and shall notify the licensee of a time and a place for a hearing on the proposed revocation of the
person’s license. After such revocation hearing, the Commission shall decide to revoke or to
reinstate a gaming license. The Commission shall notify the NIGC of its decision.

Section 21. Due Process

The denial, suspension or revocation of a license pursuant to Section XXII of this
Regulation shall require:

(a) Written, certified, return receipt requested or personally hand-delivered notification of the
“denial, suspension or pending revocation be given to the licensee ten (10) days in
advance of the proposed action;

(b) Such written notification shall include information concerning the licensee’s right to a
hearing, shall specify the date, time and place for the hearing, and shall also advise the
licensee that failure to appear for a scheduled hearing shall forfeit any further right to
appeal;

(c) The Commission shall make a ruling within three (3) days, and the licensee shall be
notified in writing, within three (3) days of the ruling, of the ruling and the licensee’s
right to file a petition with the Commission for a rehearing within fifteen (15) days of the
receipt of the written notification;

(d) _ Ifthe licensee files a petition for a rehearing within fifteen (15) days of receipt of the
written notification described in the preceding paragraph, the Commission shall review
any additional information submitted by the licensee with the petition and notify the
licensee in writing of its decision, which shall be a final decision.

(e) Notwithstanding subparagraph A above, the Commission may suspend or revoke a
license without advance notice if, in the opinion of the Commission, the continued
licensing of the person:

(1) falsified a license application;
(2) poses an immediate threat to the integrity of the Tribe’s gaming operations;

(3) poses a threat to public health or safety; or

(4) may violate the Commission’s licensing or other standards.

Section 22. Duration and Renewal

All regular licenses shall be effective for two (2) years from the date of issue. Renewal
applications must be received by the Commission at least thirty (30) days prior to the expiration

Gaming Ordinance of the Pinoleville Band of Pomo Indians

19


(b)

(©)
(d)

(e)

Each of its principal management employees, including any chief executive officer, chief
financial officer, chief operating officer, and general manager;

Each of its owners or partners, if an unincorporated business;

Each of its shareholders who owns more than ten percent (10%) of the shares of the
corporation, if a corporation;

Each person or entity (other than a financial institution that the Commission has
determined does not require a license under Subsection 6.4.6 of the Compact) that, alone
or in combination with others, has provided financing to the business entity in connection
with any gaming authorized under the Compact, if that person or entity provided more
than ten percent (10%) of:

qd) the start-up capital;

_ (2) the operating capital over a 12-month period; or

(3) a combination thereof.

Section 11. Reporting to NIGC

(a)

(b)

When a key employee or primary management official begins work at a gaming
operation authorized by this ordinance, the Commission shall forward to the NIGC a
completed application for employment and conduct the background investigation and
make the determination referred to in this Ordinance. The Commission shall prepare and
forward to the NIGC, within sixty (60) days after a key employee or primary
management official begins work or within sixty (60) days of the approval of this
Ordinance by the Chairman of the NIGC, an investigative report on each background
investigation and a copy of the eligibility determination made under this Ordinance. The
background investigation report shall include all of the following:

(1) Steps taken in conducting a background investigation;

(2) Results obtained;

(3) Conclusions reached; and

(4) The bases for those conclusions.

With respect to key employees and primary management officials, if a license is not
issued to an applicant, the Commission shall notify the NIGC and may forward copies of

its eligibility determination and investigative report (if any) to the NIGC for inclusion in
the Indian Gaming Individuals Records System.

Gaming Ordinance of the Pinoleville Band of Pomo Indians °


responsibility for the conduct of any gaming operation authorized by this Ordinance.

ARTICLE V: USE OF GAMING REVENUES
Section 1. Use of Net Revenues

Net revenues from class II and class III gaming shall be used only for the following
purposes:

(a) to fund tribal government operations and programs;

(b) to provide for the general welfare of the Tribe and its members;
(c) to promote tribal economic development;

(d) to donate to charitable organizations; or

(e) to help fund operations of local government agencies.

Section 2. Per Capita Payments

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.
§§ 2710(b)(3).

ARTICLE VI: AUDIT
Section 1. Annual Audit

The Commission shall cause to be conducted annually an independent audit of gaming
operations and shall submit the resulting audit reports to the NIGC. The annual audit shall be
conducted by an independent certified public accountant, in accordance with the auditing and
accounting standards for audits of casinos of the American Institute of Certified Public
Accountants.

Section 2. Gaming Contracts

All gaming related contracts that result in the purchase of supplies, services, or
concessions in excess of twenty-five thousand dollars ($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 Section 1 of this Article.

Gaming Ordinance of the Pinoleville Band of Pomo Indians


of the license. Upon receiving a renewal application, the Commission shall inform the applicant
of his or her obligation to apply to the State Gaming Agency for renewal of his or her
determination of suitability. Any licensee applying for renewal may continue to be employed or
engaged under the expired license until the Commission takes action on the renewal application.
Applicants for renewal shall provide updated material as requested by the Commission but shall
not be required to resubmit information already available to the Commission. Additional

- background investigations may be performed at the discretion of the Commission. Updated
criminal history checks are required.

