Section 3-510 REPORTING TO STATE GAMING AGENCY.

A. With respect to gaming employees, upon receipt of a completed license application
and a determination to issue a temporary or permanent license, the Gaming Commission
shall transmit within twenty-one (21) days to the State Gaming Agency for a determination
of suitability for licensure under the California Gambling Control Act a notice of intent to
license the applicant, together with all of the following:

1. A copy of all tribal license application materials and information received by
the Gaming Commission from the applicant which is not otherwise prohibited or
restricted from disclosure under applicable federal law or regulation;

2. A complete set of fingerprint impressions, rolled by a certified fingerprint
roller, which may be on a fingerprint card or transmitted electronically;

3. Acurrent 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 Gaming Commission.

B. Upon request, the Gaming Commission shall provide the State Gaming Agency with
the name, badge identification number (if any), and job title of all gaming employees.

C. Within twenty-one (21) days of the issuance of a license to a gaming resource
supplier, the Gaming Commission shall transmit to the State Gaming Agency a copy of the
license and a copy of all tribal license application materials and information received by it
from the applicant which is not otherwise prohibited or restricted from disclosure under
applicable federal law or regulation.

D. Within twenty-one (21) days of the issuance of a license to a financial source, the
Gaming Commission shall transmit to the State Gaming Agency a copy of the license. Upon
issuance of a license, the Gaming Commission shall direct the financial source licensee to
transmit to the State Gaming Agency within twenty-one (21) days a copy of all license
application materials and information submitted to the Gaming Commission.

E. Prior to renewing a license, the Gaming Commission shall forward to the State Gaming
Agency copies of all information and documents received in connection with the application
for renewal of the Tribal gaming license, which is not otherwise prohibited or restricted from
disclosure under applicable federal law or regulation, for purposes of the State Gaming
Agency’s consideration of renewal of its determination of suitability.


C. Any financial source that is not otherwise excluded from licensing at the discretion of
the Gaming Commission pursuant to a Tribal-State compact.

it -502 LICENSE APPLICATION FORMS.

A. The following notice shall be placed on the license application form for a key
employee or a primary management official before that form is filled out by an applicant:

In compliance with the Privacy Act of 1974, the following information is
provided: Solicitation of the information on this form is authorized by 25 U.S.C.
§§ 2701 et seq. The purpose of the requested information is to determine the
eligibility of individuals to be granted a gaming license. The information will
be used by the Tribal gaming regulatory authorities and 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 by
the Tribe or the NIGC to appropriate federal, tribal, state, local, or foreign law
enforcement and regulatory agencies when relevant to civil, criminal or
regulatory investigations or prosecutions or when pursuant to a requirement
by a tribe or the NIGC in connection with the issuance, denial, 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 being unable to license you for 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.

B. The following additional notice shall be placed on the application form for a key
employee or primary management official before it is filled out by an applicant.

A false statement on any part of your license application may be grounds for

denying a license or the suspension or revocation of a license. Also, you may
be punished by fine or imprisonment (U.S. Code, title 18, section 1001).

Section 3-503. LICENSE FEES.

The Gaming Commission shall establish a fee schedule for licenses to cover its expenses in
investigating and licensing key employees and primary management officials of the gaming
operation. Application fees shall be nonrefundable, regardless of whether or not a license is
issued. Such fees shall be made payable to the Tribe.

Section 3-504 FINGERPRINTS.

The Tribe shall perform a background investigation for each primary management officials
and key employee of the gaming operation. The Tribe shall request fingerprints from each
primary management official and key employee.

13


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

9. The licensee’s employment with the Tribe’s gaming operation is terminated,
voluntarily or involuntarily.

Section 3-515 RECORDS RETENTION.

The Gaming Commission shall retain, for no less than three (3) years from the date a primary
management official or key employee is terminated from employment with the Tribe, the
following documentation:

A. Applications for licensing;

B. Investigative reports; and

C Eligibility determinations,

Section 3-516 LICENSES FOR VENDORS.

A. Vendors of gaming services or supplies, with a value of $25,000 or more annually,

including vendors identified as a gaming resource supplier or a financial source requiring
licensure under a Tribal-State compact, must have a vendor license from the Gaming
Commission in order to transact business with the Tribe’s gaming operation. Contracts for
professional legal and accounting services are excluded from this section.

B.

Gaming Resource Suppliers.

1. Every gaming resource supplier shall be licensed by the Gaming Commission
prior to the sale, lease or distribution, or further sale, lease, or distribution, of any
gaming resources to or in connection with the Tribe’s gaming operation or facility.
Except as otherwise provided under a Tribal-State compact, the gaming resource
supplier shall also apply to, and the Tribe shall require it to apply to, the State Gaming
Agency for a determination of suitability at least thirty (30) days prior to the sale,
lease, or distribution, or further sale, lease, or distribution, of any gaming resources
to or in connection with the Tribe’s gaming operation or facility. If the State Gaming
Agency denies or revokes a determination of suitability, the Gaming Commission shall
immediately deny or revoke the license and shall not reissue any license to that
gaming resource supplier unless and until the State Gaming Agency makes a
determination that the gaming resource supplier is suitable.

23


T. “Tribal member” means any individual who is duly enrolled as a member of the Tribe
in accordance with the Constitution of Wilton Rancheria and the Enrollment and
Membership Act of 2012 that may be enacted by the Tribe as amended from time to time.

U. “Tribal-State compact” means an agreement that shall be entered into between the
Tribe and the State pursuant to 25 U.S.C. § 2710(d)(3) to govern the conduct of class III
gaming activities on the Indian lands of the Tribe.

ARTICLE II
GENERAL PROVISIONS

Section 3-201 GAMING AUTHORIZED.

Class II gaming and class III gaming are hereby authorized to be conducted on the Tribe’s
Indian lands, if such gaming is conducted in accordance with this Ordinance, IGRA, the NIGC’s
regulations, and any other applicable laws or regulations. Any class III gaming activities

conducted under this Ordinance are limited to those gaming activities authorized under a
Tribal-State compact.

