(4)

a5)

(16)

employees, vendors, and others connected with gaming activities, as
described in Section 260.007 of this Ordinance, including the issuance of
licenses to gaming facilities, individuals and entities and the verification
of internal controls, as required under this Ordinance, IGRA, and any
Tribal-State compact or equivalent procedures prescribed by the Secretary
of the Interior;

09) Promulgate rules for any Class II or Class III gaming activity on Tribal
Lands, except that rules for Class III activities shall not be in conflict with
tules if any, adopted under any Tribal-State compact.

(J) Issue such other regulations as it deems appropriate in order to implement
the provisions of this Ordinance; and,

(K) — Carry out such other regulatory duties with respect to gaming activities as
the Tribal Council shall direct.

Monthly and Annual Reports. On or before the tenth day of each month, the
TGRA shall provide to the Tribal Council a Monthly Report summarizing its
activities during the prior month and accounting for all receipts and
disbursements. On or before the last day of the third month after the close of the
Tribes’ fiscal year of each year, the TGRA shall provide to the Tribal Council an
Annual Report, summarizing its activities during the prior fiscal year and
accounting for all receipts and disbursements.

Funding. All funding of the TGRA shall be pursuant to a Budget to be proposed
to the Tribal Council and approved, funded, and modified, if necessary, in
accordance with the Tribe’s procedures for approving and funding budgets for
other departments and agencies of the tribal government. In preparing the
Budget, all actual and anticipated surplus funds of the TGRA shall be taken into
account. Expenditures by the TGRA shall be in accordance with the approved
Budget. Changes in the approved Budget and requests for additional funds shall
be by petition to the Tribal Council, in accordance with such procedures, if any,
for other tribal government departments and agencies.

TGRA’s Relationship to Tribal Government; Supervision of Administration.

(L) | Agency of Tribal Government. The TGRA shall be deemed to be an
agency of the tribal government and as such shall be subject to personnel
and other tribal governmental administrative policies, subject to oversight
by the Secretary-Treasurer of the Tribal Council. The administration of all
such policies shall be under the supervision of the Tribal Council. In the
absence of applicable tribal personnel or other administrative policies, the
TGRA shall promulgate its own policies, subject to approval of the Tribal
Council.

-13-

W100.014(a)\705576_2.doc


(6)

(7)

(8)

C. Every known criminal charge brought against the applicant within the
last 10 years of the date of applicant: and

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

(iv) | Acopy of the eligibility determination made under 25
C.F.R. Section 556.5.

Notice. All notices under required to be proved under this Gaming Ordinance
shall be provided to the NIGC through the appropriate NIGC Regional Office.

Review of Notice of Results for A Key Employee or Primary Management
Official.

(A) Upon receipt of a complete notice of results for a key employee or primary
management official as required by 25 C.F.R. Section 556.6(b)(2), the
NIGC Chair has 30 days to request additional information from the Tribe
concerning the applicant or licensee and to object.

(B) Ifthe NIGC has not objection to issuance of a license, it shall notify the
Tribe within thirty (30) days of receiving notice of results pursuant to 25
C.F.R. Section 556.6(b)(2).

(C) _ If, within the 30-day period described in 25 C.F.R. Section 558.3(a), the
NIGC provides the Tribe with a statement itemizing objections to the
issuance of a license to a key employee or to a primary management
official applicant for whom the Tribe has provided a notice of results, the
Tribe shall reconsider the application, taking into account the objections
itemized by the NIGC. The Tribe shall make the final decision whether to
issue a license to such applicant.

(D) _ Ifthe Tribe has issued the license before receiving the NIGC’s statement
of objections, notice and hearing shall be provided to the licensee as
provided by 25 C.F.R. Section 588.4.

Notification to NIGC of License Decisions and Retention Obligations.

(A) | After the Tribe has provided a notice of results of the background check to
the NIGC, the Tribe may license a primary management official or key
employee.

(B) _ Within thirty (30) days after the issuance of the license, the Tribe shall
notify the NIGC of its issuance.

(C) | The gaming operation shall not employ a key employee or primary
management official who does not have a license after ninety (90) days.

