necessary for the enforcement of this Ordinance;

(I) conduct hearings provided for in this Ordinance;

(ni) deposit all fees, penalties, and interest collected under

authority of this Ordinance into an account to the credit of

the Tribe;

(n) maintain a correct and full accounting of all fees, penalties,

and interest received under authority of this Ordinance, and

provide a monthly record of that accounting; and

(o) take such other actions and issue such orders and

promulgate such regulations as the Middletown Rancheria

Tribal Gaming Commission may deem necessary to properly

and fully perform its duties and responsibilities under this

Ordinance.

D. The Middletown Rancheria Tribal Gaming Commission, acting wholly

independent from the Tribal Council, is hereby designated as

Middletowns regulatory agency with full authority to monitor compliance

with this Ordinance and its Regulations, and to investigate and act to

prevent any violation (s) thereof.

E. Subject to its appropriation of funds therefor, the Middletown Rancheria

Tribal Gaming Commission shall be authorized to employ such staff, as it

deems necessary to fulfill its responsibilities under this Ordinance.

Compensation of commission employees shall be limited to that which is

comparable to compensation paid to person performing similar duties in

other governmental gaming regulatory agencies.

F. In Accordance With Federal Regulation, it shall be noted that a division of

the Tribal Gaming Commission and the Gaming Facility must occur. The

Tribal Council upon receipt of a budget from the Tribal Gaming

Commission shall notify the General Manager of the Gaming Facility that

they must allocate said dollar amount for the Regulation Agency of the

Middletown F{àricheria. The Tribal Council at a Tribal Council Meeting

shall approve the Tribal Gaming Commissioner budget. All five Tribal

Council members must be present with at least three Tribal Council

members approving the budget. The allocated funds are utilized to open

a checking account with three check signers: (2) Tribal Gaming

Commissioners and (1) Tribal Council Member. Any additional funding

will be deposited directly into the Tribal Gaming Commissioner Account.

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This will allow the Tribal Council access to the allocated funds at all times.

The Gaming Facility will break down the allocated funds into quarterly

payments to be made on January 1; April 1; July 1; and October 1. The

allocated funds are to be used at the discretion of the Tribal Gaming

Commission, in accordance with an approved budget. The allocated

funds are to be used for all departments of the Tribal Gaming

Commission.. Note the Tribal Gaming Commission shall submit to the

Tribal Council a quarterly report of expenditures.

C. The Middletown Rancheria Tribal Gaming Commission is hereby

authorized to establish and impose upon gaming facilities, permitted,

applicants, and licensees such application, permit and license fees as

may be necessary to fully reimburse the Middletown Rancheria Gaming

Commission for its actual cost of operating the Middletown Rancheria

Tribal Gaming Commission. All such fees shall be collected by the

Middletown Rancheria Tribal Gaming Commission and hereby are

continuously appropriated solely for the purposes enumerated in this

Subsection.

H. Failure to timely pay any gaming-related fee within ten (10) business days

imposed by the Middletown 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 Ill gaming compact authorizing and

regulating gaming on the Middletown 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 Middletown Rancheria

from the Middletown Rancheria, and imposition of such other sanctions as

the Middletown Rancheria Tribal Gaming Commission may deem

appropriate.

XII Gaming Observation Systems

A. The Middletown Rancheria Tribal Gaming Commission shall install

operates and maintains adequate observation systems to assure the

security of the gaming operations.

B. The Middletown Rancheria Tribal Gaming Commission shall provide

adequate staff of observation personnel to maintain 24-hour observation

in coordination with the Tribal Police/Casino Security Department.

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C. The Middletown Rancheria Tribal Gaming Commission Observation Staff

will meet NIGC security clearances and will be required to have completed

adequate investigative training commensurate with their responsibiHties.

D. The Observation Staff are employed by and directly supervised by the

Middletown Rancheria Tribal Gaming Commission, but will work

cooperatively with Tribal Police/Casino Security Department.

XIII Violations

A. No person shall operate or conduct any gaming activity in a Gaming

Facility within the boundaries of Tribal Lands without a gaming license

issued by the Middletown Rancheria Tribal Gaming Commission as

required by this Ordinance.

B. No person shall knowingly submit false or misleading information to the

NIGC or the Tribe in response to any provision of the IGRA, Chapter Ill in

Title 25 C.F.R. or a Tribal Ordinance or resolution that the Chairman has

approved under parts 522 or 523 in Title 25 C.F.R.