Prior to renewing a license, the Commission shall forward to the State Gaming Agency
copies of the renewal application and related documents. With respect to gaming facilities, the
Commission shall provide verification to the State Gaming Agency that the it has reviewed and,
if appropriate, renewed a gaming facility’s license. °

Section 23. Fees

The Gaming Commission shall establish a fee schedule for licenses. Application fees
shall be nonrefundable, regardless of whether or not a license is issued. Such fees shall be made
payable to the Pinoleville Band of Pomo Indians.

ARTICLE X: ENFORCEMENT

The Tribal Council shall promulgate regulations authorizing the Commission or other
agent of the Tribe to investigate reported violations of this Ordinance, other tribal gaming
ordinances or regulations, IGRA or the Compact and to impose fines or other sanctions within
the Tribe’s jurisdiction against persons who interfere with the Tribe’s obligations under this
Ordinance, other tribal gaming ordinances or regulations, IGRA or the Compact.

ARTICLE XI: RESOLUTION OF PATRON DISPUTES

Patrons of the Tribe’s class II and class II gaming facilities who have complaints against
the gaming establishment, including disputes with any management contractor or its employees,
shall have as their sole remedy the right to file a petition for relief with the Commission.
Complaints shall be submitted in writing no later than thirty (30) days after the occurrence of the
incident on which the complaint is based. At the discretion of the Commission, the petitioner
may be allowed to present evidence. The Commission will render a decision in a timely fashion
and all such decisions will be final when issued. Each claim by a patron shall be limited to a
maximum recovery of ten thousand dollars ($10,000.00), and a cumulative limit of ten thousand
dollars ($10,000.00) per patron in any 12-month period.

ARTICLE XII: SERVICE OF PROCESS

Gaming Ordinance of the Pinoleville Band of Pomo Indians

20


the dispute resolution provisions of Section 9 of the Compact.

(f) The requirements of subsections (c) and (e) of this Section shall not apply to any facility
which includés only Class II gaming activities and not Class II gaming activities, unless
otherwise required by applicable federal law.

Section 17. Gaming Resource Suppliers

Any gaming resource supplier who, directly or indirectly, provides, has provided, or is
deemed likely to provide at least twenty-five thousand dollars ($25,000.00) in gaming resources
in any 12-month period, or who has received at least twenty-five thousand dollars ($25,000.00)
in any consecutive 12-month period within the 24-month period immediately preceding
application, shall be licensed by the Commission prior to the sale, lease, or distribution, or
further sale, lease, or distribution, of any such gaming resources to or in connection with the
Tribe’s gaming facilities. The Tribe shall not enter into, or continue to make payments pursuant
to, any contract or agreement for the provision of gaming resources with any person whose
application to the State Gaming Agency fora determination of suitability has been denied or has
expired without renewal. Any agreement between the Tribe and a gaming resource supplier shall
be deemed to include a provision for its termination without further liability on the part of the
Tribe, except for the bona fide repayment of all outstanding sums (exclusive of interest) owed as
of, or payment for services or materials received up to, the date of termination, upon revocation
or non-renewal of the supplier’s license by the Commission based on a determination of
unsuitability by the State Gaming Agency.

Section 18. Financial Sources

Any person extending financing, directly or indirectly, to the Tribe's gaming facilities or
gaming operations shall be licensed by the Commission prior to extending that financing,
provided that any person who is extending financing at the time of the execution of the Compact
shall be licensed by the Commission within ninety (90) days of such execution. Any agreement
between the Tribe and a financial source shall be deemed to include a provision for its
termination without further liability on the part of the Tribe, except for the bona fide repayment
of all outstanding sums (exclusive of interest) owed as of the date of termination, upon
revocation or non-renewal of the financial source’s license by the Commission based on a
determination of unsuitability by the State Gaming Agency. The Tribe shall not enter into, or
continue to make payments pursuant to, any contract or agreement for the provision of financing
with any person whose application to the State Gaming Agency for a determination of suitability
has been denied or has expired without renewal. A gaming resource supplier who provides
financing exclusively in connection with the sale or lease of gaming resources obtained from that
supplier may be licensed solely in accordance with licensing procedures applicable, if at all, to
gaming resource suppliers. The Commission may, at its discretion, exclude from the licensing
requirements of this section, financing provided by a federally regulated or state-regulated bank,
savings and loan, or other federally- or state-regulated lending institution; or any agency of the

Gaming Ordinance of the Pinoleville Band of Pomo Indians .