Section 3-202 OWNERSHIP OF GAMING.

The Tribe shall have the sole proprietary interest in and responsibility for the conduct of any
gaming operation authorized by this Ordinance.

Section 3-203 USE OF NET GAMING REVENUES.

Net revenues from 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 tribal members;
Cc. To promote Tribal economic development;

D. To donate to charitable organizations; or

E. To help fund local government agencies.

Section 3-204 PER CAPITA PAYMENTS.

Net revenues from any class II and/or class III gaming activities conducted or licensed by
the Tribe may be used to make per capita payments to tribal members if:

A. The Tribe has prepared a plan to allocate revenues to one or more of the five uses
authorized by Section 3-203 of this Ordinance;


F. Notwithstanding any requirements to the contrary in this Ordinance, if the Tribe
operates a gaming facility that offers only class II gaming and not class III gaming, or the
Tribe is not otherwise subject to State reporting requirements, the Gaming Commission’s
reporting and other obligations pursuant to this Ordinance shall be limited to those required
under applicable federal law. In such case, the Gaming 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.

Section 3-511 RA GA I
A. All primary management officials and key employees of the gaming operation must

have a gaming license issued by the Tribe.

B. The Gaming Commission is responsible for granting and issuing gaming licenses to
primary management officials and key employees.

C. The Gaming Commission may license a primary management official or key employee
applicant after submitting a notice of results of the applicant’s background investigation to
the NIGC as required under this Ordinance.

D. The Gaming Commission shall notify the NIGC of the issuance of a license toa primary
management official or key employee within thirty (30) days ofissuance.

E. The Tribe shall not employ an individual in a primary management official or key
employee position who does not have a license after ninety (90) days of beginning work at
the gaming operation.

F, The Gaming Commission must reconsider a license application for a primary
management official or key employee if it receives a statement of itemized objections to
issuing such a license form the NIGC, and those objections are received within thirty (30)
days of the NIGC receiving a notice of results ofthe applicant’s background investigation. The
Gaming Commission shall take the NIGC’s objections into account when reconsidering a
license application.

G. The Tribe will make the final decision whether to issue a license to an applicant for a
primary management official or key employee position.

H. If the Gaming Commission has issued a license to a primary management official or
key employee before receiving the NIGC’s statement of objections, notice and hearing shall
be provided to the licensee pursuant to the procedures in this Ordinance and consistent with
the requirements under 25 C.F.R. Part 558.

lL The Gaming Commission is responsible for issuing licenses and for delivering them,
by certified mail, return receipt requested, or in person, to applicants once they are issued.

20


14. — Alist of the principals of the business, their social security numbers, addresses,
telephone numbers, titles, and percentage of ownership in the company; and

15. Any further information the Tribe or the Gaming Commission deems relevant.

B. The following notice shall be placed on the application form for a vendor and its
principals: Inclusion of false or misleading information in the vendor application may be
grounds for denial or revocation of the Tribe’s vendor license.

C. Avendor may submit to the Gaming Commission a copy ofa recent license application
to another jurisdiction if it contains the information listed above. The vendor will be required
to submit, in writing, any changes in the information since the other license application was
filed, and any information requested by the Tribe not contained in the other application.

Section 3-519 VENDOR BAKCGROUND INVESTIGATIONS.

The Gaming Commission shall employ or otherwise engage an investigator to complete an
investigation of a gaming vendor. This investigation shall include, at a minimum, the
following steps:

A. Verification of the vendor’s business incorporation status and qualifications to do
business in the state where the gaming operation is located;

B. Obtaining a business credit report, if available, and conducing a Better Business
Bureau check on the vendor;

C. Conducting a check of the vendor’s business’ credit history;

D. Calling and questioning each of the references listed in the vendor application;
and

E. Conducting an investigation of the principals of the vendor's business, including

facilitating a criminal history check, obtaining criminal history check results, obtaining a
credit report, and interviewing the personal references listed.

Section 3-520 VENDOR LICENSE FEES.

The Tribe may a charge a license fee, to be set by the Gaming Commission, to cover its
expenses in investigating and licensing vendors of the gaming operation.

Section 3-521 VENDOR BACKGROUND INVESTIGATION REPROTS,
The investigator shall complete an investigative report covering each of the steps taken in

the background investigation of the gaming vendor and its principals, and present it to the
Gaming Commission.

26


3. Provide the licensee with notice of a time and place for a hearing on the
proposed revocation of the license.

B. The right to revocation hearing vests only when a license is granted under an
ordinance approved by the NIGC Chairman.

C. Following a revocation hearing, the Tribe shall decide whether to revoke or restate
the license at issue.

D. The Tribe shall notify the NIGC of its decision to revoke or reinstate a license within
45 days of receiving notification from the NIGC that a primary management official or key
employee is not eligible foremployment.

E. In the event the State Gaming Agency denies an applicant a determination of
suitability or refuses to renew a determination of suitability, the Gaming Commission shall
revoke any temporary or conditional license issued to the applicant and deny the applicant
a license subject to any exceptions permitted under a Tribal-State compact and subject to the
applicant’s appeal rights available under state law.