(a) No management contract shall fail to account fully for all moneys

received or collected in connection with gaming activities or to file

any report required by the management contract.

(b) A Gaming Facility shall not refuse to allow an authorized

representative of the NIGC or an authorized Tribal Official to enter

or inspect a Gaming Facility in violation of 25 C.F.R. Section 571 or

Section 571 .6 or of a Tribal Ordinance or resolution approved by

the Chairman under parts 522 in Title 25 C.F.R.

C. No person under the age of eighteen (18) years shall be employed by a

Gaming Facility or shall otherwise be permitted to participate in any

gaming activities.

D. No person shall engage in cheating, operating or playing in a game in a

mariner in vio!ation of the written or commonly understood rules of the

game, with the intent to create for himself/herself or someone in privity

with him/her an advantage over and above the chance of the game, in any

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C~v,r~

gaming activity or engage in any fraudulent conduct affecting either the

Tribe or a customer of a gaming operation.

E. No person, other than an officer or the Lake County Sheriffs Department

of Law Enforcement or the Tribal Police Department, may enter or remain

in a gaming establishment licensed under this Ordinance while in the

possession of a firearm or other weapon.

F. Any person who is in privity with a person who violates this Ordinance

shall be deemed to be in violation of the Ordinance to the same extent as

the violator, and shall be treated accordingly.

G. No person, whether playing in or conducting any gaming activity

authorized under this Ordinance, shall:

(1) use bogus or counterfeit cards, or substitute or use any game

cards that have been tampered with;

(2) employ or have on ones person any cheating device to facilitate

cheating in any gaming activity; or

(3) knowingly cause, aid, abet, or conspire with another person or

cause any person to violate any provision of this Ordinance or any

rule adopted under this Ordinance.

H. A Gaming Facility shall be constructed, maintained, and operated in a

manner that does not threaten the environment or the public health and

safety.

Alcohol, whicl~i is not for sale by the licensee to customers, and/or

controlled substances are not to be brought into the Gaming Facility.

J. If Management fails to correct violations within the time permitted in a

notice of violation issued by the National Indian Gaming Commission or

within fifteen (15) calendar days after the Middletown Rancheria Tribal

Gaming Commission provides notice of a violation, such failure shall be

deemed as a further violation by the Management.

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=.l;):: ~:,-~~-r,I:~-,p1,l C?-rn~~r

XIV Notice of Violation

The Middletown Rancheria Tribal Gaming Commission may issue a notice of

violation to any person for violation of any provision of this Ordinance.

A. A notice of violation shall contain:

(1) a citation to the Ordinance provision that has been or is being

violated;

(2) a description of the circumstances surrounding the violation, set

forth in common and concise language;

(3) measures required to correct the violation;

(4) a statement that the violation must be corrected within five (5)

calendar days from the date the notice was issued;

(5) a statement of the alleged violators rights of appeal; and

(6) the amount of civil fines that the alleged violator must pay pursuant

to Section XV.

XV Civil Fines

A. In issuing a notice of violation under this Ordinance the Tribal Gaming

Commission may;

(1) impose a civil fine not to exceed Five Hundred ($500.00) Dollars for

each violation and, if such violation is a continuing one, for each

day, that the violation occurs; and/or

(2) impose a penalty of One Hundred ($100.00) Dollars per day for

failure to submit to the Middletown Rancheria Tribal Gaming

Commission any report required under this Ordinance when it is

due, and OneThousand ($1 ,000.0O) Dollars per day for failure to

file any such report after three-day notice and demand.

B. The Middletown Rancheria Tribal Gaming Commission shaH review each

notice of violation to determine whether a civil fine will be assessed, the

amount of the fine and, in the case of a continuing violation, whether such

daily violation will be deemed a separate violation for purposes of the total

civil find assessed.

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(1) Within~five (5) calendar days after service of a notice of violation,

the alleged violator shall submit written information about the

violation and any corrective measures undertaken to the

Middletown Rancheria Tribal Gaming Commission. The

Middletown Rancheria Tribal Gaming Commission shall consider

any information so submitted in determining the facts surrounding

the violation and the amount of the civil fine;

(2) The Middletown Rancheria Tribal Gaming Commission shall serve

a copy~of the proposed assessment on the alleged violator within

ten (10) calendar days after the notice of violation was issued,

when practicable; and

(3) The Mi~ddletown Rancheria Tribal Gaming Commission may review

and reassess any civil fine if necessary to consider facts that were

not reasonably available on the date of issuance of the proposed

assessment.