17


Section 6. Eligibility Determinations

The Commission shall review an applicant's prior activities, criminal record, if any, and
reputation, habits and associations to make a finding concerning an applicant’s eligibility for a
license. A license may not be issued unless the Commission is satisfied the applicant is a person
of good character, honesty and integrity. The Commission shall not license a person if the
Commission determines that the licensing of the person: poses a threat to the public interest or
to the effective regulation of gaming; creates or enhances dangers of unsuitable, unfair, or illegal
practices and methods and activities in the conduct of gaming or the carrying on of business and
financial arrangements incidental thereto; or will undermine public trust that tribal gaming is free
from criminal and dishonest elements and would be conducted honestly.

In making findings concerning the eligibility of license applicants, the Commission shall
take into consideration any of the following circumstances:

(a) If the applicant knowingly and intentionally provided false statements or information or
omitted relevant information on the application, or otherwise misrepresented or failed to
disclose a material fact to the Commission;

(b) If the prior activities, criminal record, reputation, habits and associations of the person
indicate that the person may be a threat to the public interest or to the effective regulation
and control of gaming;

(c) If association with or employment of this applicant creates or enhances the dangers of
unsuitable, unfair, or illegal practices, methods, and activities in the conduct of gaming or
the carrying on of the business and financial arrangements incidental thereto;

(d) Ifthe applicant has violated, failed, or refused to comply with the provisions,
requirements, conditions, limitations, or duties imposed by any provision of the Compact
or Gaming Ordinance, or possesses knowledge that such violation has occurred upon any
premises occupied or operated by any such person or over which he or she has/had
substantial control;

(e) If the applicant knowingly caused, aided, abetted, or conspired with another to cause any
person or entity to violate any of the laws of any jurisdiction, the provisions of the
Compact or the Gaming Ordinance;

(f) If the applicant has ever obtained a license by fraud, misrepresentation, concealment, or
through inadvertence or mistake;

(g) If the applicant has ever been convicted of, or forfeited bond upon a charge of, or plead
guilty to forgery, larceny, extortion, conspiracy to defraud, willful failure to make
required payment or reports to any Tribal, State, or U.S. Government agency at any level,
or filed false reports therewith, or of any similar offense(s), or of bribing or otherwise

Gaming Ordinance of the Pinoleville Band of Pomo Indians


The Commission or its agents shall conduct an investigation of license applicants _
sufficient to make a determination under Section 3 of this Article. The Commission and its
agents are authorized to receive state summary criminal history information, as defined in
Subsection 11105(a) of the California Penal Code, or a copy thereof, maintained under a
person’s name by the California Department of Justice and shall not knowingly furnish such
records or information to a person who is not authorized to receive the record or information. In
conducting a background investigation, the Commission or its agent shall keep confidential the
identity of each person interviewed in the course of the investigation.

Section 3. Eligibility Determination

The Commission shall review an applicant's prior activities, criminal record, if any, and
reputation, habits and associations and shall conduct interviews with former employers,
associates and/or other persons familiar with the applicant sufficient to permit it to make a
finding concerning an applicant’s eligibility for a license. A license may not be issued unless
the Commission is satisfied the applicant is a person of good character, honesty and integrity.
The Commission shall not license a person if the Commission determines that the licensing of
the person: poses a threat to the public interest or to the effective regulation of gaming; creates
or enhances dangers of unsuitable, unfair, or illegal practices and methods and activities in the
conduct of gaming or the carrying on of business and financial arrangements incidental thereto;
or will undermine public trust that tribal gaming is free from criminal and dishonest elements
and would be conducted honestly.

Section 4. Periodic Review

The Commission shall review and, if appropriate, renew each license it issues at least
every two (2) years after issuance.

Section 5. Reporting

To the extent required by IGRA and the Compact, the Commission shall promptly
forward applications, background investigation reports and related information to the NIGC and
the State Gaming Agency and notify the NIGC and the State Gaming Agency of its decisions to
deny, issue, suspend or revoke licenses.

Section 6. Additional Requirements

The Tribal Council shall adopt, and the Commission shall implement, regulations
providing for such additional licensing and background investigation requirements and
procedures as it deems appropriate, provided that such additional requirements are at least as
stringent as those contained in IGRA (i.e., 25 U.S.C. §2710(b)(2)(F) and 25 C.F.R. Parts 556 and
558) and the Compact.

Gaming Ordinance of the Pinoleville Band of Pomo Indians


ARTICLE VII: PROTECTION OF THE ENVIRONMENT,
PUBLIC HEALTH AND SAFETY

Class II and class II gaming facilities shall be constructed, maintained and operated in a

manner that adequately protects the environment and the public health and safety. The Tribal
Council shall adopt standards for protecting the environment and the public health and safety that
are consistent with its obligations under the Compact. At a minimum, the standards for
protecting the public health and safety shall include the following prohibitions:

(@)

(b)

If the Tribe permits the consumption of alcoholic beverages in a gaming facility, no
person under the age of twenty-one (21) years shall be permitted to be present in any area
in which class II or class IN gaming activities are being conducted and in which alcoholic
beverages may be consumed, to the extent required by the state Department of Alcoholic
Beverage Control. No person under the age of eighteen (18) years shall be permitted to
be present in any room in which class II or class III gaming activities are being conducted
unless the person is en-route to a non-gaming area of the gaming facility.