FE. The Gaming Commission shall suspend, revoke, or deny a license upon the occurrence
of any of the following:
1. Notification by the NIGC as set forth in this section, or by any other reliable

source, that the licensee is not eligible for a license under this Ordinance;

2. 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;

3. The Gaming Commission has probable cause to believe that the licensee has,
by act or omission, violated provisions of this Ordinance or a Tribal-State compact,
the Tribe’s gaming regulations, any condition of a conditional gaming license, or any
other federal, state or tribal laws or regulations;

4. The Gaming Commission has reason to believe that the continued licensing of
a person constitutes an immediate threat to the public health, safety or welfare;

5. The Gaming Commission has reason to believe that the licensee is involved in
any theft, misappropriation, misuse or abuse of tribal assets;

6. The licensee engages in any conduct that brings discredit or embarrassment
to the Tribe’s gaming operation or the Tribe, or interferes with the normal operation

of the Tribe’s gaming facilities;

7. The licensee fails to disclose any required information on any state or tribal
gaming license application;

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1. 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 Gaming Commission;

2. 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;

3. 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;

4. If the applicant has violated, failed, or refused to comply with the provisions,
requirements, conditions, limitations, or duties imposed by any provision of this
Ordinance or a Tribal-State compact, 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;

5. 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 this Ordinance or a Tribal-State compact;

6. If the applicant has ever obtained a license by fraud, misrepresentation,
concealment, or through inadvertence or mistake;

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

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

9. 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

17


G. Members shall act impartially, in accordance with applicable laws, and shall not give
preferential treatment to any private organization or individual, including to any persons
related to the members.

H. Members shall not engage in outside employment or activities, including seeking or
negotiating future employment, which conflict with their official duties and responsibilities.

I. Members shall not be employed by, or have any direct or indirect pecuniary interest
in any entity that is a party to a management contract or other gaming related contract with
the Tribe.

J. Members shall disclose any real or apparent financial or personal conflicts. If there is
a real conflict or the appearance of one, the member shall not take part in any decision
related to the conflict.

Section 3-308 PARTICIPATION IN GAMING PROHIBITED.

A No primary management official or employee of the gaming operation shall
participate as a player in any class II or class III] games conducted by the Tribe in the
department where they are employed. The Gaming Commission shall be responsible for
(with Tribal Council approval) creating regulations for the restrictions on use of class II and
class III gaming activities by employees of the gaming operation.

B. No employee of the gaming operation or Gaming Commission who is employed in the
surveillance and compliance areas may participate in any class II or class III] games.

C. No blackjack, floor person, pit boss, dealer, shift supervisor, or trainer shall
participate in the play of blackjack or any other house banked table game.

D. No primary management official, employee of the gaming operation or member of the
Gaming Commission may participate in any class II or class III marketing or promotional
programs offered by the gaming operation.

E. No member of the Gaming Commission may participate in any of the ‘Iribe’s games of
chance, whether class II or class II].

ARTICLE IV
FACILITY AND OPERATIONAL REQUIREMENTS
Section 3-401 AUDIT.
A. The Tribe shall cause to be conducted independent audits of gaming operations

annually and shall submit the results of those audits to the NIGC. Annual audits shall conform
to generally accepted auditing standards and be conducted by a recognized independent
accounting firm.


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

Section 3-526 ADDITIONAL REQUIREMENTS.

The Tribal Council shall adopt, and the Gaming 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 at 25 U.S.C. § 2710(b)(2)(F) and the NIGC’s
regulations at 25 C.F.R. Parts 556, 558, and 559, and a Tribal-State compact.

ARTICLE VI
MISCELLANEOUS PROVISIONS

Section 3-601 ENFORCEMENT.

The Tribal Council shall promulgate regulations authorizing the Gaming Commission or
other agent of the Tribe to investigate reported violations of this Ordinance, other Tribal
gaming ordinances or regulations, IGRA, or a Tribal-State 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
Tribal-State compact.

Section 3-602 MPLIANCE WITH FEDE!

The Tribe shall comply with all applicable federal laws, including the Bank Secrecy Act, 31
U.S.C. § 5311 et seq.

Section 3-603 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.

Section3-604 == = AMENDMENTS.

This Ordinance may be amended upon approval by the Tribal Council and approval by the
Chairman of the NIGC.

29


Section 3-304 POWERS AND RESPONSIBILITIES.
The Gaming Commission shall:

A. Conduct background investigations, or cause such investigations to be conducted, for,
at a minimum, primary management officials and key employees;

B. Review and approve all investigative work conducted in connection with the
background investigations of primary management officials and key employees;

C Create and maintain investigative reports based on the background investigations of
primary management officials and key employees;

D. Obtain and process fingerprints;
E. Make licensing eligibility determinations;
F. Submit a notice of results to the NIGC of the background investigations done for each

primary management official and key employee applicant;

G. Issue gaming licenses to primary management officials and key employees of the
gaming operation if warranted by the eligibility determination;

H. Establish standards for licensing tribal gaming facilities;
L Issue gaming licenses to tribal gaming facilities;
J. Inspect, examine and monitor all of the Tribe’s gaming activities, and have immediate

access to review, inspect, examine, photocopy and audit all records of the gaming
establishment;

K. Ensure compliance with all Tribal, state, and federal laws, rules and regulations
regarding Indian gaming;

L. Investigate any suspicion of wrongdoing associated with any gaming activities;

M. Hold hearings on patron complaints, in accordance with procedures established in
this Ordinance and the Tribe’s gaming regulations, or a Tribal-State compact;

N. Comply with any and all reporting requirements under IGRA, the NIGC’s regulations,
or a Tribal-State compact, and any other applicable law;

0. Promulgate and issue regulations necessary to comply with applicable internal
control standards;


B. The plan is approved by the Secretary of the Interior as adequate, particularly with
respect to the uses regarding funding for tribal governmental operations or programs and
for promoting tribal economic development;

@ The interests of minors and other legally incompetent persons who are entitled to
receive any of the per capita payments are protected and preserved, and the per capita
payments are disbursed to the parents or legal guardian of such minors or legal
incompetents in such amounts as may be necessary for the health, education, or welfare of
the minor or other legally incompetent person; and

D. The per capita payments are subject to federal taxation and the Tribe notifies its
tribal members of such tax liability when payments are made.

ARTICLE III
GAMING COMMISSION

Section 3-301 = = ESTABLISHMENT.

The Tribe hereby establishes the Wilton Rancheria Gaming Commission as a non-political
and independent unit of tribal government. Decisions of the Gaming Commission shall be
made by majority vote. By separate act, statute, or resolution, the Tribal Council shall
establish the number of members for the Gaming Commission, their terms, staffing, quorum
requirements, compensation, and related organizational matters for the Gaming
Commission.