C. It the alleged violator fails to request a hearing as provided in this

Ordinance, the proposed civil fine assessment shall become a final order

of the Middletbwn Rancheria Tribal Gaming Commission.

(1) civil fines assessed under this Section shall be paid by the person

assessed and shall not be treated as an operating expense of the

Gaming Facility: and

(2) the Middletown Rancheria Tribal Gaming Commission shall transfer

civil fines paid under this Ordinance to the Middletown Rancheria

Tribal Council Treasurer of behalf of the Middletown Rancheria for

deposit.

XVI Enforcement

A. The Middletown Rancheria shall take any one or a combination of the

following actions with respect to any person who violates any provision of

this Ordinance:

(a) suspend or revoke any gaming license issued by the Middletown

Rancheria Tribal Gaming Commission.

(b) Bring an action in a court of competent jurisdiction for imposition of

one or more of the following sanctions;

26 -
7: ~.L...IA:3

(C) Seizure of any gaming apparatus, proceeds, or other property of a

licensee connected with the gaming activities engaged in by the

licensee;

(d) Collection of any unpaid fees, interest, penalties, and of any civil

fines unpaid after thirty (30) calendar days; or

(e) Execution on any nonexempt property of a violator located within

the exterior boundaries of the Middletown Raricheria.

B. Civil actions may be brought by the Middletown Rancheria Tribal Gaming

Commission pursuant to this Ordinance in any court of competent

jurisdiction to enforce the imposition of any and all sanctions provided for

under this Ordinance.

C. Before taking any action authorized in Section XIV and XV of this

Ordinance, the Middletown Rancheria Tribal Gaming Commission shall

use its best efforts to notify the alleged violator, in person or by letter

delivered to his/her last known address, of the charges against him/her,

and allow the alleged violator an opportunity for a prompt hearing. If the

alleged violator fails to respond, or cannot be found, the Middletown

Rancheria Tribal Gaming Commission may proceed with a hearing

notwithstanding, and take such action as it deems appropriate. Said

notice of the alleged violation shall be served at least three (3) business

days prior to the hearing.

D. Every person who applies for a gaming license and accepts such license

thereby acknowledges the civil enforcement jurisdiction and authority of

the Middletown Rancheria Tribal Gaming Commission under this

Ordinance to Order an execution on his/her further conduct of gaming

activities and the seizure of his/her gaming equipment or proceeds or

other property, upon a proper finding of the Middletowri Rancheria Tribal

Gaming Commission or the court that the person has violated a provision

of this Ordinance, despite lack of actual notice, provided that the

Middletown Ràncheria Tribal Gaming Commission has used its best

efforts to notify the person, in person or by letter delivered to his/her last

known address.

XVII Hearings and Appeals

A. This Section provides procedures for appeals to the Middletown

Rancheria Tribal Gaming Commission regarding:

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C. fl fl ID

(1) a violation alleged in a notice of violation; and

(2) civil fines assessed by the Middletown Rancheria Tribal Gaming

Commission in this Ordinance.

B. The Middletown Rancheria Tribal Gaming Commission shall hold a

hearing on the proposed revocation of a gaming license held by a primary

management~official or key employee after it has suspended such license

pursuant to 25 CFR Section 558.5. The licensee shall be notified by the

Middletown Rancheria Tribal Gaming Commission of the time and place

for hearing. After the hearing, the Middletown Rancheria Tribal Gaming

Commission shall decide to revoke or reinstate the gaming license. The

Middletown Rancheria Tribal Gaming Commission shall notify the National

Indian Gaming Commission of its decision.

C. Any licensee paying a civil fine or penalty for any violation enumerated in

this Ordinancô because of excusable neglect may petition the Middletown

Rancheria Tribal Gaming Commission for partial or full waiver of suit, fine

or penalty. The petition shall be filed within thirty (30) business days after

the payment was made.

0. Any person aggrieved by a decision made or action taken by the

Middletown Rancheria Tribal Gaming Commission without notice and

opportunity for hearing to the aggrieved person, may petition the

Middletown Räncheria Tribal Gaming Commission for a hearing and

reconsideration. The petition shall be filed within thirty (30) business days

after the petitioner knew or should have known of the decision or action.