Possession of firearms shall be prohibited at all times in class II and class III gaming
facilities operated under this Ordinance, except for possession of firearms by state, local,
or tribal security or law enforcement personnel authorized by federal, state or tribal law
to possess firearms at the facilities.

ARTICLE VII: LICENSES

Section 1. License Requirements

(b)

©)

(@)

The following persons and entities are required to be licensed by the Commission:

All employees, including key employees and primary management officials, employed at
any class II or class III gaming enterprise operated under this Ordinance;

Gaming resource suppliers required to be licensed under Subsection 6.4.5 of the
Compact;

Persons extending financing, directly or indirectly, to the Tribe’s gaming facility or
gaming operations; and

Each place, facility, or location where class II or class II gaming is conducted under this
Ordinance.

Section 2. Background Investigations

Gaming Ordinance of the Pinoleville Band of Pomo Indians


federal, state, or local government; or any investor who, alone or in conjunction with others,
holds less than 10% of any outstanding indebtedness evidenced by bonds issued by the Tribe.

Section 19. Denial, Revocation and Suspension of License

The Commission shall suspend, revoke or deny a license upon the occurrence of any of
the following:

(a) Notification by the NIGC, or by any other reliable source, that the licensee is not eligible
for a license under this Ordinance;

(b) Notification by the State Gaming Agency that it intends to deny an application for a
determination of suitability or a renewal of determination of suitability;

(c) The Commission has probable cause to believe that the licensee has, by act or omission,
violated provisions of the Compact, the Gaming Ordinance, the Tribe’s Gaming
Regulations, any condition of a Conditional Gaming License, or any other Federal, State
or Tribal laws or regulations;

(d) | The Commission has reason to believe that the continued licensing of a person constitutes
an immediate threat to the public health, safety or welfare;

(e) The Commission has reason to believe that the licensee is involved in any theft,
misappropriation, misuse or abuse of Tribal assets;

(f) The licensee engages in any conduct that brings discredit or embarrassment to the Tribe’s
gaming operations or the Tribe, or interferes with the normal operation of the Tribe’s
gaming facilities;

(g) The licensee fails to disclose any required information on any State or Tribal gaming
license application;

(h) The licensee fails to respond to a request from the Commission within fourteen (14) days
of the date of the initial request; or .

(i) The licensee’s employment with the Tribe’s gaming operations is terminated, voluntarily
or involuntarily.

Section 20. Notification of Receipt of Information by NIGC

If the Commission receives notification from the NIGC that the NIGC has received
reliable information indicating that a key employee or a primary management official is not
eligible for employment under applicable federal regulations, the Commission shall suspend such

license and shall notify in writing the licensee of the suspension and the proposed revocation,
Gaming Ordinance of the Pinoleville Band of Pomo Indians

18


(a) Criminal history check, including a check of records maintained by the Federal Bureau of
Investigations and the California Department of Justice;

(b) Civil history check;

(c) Financial and credit check;

(d) Reference check;

(e) Previous business and employment check;
(f) Relative check;

(g) Business and personal associates check;
(h) Fingerprint check; and

@) Educational verification.

The above information submitted by the applicant may be verified by written or oral
communication. The disposition of all potential problem areas noted and disqualifying
information obtained shall be documented by the Commission.

Section 3. Cooperation

The Commission shall cooperate with the State Gaming Agency in sharing as much
background information as possible, in order to maximize investigative efficiency and
thoroughness and to minimize investigative costs.

Section 4. Fingerprinting

The Commission shall be deemed to be the Tribe’s law enforcement agency for the
purpose of taking fingerprints and conducting criminal history checks under this Regulation.
The Commission may elect to process fingerprint cards directly on behalf of the Tribe or to
process fingerprint cards through the State Gaming Agency or the NIGC and may execute such
documents as may be necessary to enter into such an arrangement. Fingerprint cards shall be
submitted to the Federal Bureau of Investigations and the California Department of Justice in
order to obtain criminal history record information.

Section 5. Confidentiality

The identity of third parties interviewed during the course of background investigations
shall be kept confidential.

Gaming Ordinance of the Pinoleville Band of Pomo Indians


NAL 1.
«\° No,

N.
ws

‘!
70 N

5
Ve comm”
AUG 24 2004

James Cohen, Esq.

California Indian Legal Services
510 16" Street, Fourth Floor
Oakland, CA 94612

Dear Mr. Cohen:

This letter responds to your request to the National Indian Gaming Commission (NIGC)
for the review and approval of the Pinoleville Band of Pomo Indians Gaming Ordinance
No. 05-18-04-01 adopted May 18, 2004. This letter constitutes such approval under the
Indian Gaming Regulatory Act (IGRA). It is important to note that the gaming ordinance
is approved for gaming only on Indian lands, as defined in the IGRA, over which the
Tribe has jurisdieti

mitting the Gaming Ordinance for review and approval. We look
i An implementing the IGRA.