Section 3-302 == = —-_ JURISDICTION.

The Gaming Commission shall have jurisdiction over the regulation of Tribe’s gaming
operations and related facilities and enterprises. The Gaming Commission shall conduct
oversight to ensure compliance with tribal, federal and, if applicable, state laws and
regulations. It will serve as the licensing authority for individuals employed in the gaming
operation and will administer background investigations as part of the licensing process.
The Gaming Commission will also have a role in monitoring compliance with the gaming
operation's internal controls and in tracking gaming revenues. In order to carry out ils
regulatory duties, the Gaming Commission shall have unrestricted access to all areas of the
gaming operation and to all of its records. The Gaming Commission shall have authority to
take enforcement actions, including suspension or revocation of an individual gaming
license, when appropriate.

Section 3-303. BACKGROUND CHECKS.

The Tribe shall conduct a background investigation on each prospective member of the
Gaming Commission. Each prospective member of the Gaming Commission shall satisfy the
eligibility standards set forth for primary management official and key employees found in
Article V of this Ordinance.


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

B. If the Gaming Commission, in applying the standards adopted in this Ordinance,
determines that licensing 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, methods and/or activities in the conduct of gaming, the Gaming Commission shall
not license that person in a key employee or primary management official position.

C. Copies of the eligibility determination shall be included with the notice of results that
must be submitted to the NIGC before the licensing of a primary management official or key
employee.

Section3-509 = = NOTICE OF RESULTS OF BACKGROUND INVESTIGATIONS.

A. Before issuing a license to a key employee or primary management official, the
Gaming Commission shall prepare a notice of results of the applicant’s background
investigation to submit to the NIGC.

B. The notice of results must be submitted to the appropriate Regional Office of the NIGC
no later than sixty (60) days after the applicant begins working for the Tribe.

C. The notice of results shall include the following information:
1. The applicant’s name, date of birth, and social security number;
2. The date on which applicant began or will begin work as a key employee or

primary management official;
3. Asummary of the information presented in the investigative report, including:
a. Licenses that have been previously denied;

b. Gaming licenses that have been revoked, even if subsequently
reinstated;

c Every known criminal charge brought against the applicant within the
last 10 years of the date of the application; and

d. Every felony of which the applicant has been convicted or any ongoing
prosecution.

4. A copy of the eligibility determination made in accordance with Section 3-508
of this Ordinance.

18


Section3-306 = = = CONFIDENTIALITY,

A. The Gaming Commission shall ensure that all records and information obtained as a
result of an employee background investigation shall remain confidential and shall not be
disclosed to any persons who are not directly involved in the licensing and employment
processes. Information obtained during the course of an employee background investigation
shall be disclosed to members of management, human resource personnel and/or others
employed by the Tribal gaming operation on a need-to-know basis, for actions taken in their
official capacities.

B. The confidentiality requirements in subdivision 3-306(A) above do not apply to
requests for such records or information from any tribal, federal, or state law enforcement
or regulatory agency, or for the use of such records or information by the Gaming
Commission and staff in the performance of their official duties.

Members of the Gaming Commission shall be free from corruption, undue influence,
compromise, and conflicting interests in the conduct of their duties. Prior to accepting a
position as a member of the Gaming Commission, members shall agree to be bound by the
following principles:

A. Members shall not be employed by, or have any direct or indirect pecuniary interest
in any entity that is a party to a management contract or other gaming related contract with
the Tribe.

B. Members shall not be employed by any gaming operation or related facilities.

C. Members shall not participate in the approval, denial or renewal of any application
for a gaming license by, or participate in the revocation or suspension of any license granted
hereunder to any parent, spouse, sibling, or children of such member.

D. Members shall not engage in any business, transaction or professional activity, incur
any obligation of any nature, or hold financial interests which conflicts with the proper
discharge of his or her official duties as regulators.

E. Members shall not solicit or accept any gift or other item of monetary value, including
complimentary items or services, from any person or entity seeking official action or inaction
from, doing business with, or conducting activities regulated by the Gaming Commission, or
whose interests may be substantially affected by the performance or nonperformance of the
members’ duties.

F. Members shall not use their positions for private gain.


2. Any agreement between the Tribe and a gaming resource supplier shall
include a provision for its termination without further liability on the part of the
Tribe, except for the bona fide payment 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 gaming resource supplier’s
license by the Gaming Commission based on a determination of unsuitability by the
State Gaming Agency. Except as set forth above, the Tribe shall not enter into, or
continue to make payments to a gaming resource supplier pursuant to, any contract
or agreement for the provision of gaming resources with any person or entity whose
application to the State Gaming Agency for a determination of suitability has been
denied or revoked or whose determination of suitability has expired without
renewal.

Financial Sources.

1. Every financial source subject to (and not excluded from) licensing by the
Gaming Commission under a Tribal-State compact shall, contemporaneously with
the filing of its tribal license application, apply to the State Gaming Agency for a
determination of suitability. In the event the State Gaming Agency denies the
determination of suitability, the Gaming Commission shall immediately deny or
revoke the license. A gaming resource supplier who provides financing exclusively
in connection with the provision, 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 and need not be licensed as a
financial source under a Tribal-State compact.

2. 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 (including accrued
interest) owed as of the date of termination, upon revocation or non-renewal of the
financial source’s license by the Gaming 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 revoked or has expired without
renewal.

Section3-517 = = SUBMISSION OF A VENDOR LICENSE AGREEMENT.

In order to obtain a gaming vendor license, the business must complete a vendor application
and submit to background checks of itself and its principals. Principals of a business include
those officers, directors, managers, owners, partners, and non-institutional stockholders
that either own 10% or more of the business’ stock or are the 10 largest stockholders, as well
as the on-site supervisors or managers designated in an agreement with the Tribe or gaming
operation, if applicable.