-7-

W100.014(a)\705576_2.doc


RESOLUTION NO. 11,889A
Page 4 of 5

BE IT FURTHER RESOLVED, That the Tribe shall propose
to the State a Compact amendment, as recommended by the Egghart
Report, eliminating the following language in Section 10.A.3 of
the Compact: “Personnel designated as surveillance operators
shall not fulfill this function on behalf of the Tribal Gaming
Commission”; and,

BE IT FURTHER RESOLVED, That Tribal Council Resolution
No. 11,709 approved December 4, 2012 (amending the Gaming
Ordinance), is hereby repealed and rescinded; and,

BE IT FURTHER RESOLVED, That Tribal Council Resolution
No.11,710 approved December 3, 2012 (re-appointing and extending
the terms of gaming commissioners and setting annual salaries of
$56,500), is hereby superseded and amended to the extent it is
inconsistent with the terms and directives of this resolution
and the amendments to the Gaming Ordinance enacted by this
resolution; and,

BE IT FURTHER RESOLVED, That proposed amendments to
the Gaming Ordinance regarding due process requirements for
license suspension and revocation proceedings and appeal
procedures from the decisions of the Tribal Gaming Regulatory
Authority, as set out in the Track Changes language representing
amendments to the Gaming Ordinance attached as Exhibit A to this
Resolution, are hereby approved.

CERTIFICATION

The undersigned, as Secretary-Treasurer/CEO of the
Confederated Tribes of the Warm Springs Reservation of Oregon
hereby certifies that the Tribal Council is composed of 11
members, of whom 8 constituting a quorum were present at a
meeting thereof, duly and regularly called, noticed, convened
and held this 19% day of May 2014; and the foregoing resolution
was passed by the affirmative vote of 5 members, 2 members out
of the room, the Chairman not voting; and that the said
resolution has not been rescinded or amended in any way.



(M) _ Independent Decision-Making Authority. Notwithstanding the fact that
the TGRA is an agency of tribal government, the decisions of the TGRA
regarding licensing, suitability, compliance with applicable law and other
regulatory matters shall be within the exclusive province of the TGRA;
provided, however, in the event of appeals of TGRA decisions to the
Warm Springs Court of Appeals pursuant to WSTC Sec. 260.7(9)(F) the
rulings of the Warm Springs Court of Appeals shall be final.

260.009 Repeal. To the extent that they are inconsistent with this ordinance, all prior
gaming ordinances are hereby repealed.

260.010 Service of Process. The Tribal Council designates the Chair of the TGRA as the
Agent of TGRA and the Tribe for any and all service, including but not limited to notices of
official determinations, orders or notices of violation in accordance with 25 CFR Part 519.

“4s

W100.014(a)\705576_2.doc


(5)

(6)

1)

(8)

(9)

(10)

e5))

(D) The immediate family of any gaming contractor (including any principal
thereof or closely associated independent contractor). For the purpose of
this section, immediate family members are defined as: husband, wife,
son, daughter, mother, father, brother, sister, grandfather, grandmother,
legal guardian, or other totally dependent relative of the individual;

(E) Persons who would not be eligible to receive a gaming license from the
Tribes; or

(F) Persons having any interest in or responsibility for, either directly or
indirectly, any gaming related contract with the Tribe or any having
enterprise on the Reservation.

Terms of the Office. The TGRA Commissioners shall serve for three-year terms.
The respective term for each TGRA Commissioner shall be designated in their
appointment. TGRA Commissioners shall serve until a successor is appointed
and may serve for more than one term.

Removal from Office. TGRA Commissioners may only be removed from office
before the expiration of their terms by the Tribal Council for neglect of duty,
malfeasance, misfeasance, nonfeasance, or other good cause shown, in the same
manner as members of the Tribal Council may be impeached.

Quorum. Two (2) TGRA Commissioners shall constitute a quorum of the TGRA,
provided at least one of such TGRA Commissioner shall be a tribal member.

Officers and Duties of TGRA Commissioners. The Tribal Council shall
designate from among the Commissioners of the TGRA a Chair, Vice-Chair, and
Secretary of the TGRA. The Chair shall preside over meetings of the TGRA and
the Vice-Chair shall preside in absence of the Chair. The Secretary shall record in
writing the minutes of all TGRA meetings and all official actions taken by the
TGRA.

Executive Director of the TGRA. The Tribal Council shall designate an
Executive Director of the TGRA, who shall not be a Commissioner of the TGRA.
The Executive Director shall be a full-time employee of the TGRA with
compensation established by the Tribal Council. The Executive Director shall be
responsible for carrying out the day-to-day regulatory authority functions along
with TGRA staff to ensure compliance is adhered to by the gaming operation and
its employees.

Voting. All actions of the TGRA shall be taken by majority vote. The TGRA
Chair may vote on any issue.