Chairman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel. 202 632.7003 Fax. 202 632.7066 www.Nicc.cov

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ, St Paul, MN, Tulsa. OK


(b)

Existing licensees shall be notified in writing that they shall either:
(1) Complete a new application form that contains a Privacy Act notice; or

(2) Sign a statement that contains the Privacy Act notice and consent to the routine
uses described in that notice.

Section 8. Notice Regarding False Statements

(a)

(b)

The following notice, or such substantially similar wording contained in standardized
application forms as may be adopted by California Tribes and the State of California
pursuant to the Compact, shall be placed on the application form before that form is filled
out by an applicant.

A false statement on any part of your application may be grounds for
denial or revocation of a license. Also, you may be punished by fine or
imprisonment.

(U.S. Code, title 18, section 1001.)

The Commission shall notify in writing existing licensees that they shall either:

(1) Complete a new application form that contains a notice regarding false
statements; or

(2) Sign a statement that contains the notice regarding false statements.

Section 9. Required Information - General

(a)

(b)

(c)

The Commission shall request from each applicant all of the following information:

Full name, other names used (oral or written), social security number(s), birth date, place
of birth, citizenship, gender, all languages (spoken or written);

Currently and for the previous five (5) years: business and employment positions held,
ownership interests in those businesses, business and residence addresses, and drivers
license numbers; .

The names and current addresses of at least three (3) personal references, including one
(1) personal reference who was acquainted with the applicant during each period of
residence listed under paragraph (1)(b) of this Section;

Gaming Ordinance of the Pinoleville Band of Pomo Indians

11


unlawfully influencing a public official or employee of a Tribe, a State, or the U.S.
Govemment, or of any felony or misdemeanor involving any gaming activity, physical
harm to individuals or moral turpitude;

(h) If the applicant is subject to current prosecution or pending charges, or a conviction under
appeal for any of the offenses listed above. Upon request of the applicant, the
Commission may defer decision on the application pending the results of such .
prosecution or appeal;

(i If the applicant has demonstrated a willful disregard for compliance with a gaming
regulatory authority in any jurisdiction or has ever had a gaming license issued by any
State, Tribe or foreign gaming regulatory agency suspended, revoked or denied; or

Gg) If the applicant has failed to provide any information requested by the Commission
within fourteen (14) days of the request for the information.

Section 7. Privacy Notice

(a) The following notice, or substantially similar wording contained in such standardized
application forms as may be adopted by California Tribes and the State of California
pursuant to the Compact, shall be placed on the license application form 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 or do business
with a gaming operation. The information will be used by the Gaming
Commission, the State Gaming Agency, and 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
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, the State Gaming Agency, or the National Indian Gaming
Commission in connection with the hiring or firing of an employee, the
issuance or revocation of a gaming license, or investigations of activities
while associated with a tribe or a gaming operation. Failure to consent to
the disclosures indicated in this notice will result in a tribe's being unable
to hire you or do business with you. The disclosure of your Social
Security Number (SSN) is voluntary. However, failure to supply a SSN
may result in errors in processing your application.

Gaming Ordinance of the Pinoleville Band of Pomo Indians

10


ARTICLE Ix: LICENSING AND BACKGROUND INVESTIGATION PROCEDURES

Section 1. Powers and Responsibilities

The Commission has the following powers and responsibilities:

(a) To conduct or cause to be conducted background investigations;

(b) To receive, directly or through its agents, state summary criminal history information, as
defined in Subsection 11105(a) of the California Penal Code, as maintained under a
license applicant’s name by the California Department of Justice, and to take such
measures as are reasonably necessary to prevent the release of such records or
information to persons who are not authorized by law to receive the record or
information;

(c) To prepare or cause to be prepared an investigative report in compliance with the Gaming
Ordinance;

(d) To review and approve the investigative work done;
(e) To obtain and process fingerprints, directly or through its agents;

(f) To forward license applications and the results of the background investigations to the
National Indian Gaming Commission (“NIGC”) and the State Gaming Agency, to the
extent required by IGRA and the Compact;

(g) | To make eligibility determinations in accordance with Section LX of this Regulation;

(h) To issue, deny, suspend, revoke and renew licenses in accordance with the provisions of
this Regulation; and

(i) To maintain records on persons who have been issued or denied a license, as well as
persons otherwise prohibited from engaging in gaming activities within the Tribe’s
jurisdiction, for a period of thrée (3) years from the date on which the license expired or
was revoked or denied.