24


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October 13, 2017

Raymond C. Hitchcock, Chairperson
Wilton Rancheria

9728 Kent Street

Elk Grove, CA 95624

RE: Wilton Rancheria Gaming Ordinance and Resolution No. 2017-21

Dear Chairperson Hitchcock:

lam writing with respect to your request for review and approval of the Wilton
Rancheria’s Gaming Ordinance. The ordinance was adopted by Resolution No. 2017-21 of the
Wilton Rancheria Tribal Council.

Thank you for providing the ordinance for my review. The ordinance is approved as it is
consistent with the requirements of the Indian Gaming Regulatory Act and National Indian
Gaming Commission regulations. If you have any questions concerning this letter, please contact
Staff Attorney Austin Badger at (202) 632-7003.

Sincerely,

‘iodev O. Chaudhuri
Chairman

ce: Rose M. Weckenmann, Tribal Attorney, Wilton Rancheria

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail Stop # 1621 Washington, DC 20240 Tel: 202.632.7003 Fax: 202.632.7066

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D. The Gaming Commission shall identify the environmental, health and public safety
standards with which the place, facility or location must comply, and specify the form,
conditions and content of a facility license application. The application shall include a legal
description of the lands upon which the facility is located, and a certification that the site
constitutes “Indian lands,” as defined in IGRA, the NIGC’s regulations, a Department of the
Interior Solicitor Offices’ Indian lands legal opinion, judicial decisions and any other
applicable law.

E. The Gaming Commission shall only issue a facility license if the application includes
the required information and documentation, and sufficiently satisfies any additional
conditions deemed necessary by the Tribe.

F. The Tribe or the Gaming Commission shall submit to the Chairman of the NIGC notice
that the initial facility license is under consideration at least 120 days before opening any
new place, facility, or location on Indian lands where class II and/or class III gaming will
occur. The Gaming Commission may request an expedited 60-day review of the notice. The
notice shall contain the following:

1. The name and address of the property;
2. A legal description of the property;

3. The tract number for the property as assigned by the Bureau of Indian Affairs,
Land Title and Records Offices, or, if not maintained by the Bureau of Indian Affairs,
Department of the Interior, a copy of the trust or other deed(s) to the property or an
explanation as to why such documentation does not exist;

4, If not maintained by the Bureau of Indian Affairs, Department of the Interior,
documentation of the property’s ownership; and

5. A certification that the property constitutes “Indian lands,” as set forth above
in paragraph (c)(1) of this section.

G. The Gaming Commission shall submit to the Chairman of the NIGC a copy of each
newly issued or renewed facility license within 30 days of issuance. The license shall be
accompanied by an attestation certifying that by issuing the facility license, the Gaming
Commission has determined that the construction and maintenance of the gaming facility,
and the operation of that gaming, is conducted in accordance with the laws, resolutions,
codes, policies, standards or procedures applicable to the gaming facility and in a manner
which adequately protects the environment and the public health and safety.

H. The Gaming Commission shall also submit to the State Gaming Agency a copy of each
newly issued or renewed facility license for a gaming facility that offers class III gaming
within 20 days after issuance of the license in accordance with a Tribal-State compact and
post the facility license in a conspicuous and public place in the gaming facility at all times.

11


B. All gaming relating contracts that result in the purchase of supplies, services, or
concessions in excess of $25,000 in any year (except contracts for professional legal and
accounting services) shall be specifically included within the scope of the audit conducted
under this section.

C Copies of the annual audit of each licensed gaming operation, and each audit for
supplies, services or concessions of each gaming operation, shall be furnished to the NIGC
within 120 days after the end of each fiscal year of the gaming operation.

Section 3-402 B EALT.
A. Each gaming facility shall be constructed, maintained and operated in a manner that

adequately protects the environment and the health and safety of the public.

B. No person under the age of twenty-one (21) shall be present in any area in which
class II or class III gaming activities are being conducted unless that person is en route to a
non-gaming area of the facility, or is employed at the gaming facility in a capacity other than
as a primary management official or key employee.

C. The possession of firearms by any person in the gaming facility is prohibited at all
times, except for federal, state, or local law enforcement or security personnel authorized by
tribal law and federal or state law to possess firearms at the gaming facility.

D. The Gaming Commission shall identify and enforce laws, resolutions, codes, policies,
standards, or procedures which are applicable to each gaming place, facility or location, to
ensure adequate protection of the environment and the health and safety of the public.

Section 3-403 == —- FACILITY LICENSES.

A. The Tribe shall issue a separate license to each place, facility or location on Indian
lands where class II and/or class II] gaming is conducted under this Ordinance.

B. The Gaming Commission is responsible for issuing new or renewed facility licenses to
each place, facility or location in compliance with this section, and any additional
requirements specified under the NIGC’s regulations at 25 C.F.R. Part 559 or a Tribal-State
compact. Each license shall be reviewed and renewed every two (2) years provided that the
facility remains in compliance with the standards set forth herein.

C. The Gaming Commission shall require that a facility license application be completed

by the chief management official of the gaming facility for each gaming place, facility or
location.

10


Wilton Rancheria

Tribal Council Resolution No. 2017-21

WHEREAS, Wilton Rancheria (“Tribe”) is a federally-recognized Indian tribe eligible for all rights
and privileges afforded to recognized Native American tribes; and

WHEREAS, Wilton Rancheria adopted the Constitution of Wilton Rancheria (“Constitution”) on
November 12, 2011; and

WHEREAS, Article VI, Section 2(a) of the Constitution provides that the Tribal Council has the
power to make all laws, including resolutions, codes, and statutes; and

WHEREAS, Article VI, Section 2(c) of the Constitution provides that the Tribal Council has the
power to pass laws regulating the Tribe’s elections, enrollment, employment, and all other matters
so long as those laws are consistent with the Constitution; and

NOW BE THEREFORE RESOLVED, the Tribal Council does hereby pass the attached Gaming
Ordinance.