The Middletown Ranchena Tribal Gaming Commission shall grant a

prompt hearing upon receiving such a petition, and shall reconsider its

decision or action, affirm, modify, reverse and/or vacate the Middletown

Rancheria Tribal Gaming Commissions order in light of what is presented

at a hearing.

XVIII Service

A. The Middletown Ranchena shall designate by written notification to the

National Indian Gaming Commission an agent for service of any official

determination,~ order, or notice of violation.

28
T:i_._Uc~~nhiirC :,ru1r1I~n

XIX Ejection from Gaming Facility

Notice of warning regarding the improper conduct set out in Section XIII of this

Ordinance or other Gaming Facility rules established and enforced by the

Gaming Facility shall be posted at the entrance of each Gaming Facility and/or

given to the customer upon entering the premises.

A. The following improper conduct shall result in ejection of a customer from

any Gaming Facility:

(1) cheating:

(2) possessIon of weapons In the Gaming Facility;

(3) possession of alcohol that has been brought by a customer into the

Gaming Facility;

(4) possession of a controlled substance in the Gaming Facility;

(5) disorderly conduct, including the willful or wanton disregard for the

rights of others; and

(6) any other acts which is disruptive to the Gaming Facility.

B. Failure by a customer to provide proof of age when requested by Gaming

Facility personnel shall result in ejection of the customer from the

premises but admission fees (if any) shall be refunded.

C. Ejection of a customer shall be accomplished by the Tribal Police/Casino

Security Department in cooperation with the Lake County Sheriffs

Department of Law Enforcement if necessary, upon request of the

Gaming Facility.

D. Either the Employee Manager or Management Contractor of the Gaming

Facility or an alternate designaled by either shall be present at all times to

resolve complaints by customers involving the operation of bingo and

other Class II games at the establishment.

E. If the Employee Manager or Management Contractor or their alternates

are unable to resolve any dispute, as provided in (D) the matter may,

upon request Of the customer, be referred to the Middletown Rancheria

Tribal Gaming Commission for resolution. Action by the Middletown

Rancheria Tribal Gaming Commission may be initiated by making a

written request to the Legal Department of the Middletown Rancheria.

The decision of the Middletown Rancheria Tribal Gaming Commission on

any dispute so referred to it for resolution shall be final.

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7:._L.FI:G~P) .i~1I~Ifl 7flT~O~

A. All controversies invoMng contracts relating to the Gaming entered into

under the authority of the Middletown Rancheria Tribal Gaining

Commission an Tribal lands shall be resolved, as appropriate, in

accordance with:

(1) the laws of the Middletown Rancheria;

(2) the Indian Gaming Regulatory Act;

(3) National Indian Gaming Regulations

(4) State Fegulation

XXI Savings Provision

Ii any provision of this Ordinance or the application thereof to any person or

circumstances is held Invalid, the invalidity shall not affect other provisions or

applications of the Ordinance which can be given effect

without the invalid provisions or application, and to this end, the provisions of this

Ordinance are severable.

XII Amendments

The Middletown Rancheria General Council is hereby delegated the authority to

amend this Ordinance in any manner deemed appropriate by said Tribal Gaming

Commission to protect the best interests of the Middletown Rancheria; provided,

however, that the Middletown Rancheria General Council shall have no authority

to enact any amendment to this Ordinance that is less restrictive of federal law or

would be inconsistent with the terms of an approved Tribal-State Class Ill

compact that is in effect.

XIII Repeal

Upon approval of this Ordinance by the Secretary of Interior, all other gaming

ordinances previously enacted or amended by the Middletowri Rancheria

General Council or Tribal Council are hereby repealed.

XX ADolicable Law

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CERTIFICATION

This is to certify that the foregoing Ordinance was adopted on February 12, 2000

at a Special Meeting of the Middletown Rancheria General Council, called for the

purpose of the Tribal Gaming Ordinance, at which a quorum was present, by a

vote of 1 1~ in Favor, _0_ opposed and _0_ abstaining.

Dated: 02 / 15 / 00

Sig~~/~ Tri~aI Secretary ~Triba~~ I Chairperson

I -~

1)

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7: ~c;o~ ~

CERTiFICATION

This is to certify that the foregoing Ordinance was adopted on February 12, 2000

at a Special Meeting of the Middletown Rancheria General Council, called for the

purpose of the Tribal Gaming Ordinance, at which a quorum was present, by a

vote of _1 1 in Favor, _0 opposed and _0_ abstaining.

Dated: 02 I 15 / 00

Tribal Secretary Tribal Chairperson

Signed:

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