Section 2. Scope of Background Investigations

The Commission shall conduct or cause to be conducted all necessary background
investigations reasonably required to determine that an applicant is eligible for a license in
accordance with the standard set forth in Section IX of this Regulation. The minimum
procedures for conducting background investigations on applicants for licenses are as follows:

Gaming Ordinance of the Pinoleville Band of Pomo Indians


The Tribe designates the Tribe’s Chairperson as its agent for service of any official
determination, order, or notice of violation.

ARTICLE XII: REPEAL
All prior gaming ordinances are hereby repealed.
ARTICLE XIV: SEVERABILITY

If any provision of this Ordinance shall in the future be declared invalid by a court of
competent jurisdiction, the invalid provision or provisions shall be severed and the remaining
provisions shall continue in full force and effect.

ARTICLE XV: AMENDMENT OF ORDINANCE
This Ordinance may be amended or repealed upon approval by the Tribal Council.
ARTICLE XVI: EFFECTIVE DATE

This Ordinance shall be submitted to the Chairman of the NIGC for approval pursuant to

IGRA and 25 CFR part 522, and shall become effective immediately upon its approval by the

Chairman of the NIGC or ninety (90) days after the date of its submission to the Chairman of the
NIGC if he or she fails to approve or disapprove this Ordinance within those ninety (90) days.

CERTIFICATION

WE, the undersigned, as Chairperson and Secretary of the Pinoleville Band of Pomo
Indians, do hereby certify that this Ordinance was certified and adopted at a Tribal Council
meeting held on May 18, 2004, bya vote of __3 in favor, 0 opposedand__1__
abstaining, and that this Ordinance has not been amended or rescinded in any way.

Kamo 4 wWylame sli lo¢4

Tribal Chairperson, Leona L. Williams Date
Sy lL biiaa 5 (is log
Tribal Secretary, Teresa Williams Date

Gaming Ordinance of the Pinoleville Band of Pomo Indians

21


(h)

(i)

0)

&)

@

(m)

(n)

(3)  Ifnot otherwise included, the four (4) most highly compensated persons in the
gaming operation.

NET REVENUES: “Net revenues” means gross revenues of gaming activity less
amounts paid out as, or paid for, prizes and total operating expenses, excluding
management fees.

NIGC: “NIGC” means the National Indian Gaming Commission established pursuant to
25 U.S.C. § 2704.

PRIMARY MANAGEMENT OFFICIAL: “Primary Management Official” means
(1) The person having management responsibility for a management contract;

(2) Any person who has authority to: hire and fire employees; or to set up working
policy for the gaming operation; or

(3) The chief financial officer or other person who has financial management
responsibility.

STATE GAMING AGENCY: “State Gaming Agency” means the entity defined in
Subsection 2.18 of the Compact.

TRIBAL COUNCIL: “Tribal Council” means the Tribal Council of the Tribe, also
referred to as the Tribe’s Governing Council as defined in the Constitution of the
Pinoleville Indian Community.

TRIBAL MEMBER: “Tribal member” means any individual who is duly enrolled in the
Tribe in accordance with the Tribe’s Constitution and any enrollment ordinance that may
be enacted by the Tribe, as amended from time to time.

TRIBE: “Tribe” means the Pinoleville Band of Pomo Indians.

ARTICLE III: GAMING AUTHORIZED

Class Il and class II gaming, as defined in 25 U.S.C: §§ 2703(7)(A) and 2703(8) and by

the regulations promulgated by the NIGC at 25 C.F.R. §§ 502.3 and 502.4, is hereby authorized
on Indian lands within the Tribe’s jurisdiction to the full extent permitted under IGRA. The
class IJ gaming activities authorized by this Ordinance are those gaming activities authorized
under the Compact.

ARTICLE IV: OWNERSHIP OF GAMING

The Tribe, acting through the Tribal Council, shall have the sole propriety interest in and

Gaming Ordinance of the Pinoleville Band of Pomo Indians


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With respect to key employees and primary management officials, the Commission shall
retain applications for employment and reports (if any) of background investigations for
inspection by the Chairman of the NIGC or his or her designee for no less than three (3)

years from the date of termination of employment. . ~

Section 12. Reporting to State Gaming Agency

(a)

(b)

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(e)

Except for an applicant for licensing as a non-key gaming employee, as defined by
agreement between the Commission and the State Gaming Agency, the Commission shall
require the applicant to also file an application with the State Gaming Agency, prior to
issuance of a license, for a determination of suitability for licensure under the California
Gambling Control Act.

Upon receipt of a completed license application and a determination by the Commission
that it intends to issue a license, the Commission shall transmit to the State Gaming
Agency a notice of intent to license the applicant, together with all of the following:

(1) Acopy of the license application materials and information received by the
Commission from the applicant;

(2) An original set of fingerprint cards;
(3) A current photograph; and

(4) Except to the extent waived by the State Gaming Agency, such releases of
information, waivers, and other completed and executed forms as have been
obtained by the Commission.