BE IT FURTHER RESOLVED, the Tribal Council does request the Chairperson to submit the
attached Gaming Ordinance to the National Indian Gaming Commission (NIGC) for approval by the
NIGC Chairman.

CERTIFICATION

It is hereby certified that the foregoing Resolution was adopted by an affirmative vote of 7 for, 0
against, 0 abstaining, presented for approval on July 17, 2017.

Late [ois

(ests Tarango/
Tribal Council Spokespefson

Dated this 17th day of July 2017.

we

JAvA~ Cad
Cammeron Flodson
Vice-Chairperson

p. (916) 683-6000 | f. (916) 683-6015: www.WiltonRancheria-nsn.gov


Section3-605 = = = EFFECTIVE DATE.

The Ordinance shall become effective and binding upon adoption by a majority vote of the
Tribal Council at which a quorum is present and upon the approval of the Chairman of the
NIGC and published pursuant to 25 U.S.C. § 2710(d).

30


P. Promulgate and issue regulations on the levying of fees and/or taxes associated with
gaming license applications;

Q. Promulgate and issue regulations on the levying of fines and/or the suspension or
revocation of gaming licenses for violations of this Ordinance or any tribal, federal or state
gaming regulations, if applicable;

R. Establish a list of persons not allowed to game in the Tribe’s gaming facilities in order
to maintain the integrity of the gaming operation;

S. Establish a list of persons who have voluntarily agree to be excluded from the tribal
gaming facility, and create regulations for enforcing the exclusions;

T. Provide referrals and information to the appropriate law enforcement officials when
such information indicates a violation of tribal, federal or state statutes, ordinances,
regulations, codes or resolutions;

U. Create a list of regulatory authorities that conduct background investigations of, and
license, vendors who are recognized as trustworthy;

Vv. Draft regulations exempting vendors from the licensing and/or background
investigation requirements if they have received a license from a recognized regulatory
authority;

Ww. Perform such other duties that the Gaming Commission deems appropriate for the
proper regulation of the tribal gaming operation; and

xX. Promulgate such regulations and guidelines as deemed appropriate to implement the
provisions of this Ordinance, so long as they are in furtherance of, and not in conflict with,
any provisions of this Ordinance.

Section 3-305 REGULATIONS.

Before adopting, amending and repealing regulations, the Gaming Commission shall give
notice of any such proposed action to the Tribal Council, the gaming operation and all other
persons whom the Gaming Commission has reason to believe have a legitimate interest in
the proposed action. The notice shall invite comments and describe the general nature of
the proposed action and the manner in which comments on the proposed action shall be
received by the Gaming Commission.


Section3-512 == | TEMPORARY LICENSES.

If an applicant has completed a license application to the satisfaction of the Gaming
Commission, and the Gaming Commission has conducted a preliminary background
investigation, the Gaming Commission may issue a temporary license and impose such
conditions thereon as it deems appropriate pending completion of the licensing process,
provided that the Gaming 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.

Section 3-513 DENYING GAMING LICENSES.
A. The Gaming Commission shall not license a primary management official or key

employee if the Gaming Commission determines, in applying the standards under Section 3-
508 of this Ordinance for making a license eligibility determination, that licensing the
person:

1. Poses a threat to the public interest;
2. Poses a threat to the effective regulation of gaming; or
3. Creates or enhances the dangers of unsuitable, unfair or illegal practices,

methods and/or activities in the conduct of gaming.

B. When the Gaming Commission does not issue a license to an applicant for a primary
management official or key employee position, or revokes a previously issued license after
reconsideration, it shall:

1. Notify the NIGC; and
2. Forward copies of its eligibility determination and notice or results of the

applicant’s background investigation to the NIGC for inclusion in the Indian Gaming
Individuals Record System.

Section 3-514 GAMING LICENSE SUSPENSIONS AND REVOCATIONS.
A. If, after a license is issue to a primary management official or a key employee, the

Tribe receives notice from the NIGC that the primary management official or key employee
is not eligible for employment, the Gaming Commission shall do the following:

1. Immediately suspend the license;

2. Provide the licensee with written notice of the suspension and proposed
revocation; and

21


Section 3-522 EXEMPTION OF VENDORS.

The Gaming Commission may adopt regulations naming specific licensing authorities that
it recognizes and may authorize exemptions to the vendor licensing process from vendors
who have received a license from one of the named regulatory authorities. The Gaming
Commission may, at its discretion, exclude from licensing those financial sources identified
as not requiring a license under the circumstances specified under a Tribal-State compact.

Section3-523 = =  — IDENTIFICATION CARDS.

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

Section 3-524 DUE PROCESS.
The denial, suspension or revocation of a license pursuant to this Ordinance shall require:

A. Written, certified, return receipt requested or personally hand-delivered notification
of the denial, suspension or proposed 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.

Cc. The Gaming 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 Gaming Commission for a rehearing within fifteen (15) days
of the receipt of the written notification;

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

E. If the licensee is providing management services to the gaming facility pursuant to a
management contract approved by the NIGC, said licensee may file a request for a rehearing
directly with the Tribal Council following an adverse ruling issued by the Gaming
Commission subsequent to a hearing or rehearing. The Tribal Council is authorized to
reverse the adverse decision if the Tribal Council determines, by a majority vote where a
quorum is present, any of the following:

27


4. Any other person designated by the Gaming Commission as a key employee.

M. “Licensee” means a tribally-owned class II or class II] gaming operation or a person
licensed by the Gaming Commission as a primary management official or key employee or
other gaming employee under the provisions of this Ordinance.

N. “Management contract” means any contract, subcontract or collateral agreement
between and Indian tribe and a contractor or between a contractor and a subcontractor if
such contract or agreement provides for the management ofall or part of a gaming operation.

0. “Net revenues” means gross gaming revenues of an Indian gaming operation less:
1. Amounts paid out as, or paid for, prizes; and
2. Total gaming-related operating expenses, including all those expenses of the

gaming operation commonly known as operating expenses and non-operating
expenses consistent with professional accounting pronouncements, excluding
management fees.