Upon receiving notice of the State Gaming Agency’s denial of an application for a
determination of suitability, the Commission shall promptly notify the Tribal Council
and, if the Commission objects to the denial, request an opportunity for the Tribe to be
heard and diligently exercise its right to a hearing.

With respect to non-key gaming employees, as defined by agreement between the
Commission and the State Gaming Agency, the Commission shall provide the State
Gaming Agency with the name, badge identification number, and job descriptions of all
such employees on a monthly basis, within seven (7) days of the end of each month.

Notwithstanding any requirements to the contrary in this Ordinance, if the Tribe operates
a gaming facility which includes only Class II gaming and not Class III gaming, its
reporting and other obligations pursuant to this Ordinance shall be limited to those
required under applicable federal law. In such case, the Commission’s ability to issue a
license shall not be dependent on receiving a determination of suitability from the State
Gaming Agency unless otherwise required by applicable federal law.

Gaming Ordinance of the Pinoleville Band of Pomo Indians

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determination of suitability.

(c) | The Commission shall be responsible for issuing licenses and for delivering them, by
* certified mail, return receipt requested, or in person, to applicants once they are issued.

Section 14. Limitation

The gaming operation shall not employ or continue to do business with a person who
does not have a license that is not a temporary license after ninety (90) days.

Section 15. Identification Cards

All persons who are required to be licensed pursuant to the Gaming Ordinance shall be
required to wear, in plain view at all times while in a gaming facility licensed by the
Commission, identification badges issued by the Commission. The identification badges must
display the person’s photograph, identification number, name, and expiration date of his or her
license.

Section 16. Gaming Facility

(a) The Commission shall issue a separate license to each place, facility or location on Indian
lands where class II or class II gaming is conducted under this Ordinance. The license
shall be posted in a conspicuous and public place in the gaming facility at all times.

(b) | The Commission shall determine and, if appropriate, certify that each gaming facility, or
the modification or expansion of a gaming facility, meets the Tribe’s building and safety
code and the Americans with Disabilities Act, 42 U.S.C. § 12101 et seg. based an
inspection by qualified building and safety experts.

(c) The Commission shall give reasonable notice of each inspection to the State’s designated
agent or agents, who may accompany any such inspection. The Commission and the
State’s designated agent or agents shall exchange any inspection reports within ten (10)
days after completion of the report and simultaneously forward copies of such reports to
Tribe’s Chairperson.

(d) The Tribe is responsible for ensuring that any gaming facility condition noted in an
inspection that does not meet the standards set out in paragraph (b) of this Section is
corrected.

(e) If the State’s designated agent or agents object to a certification by the Tribe’s building
and safety code experts that a gaming facility meets the standards set out in paragraph B
of this Section, the Tribe shall make good faith efforts to address the State’s concerns, but
if the State does not withdraw its objection the matter will be resolved in accordance with

Gaming Ordinance of the Pinoleville Band of Pomo Indians

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(b)

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(g)

(ii) card games that--

(60) are explicitly authorized by the laws of California, or

(IJ) are not explicitly prohibited by the laws of California and are played at
any location in California, but only if such card games are played in
conformity with those laws and regulations (if any) of California regarding
hours or periods of operation of such card games or limitations on wagers
or pot sizes in such card games.

The term "class II gaming" does not include any banking card games,
including baccarat, chemin de fer, or blackjack (21), or electronic or
electromechanical facsimiles of any game of chance or slot machines of
any kind.

CLASS II GAMING: “class II gaming” means all forms of gaming that are not class I
gaming (as defined in IGRA) or class II gaming.

COMMISSION: “Commission” means the Pinoleville Gaming Commission established
pursuant to an ordinance duly adopted by the Tribal Council.

COMPACT: “Compact” means the Tribal-State Compact to be negotiated between the
Tribe and the State of California authorizing class III gaming activities, as required by
IGRA, 25 U.S.C. § 2710(d)(1)(C) and amended from time to time.

IGRA: “IGRA” means the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 et seq. and
its regulations, 25 C.F.R. § 500 et seq.

INDIAN LANDS: “Indian lands” means all lands within the limits of any Indian
reservation and any lands title to which is either held in trust by the United States for the
benefit of any Indian tribe or individual or held by any Indian tribe or individual subject
to restriction by the United States against alienation and over which an Indian tribe
exercises governmental power.

KEY EMPLOYEE: “key employee” means

(1) A person who performs one or more of the following functions: bingo caller;
counting room supervisor; chief of security; custodian of gaming supplies or cash;
floor manager; pit boss; dealer; croupier; approver of credit; or custodian of
gambling devices including persons with access to cash and accounting records
within such devices;

(2) If not otherwise included, any other person whose total cash compensation is in
excess of fifty-thousand dollars ($50,000.00) per year; or

Gaming Ordinance of the Pinoleville Band of Pomo Indians


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PINOLEVILLE INDIAN RESERVATION |

367 N. State St. Suite 204 Ukiah, CA 95482 Ph: 707- 463-1454 FAX:707-463-6601

ORDINANCE NO. 05-18-04-01

PINOLEVILLE BAND OF POMO INDIANS
GAMING ORDINANCE

ARTICLE I: PURPOSE

The Pinoleville Band of Pomo Indians (“Tribe”), acting through its Tribal Council,
pursuant to the Tribe’s inherent authority and the Constitution of the Pinoleville Indian
Community, adopted1985, as amended, hereby enacts this Ordinance in order to set the terms for
class II and class III gaming operations on the Pinoleville Indian Reservation.