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

Q “Primary management official” means:
1. The person(s) having management responsibility for a management contract.
2. Any person who has authority:
a. To hire and fire employees; or
b. To set up working policy for the gaming operation; or

c. The chief financial officer or other person who has financial management

responsibility.
3. Any other person designated by the Tribe as a primary management official.
R. “State” means the State of California.
Ss. “State Gaming Agency” means the entity or entities authorized to investigate,

approve, regulate and license gaming pursuant to State law under a Tribal-State compact.


Section3-505 = = BACKGROUND INVESTIGATIONS.

A. The Tribe shall perform a background investigation for each primary management
official and key employee in its gaming operation. The Gaming Commission is responsible
for conducting the background investigations of primary management officials and key
employees.

B. The Gaming Commission shall conduct or cause to be conducted an investigation
sufficient to make an eligibility determination finding an applicant eligible for a gaming
license under this Ordinance. The Gaming Commission shall request from each applicant all
of the following information:

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

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

3. 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 (b)(2) of this section;

4. Current business and residence telephone numbers, and all cell phone
numbers;
5. A description of any existing and previous business relationships with Indian

tribes, including ownership interests in the businesses;

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

7. 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;

8. 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;

9. 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,
if any;

14


F. Based on the results of the criminal history records check, as well as information
acquired from an applicant’s self-reporting or from any other source, obtain information
from the appropriate court regarding any past felony and/or misdemeanor convictions or
ongoing prosecutions within the past 10 years;

G. Inquire into any previous or existing business relationships with the gaming industry,
including with any tribes with gaming operations, by contacting the entities or tribes;

H. Verify the applicant’s history and current status with any licensing agency by
contacting the agency; and

1. Take other appropriate steps to verify the accuracy of the information, focusing on
any problem areas noted.

Section 3-507 INVESTIGATIVE REPORTS.

A. The Tribe shall create and maintain an investigative report for each background
investigation of a primary management official or key employee. Investigative reports shall
include all of the following information:

1. Steps taken in conducting the background investigation;

2. Results obtained;

3. Conclusions reached; and
4. The basis for those conclusions.
B. If, in the course of a background investigation, the Gaming Commission discovers that

applicant has a notice of results on file with the NIGC from a prior investigation and the
Gaming Commission has access to the earlier investigative materials, the Gaming
Commission may rely on those materials and update the investigation and investigative
report to be provided to the NIGC.

Section 3-508 ELIGIBILITY DETERMINATIONS.
A. Before a license is issued to a primary management official or key employee, the

Gaming Commission shall make a finding concerning the eligibility of that person for
receiving a gaming license by reviewing the applicant's prior activities, criminal record, if
any, and reputation, habits and associations. A license may not be issued unless the Gaming
Commission is satisfied the applicant is a person of good character, honesty and integrity. In
making findings concerning the eligibility of license applicants, the Gaming Commission shall
take into consideration any of the following circumstances:

16


G. “Gaming Commission” means the Wilton Rancheria Gaming Commission as
established herein to perform regulatory oversight and to monitor compliance with tribal,
federal, and applicable state regulations.

H. “Gaming resources” means any goods or services provided or used in connection with
gaming activities, whether exclusively or otherwise, including, but not limited to, equipment,
furniture, class III slot machines, and ancillary equipment, implements of class III gaming
activities such as playing cards, furniture designed primarily for class III gaming activities,
maintenance or security equipment and services, and class III gaming consulting services, or
as otherwise defined under a Tribal-State compact. “Gaming resources” does not include
professional accounting and legal services.

L “Gaming operation” means each economic entity that is licensed by the Tribe,
operates the games, receives the revenues, issues the prizes, and pays the expenses. A
gaming operation may be operated by the Tribe directly or by a management contractor.

J. “Indian lands” means:
1. Land within the limits of an Indian reservation; or
2. Land over which an Indian tribe exercises governmental power and that is
either:
a. Held in trust by the United States for the benefit of any Indian tribe or

Individual; or

b. Held by an Indian tribe or individual subject to restriction by the United
States against alienation.

K. “IGRA” means the Indian Gaming Regulatory Act, 25 U. S C. §§ 2701 et seq., and any
and all regulations promulgated pursuant thereto.

L. “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 and 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;

3. If not otherwise included, the four (4) most highly compensated persons in the
Gaming Operations;


A.

Applications for gaming vendor license must include the following:

1. Name of business, business address, business telephone number(s), federal
tax identification number (or social security number, if a sole proprietorship), main
office address (if different from business address), any other names used by the
applicant in business, and type of service(s) applicant will provide;

2. Whether the applicant is a partnership, corporation, limited liability company,
sole proprietorship or other entity;

3. Ifthe applicant is a corporation, the state of incorporation and the qualification
to do business in the State, if the gaming operation is ina different state than the state
of incorporation.

4. Trade name, other names ever used and names of any wholly owned
subsidiaries or other businesses owned by the vendor or its principals;

5. General description of the business and its activities;

6. Whether the applicant will be investing in, or loaning money to, the gaming
operation, and, if so, how much;

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

8. A list of Indian tribes with which the vendor has an existing or previous
business relationship, including ownership, financial or management interests in any
non-gaming activity;

9. Names, addresses and telephone numbers of three business references with
whom the company has regularly done business for the last five (5) years;

10... The name and address of any licensing or regulatory agency with which the
business has filed an application for a license or permit related to gaming, whether or
not such license or permit was granted;

11. If the business has ever had a license revoked for any reason, the
circumstances involved;

12. A list of lawsuits to which the business has been a defendant, including the
name and address of the court involved, and the date and disposition, if any;

13.  Alist of the business’ funding sources and any liabilities of $50,000 or more or
such higher amount as the Gaming Commission may establish by regulation;

25


WILTON RANCHERIA CODE
TITLE 1 - BUSINESS AND FINANCE CODE
CHAPTER 3 - GAMING ORDINANCE
CITE AS: 1 WRC § 3-101, et seq.

ARTICLE 1
GENERAL

A. Article VI, Section 2 of the Constitution authorizes the Tribal Council to make the
Tribe’s laws.

B. Article VI, Section 2(a) of the Constitution grants the Tribal Council the power to make
all laws, including resolutions, codes, and statutes.

Section3-102 == = = PURPOSE.

This Gaming Ordinance is enacted to govern and regulate the operation of class II and class
III gaming operations on the Tribe’s Indian lands.

Section 3-103. DEFINITIONS.
Throughout this Act the following words have the following definitions:

A. “Class I gaming” means those gaming activities as defined as class I gaming in IGRA at
25 U.S.C. § 2703(6) and the NIGC’s regulations at 25 C.F.R. § 502.2.

B. “Class I] gaming” means those gaming activities as defined as class II gaming in IGRA
at 25 U.S.C. § 2703(7) and the NIGC’s regulations at 25 C.F.R. § 502.3.

Cc. “Class III gaming” means those gaming activities as defined as class III gaming in IGRA
at 25 U.S.C. § 2703(8) and the NIGC’s regulations at 25 C.F.R. § 502.4.

D. “Facility license” means a separate license issued by the Tribe to each place, facility
or location on Indian lands where the Tribe elects to allow class II or III gaming.

E. “FBI” means the Federal Bureau of Investigation, an agency of the United States
Department of Justice.

F. “Financial source” means any person or entity who, directly or indirectly, extends
financing to the gaming facility or gaming operation or as otherwise defined under a Tribal-
State compact.


1. The Gaming Commission’s decision was unreasonable, arbitrary, capricious,
an abuse of discretion, or otherwise not in accordance with applicable tribal, federal
and state laws;

2. The Gaming Commission exceeded its jurisdiction, authority, or limitations,
under applicable tribal laws;

3. The Gaming Commission’s decision is unsupported by substantial evidence or
unwarranted by the facts presented, either orally or substantively.

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

1. Falsified a license application;

2. Poses an immediate threat to the integrity of the gaming operation;

3. Poses a threat to public health or safety; or

4. Violates the Gaming Commission’s licensing standards.
Section 3-525. DURATION AND RENEWAL.
A. All regular licenses shall be issued for a specified period not to exceed two (2) years

from the date of issue, except that an entity providing management services to the gaming
facility pursuant to a management contract approved by the NIGC may be licensed for a
period of no more than seven (7) years, provided such management contractor continues to
apply for renewal of a determination of suitability by the State Gaming Agency at least every
two (2) years in accordance with a Tribal-State compact. Renewal applications must be
received by the Gaming Commission at least thirty (30) days prior to the expiration of the
license. Upon receiving a renewal application, the Gaming Commission shall inform the
applicant of his or her obligation, if any, 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 for not more than 90 days following the
expiration of the license. Applicants for renewal shall provide updated material as requested
by the Gaming Commission on the appropriate renewal forms but, at the discretion of the
Gaming Commission, may not be required to resubmit information already available to the
Gaming Commission. Additional background investigations may be performed at the
discretion of the Gaming Commission. Updated criminal history checks are required.

28


I. Each subsequent application for the renewal of such facility license shall identify any
changes or additions to the legal description of the property and applicable environmental,
health and safety standards, and include current certifications of compliance therewith. The
Gaming Commission shall only issue such licenses if the corresponding applications include
the required information and certifications and such further conditions as the Gaming
Commission shall have specified.

Section3-404 SERVICE OF PROCESS.

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

Section 3-405, PROCUREMENT.

All purchases of services or supplies shall comply with the tribally adopted procurement
policies and procedures for the gaming operation and related facilities.

Where applicable, any contract pertaining to the gaming operation must make provisions for
complying with any Indian hiring preferences adopted by the Tribe.

Section 3-407 INI INTE

The Tribe shall adopt and implement minimum internal control standards for the conduct of
class II gaming activities to the extent such standards are required under federal law and for
the conduct of class III gaming activities to the extent such standards are required under a
Tribal-State compact.

ARTICLE V
LICENSING AND BACKGROUND INVESTIGATIONS

Section 3-501 GENERAL LICENSING REQUIRMENTS.
The following persons and entities are required to be licensed by the Gaming Commission:

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

B. Vendors of gaming services or supplies (other than for professional legal and
accounting services) with a value of $25,000 or more, including, but not limited to, vendors
identified as gaming resource suppliers under a Tribal-State compact; and


10. ‘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 (b)(8) or (b)(9) of this
section, the criminal charge, the name and address of the court involved and the date
and disposition, ifany;

11. 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;

12. Acurrent photograph;

13. Fingerprints obtained in accordance with procedures adopted by the Tribe
pursuant to 25 C.F.R. § 522.2(h); and

14. Any other information the Tribe deems relevant.

C. When a primary management official or key employee is employed by the Tribe, a
complete application file, containing all of the information listed in paragraph (b) of this
section, shall be maintained.

Dz. The Gaming Commission and its investigators shall keep confidential the identity of
each person interviewed in the course of conducting a background investigation.

Section 3-506 CONDUCTING BACKGROUND INVESTIGATIONS.

The Gaming Commission shall employ or engage an investigator to conduct a background
investigation of each applicant for a primary management official or key employee position.
The investigation must be sufficient to allow the Gaming Commission to make an eligibility
determination under section 8 of this article. The investigator shall:

A. Verify the applicant's identify through items such as a social security card, driver’s
license, birth certificate or passport;

B. Contact each personal and business reference provided in the license application,
when possible;

Cc. Conduct a personal credit check;

D. Conduct a civil history check for past or outstanding judgments, current liens, past or
pending lawsuits, and any other information deemed to be relevant;

E. Conduct a criminal history records check by submitting the applicant’s fingerprints
to the NIGC or to another law enforcement agency for forwarding to the FBI to perform a
criminal history records check utilizing the FBI’s data base;

15