ARTICLE I: DEFINITIONS
Section 1. General

Unless a different meaning is clearly indicated in this Ordinance, the terms used herein
shall have the same meaning as defined in the Indian Gaming Regulatory Act (25 U.S.C. § 2701
et seq.) and its regulations (25 C.F.R. § 500 et seq.).

Section 2. Special Terms

In this Ordinance:
(a) CLASS I GAMING: "class II gaming" means—

@ the game of chance commonly known as bingo (whether or not electronic,
computer, or other technologie aids are used in connection therewith)—

(69) which is played for prizes, including monetary prizes, with cards’ bearing
numbers or other designations,

(I) in which the holder of the card covers such numbers or designations when
objects, similarly numbered or designated, are drawn or electronically
determined, and

(1) in which the game is won by the first person covering a previously
designated arrangement of numbers or designations on such cards,
including (if played in the same location) pull-tabs, lotto, punch boards, tip
jars, instant bingo, and other games simjigr e bingo, an

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Gaming Ordinance of the Pinoleville Band of Pomo Indians

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Current business and residence telephone numbers;

A description of any existing and previous business telationships with Indian tribes,
including ownership interests in those businesses;

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

The name and address of 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;

For each felony for which there is an ongoing prosecution or a conviction, the charge, the
name and address of the court involved, and the date and disposition if any;

For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding minor
traffic violations), within ten (10) years of the date of the application, the name and
address of the court involved and the date and disposition;

For each criminal charge (excluding minor traffic charges), whether or not there is a
conviction, if such criminal charge is within ten (10) years of the date of the application
and is not otherwise listed pursuant to paragraph (h) or (i) of this Section, the criminal
charge, the name and address of the court involved and the date and disposition;

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;

A current photograph;
Any other information the Commission deems relevant; and

Fingerprints consistent with procedures adopted by the Commission according to 25
C.F.R. §§ 522.2(h).

Section 10. Required Information - Business Entities’

In addition to the information required under this Ordinance, the Commission shall

request from an applicant that is a business entity all of the following information, provided that
two (2) or more business entities having a commonality of the characteristics identified in the
following subparagraphs (a) — (d), inclusive, may be deemed to be a single business entity:

(a)

Each of its officers and directors;

Gaming Ordinance of the Pinoleville Band of Pomo Indians

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Section 13. Granting a Gaming License

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(b)

Key Employees and Primary Management Officials. If, within a 30-day period after the
NIGC receives a report, the NIGC notifies the 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 Commission has provided an application and
investigative report to the NIGC, the Commission may issue a license to such applicant.
The Commission shall respond to a request for additional information from the Chairman
of the NIGC 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 until the Chairman of
the NIGC receives the additional information. If, within the 30-day period described
above, the NIGC provides the Commission with a statement itemizing objections to the
issuance of a license to a key employee or to a primary management official for whom
the Commission has provided an application and investigative report to the NIGC, the
Commission shall reconsider the application, taking into account the objections itemized
by the NIGC. The Commission shall make the final decision whether to issue a license to
such applicant.

All Employees, Including Primary Management Officials. If an applicant has completed
a license application to the satisfaction of the Commission, and the Commission has
conducted a preliminary background investigation, the Commission may issue a
temporary license and impose such conditions thereon as it deems appropriate pending
completion of the licensing process, provided that the Commission has no information
suggesting the applicant would either be automatically disqualified from obtaining a
license or that would cause a reasonable person to investigate further before issuing a
license. The Commission may issue a regular license to a person who meets the
eligibility standards set out in this Ordinance after receiving a determination of the
applicant’s suitability from the State Gaming Agency. In the event the State Gaming
Agency denies an applicant a determination of suitability or refuses to renew a
determination of suitability, the Commission shall revoke any temporary license issued to
the applicant and deny the applicant a license, except that the Commission shall have
discretion to renew a license if the person is an enrolled member of the Tribe or has been
continuously employed by the Tribe for at least three (3) years prior to the effective date
of the Compact and also meets the following criteria:

qd) The person holds a valid and current license issued by the Commission;
(2) The person is not an employee or agent of any other gaming operation; and
(3) The State Gaming Agency’s denial of the person’s application for a determination

of suitability is based solely on activities, conduct or associations that antedate the
filing of the person’s initial application to the State Gaming Agency for a

Gaming Ordinance of the Pinoleville Band of Pomo Indians .

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