Meetings. TGRA Commissioners will meet two (2) times per month on regularly

scheduled days approved by the TGRA Commissioners (e.g., first Tuesday, third

Thursday). Special meetings (no more than 6 meetings annually) when necessary
21%

'W100.014(a)\705576_2.doc


(2)

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

Application Forms.

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

“In compliance with the Privacy Act of 1974, the following information is
provided: Solicitation of the information on this form is authorized by 25 U.S.C.
2701 et seq. The purpose of the requested information is to determine the
eligibility of individuals to be granted a gaming license. The information will be
used by National Indian Gaming Commission (NIGC) 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’s 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) _ Existing key employees and primary management officials shall be
notified in writing that they shall either:

(a) Complete a new application form that contains a Privacy Act
notice; or

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

(C) The following notice shall be placed on the application form for a key
employee or a primary official before that form is filled out by an
applicant.

“A false statement on any part of your 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)”

(D) The Tribe shall notify in writing existing key employees and primary
management officials that they shall either:

3s

W100.014(a)\705576_2.doc


WARM SPRINGS TRIBAL CODE

CHAPTER 260

CONFEDERATED TRIBES OF THE WARM SPRINGS RESERVATION OF OREGON
AMENDED AND RESTATED CLASS II AND CLASS III GAMING ORDINANCE

260.001
260.002
260.003
260.004
260.005
260.006
260.007
260.008
260.009
260.010

Table of Contents

Page

Purpose...
Gaming Authoriz
Ownership of Gaming
Use of Gaming Revenue
AUG: sscccesssssscssneccssssssssssnesdoavernseseanisenssusesaasssnsvenxcitsnnesecenieans
Protection of the Environment and Public Health and Safety
Licenses for Key Employees and Primary Management Official:
Tribal Gaming Regulatory Authority.
Repeal sseseesscssss
Service of Process

W220.12(b)\705576_2.doc


RESOLUTION NO. 11,889A
Page 5 of 5

mao -FF ply

y Jake O. Suppah

Secretary-Treasurer/CEO
NOTED: (_ ~~ -> =

John D. Halliday
Superintendent

Attachments: Exhibit “A”
Exhibit “B”

ce: Secretary-Treasurer/CEO
Superintendent
Administrative Services Center


(12)

(13)

shall be called by the TGRA Chair or two (2) TGRA Commissioners. Notice of
Special meetings shall be given in writing to each TGRA Commissioner, served

by first class mail for delivery at least five (5) business days prior to such Special
meeting.

Compensation for Serving as TGRA Commissioners; Reimbursement of
Expenses. TGRA Commissioners shall be compensated for serving on the TGRA
Commission at the rate set by the Tribal Council in the amount of $100 for half
day (4 hours) and $200 full day (8 hours) per meeting and for reasonable and
necessary expenses (mileage) incurred at the government rate in connection with
the performance of their official TGRA roles and duties.

TGRA Authority. The TGRA shall have the authority to:

(A) __ Inspect, examine and monitor gaming activities, including the power to
demand access to and inspect, examine, photocopy and audit all papers,
books and records respecting such gaming activities;

(B) Investigate any suspicion of wrongdoing in connection with any gaming
activity;

(C) Conduct or cause to be conducted such investigations as may be necessary
to determine in connection with any gaming activity, compliance with law
or this Ordinance or any contracts, agreement, goods, services, events,
incidents, or other matters related to gaming activities;

(D) _ Establish and collect license, investigation, and regulatory fees to cover
the costs connected therewith;

(E) Conduct background investigations regarding any person or entity in any
way connected with any gaming activity and issue licenses to, at
minimum, all qualified gaming enterprise key employee and primary
management officials under requirements at least as stringent as those
established in 25 CFR Parts 556 and 558; and grant, suspend, revoke, and
renew licenses and hear and decide matters affecting such granting,
suspension, revocation, or renewal of licenses;

(F) Hold such hearings, sit and act at such times and places, summon persons
on the reservation to attend and testify at such hearings, take such
testimony, and receive such evidence as the TGRA Commissioners deems
relevant in fulfilling their duties;

(G) Administer oaths or affirmations to witnesses appearing before the TGRA
Commissioners;

(H) Implement and administer a system, including the promulgation of
regulations, for investigating, licensing and monitoring management,

-12-

W100.014(a)\705576_2.doc


260.007 Licenses for Key Employees and Primary Management Officials. The Tribe
shall ensure that the policies and procedures set out in this section are implemented with respect
to key employees and primary management officials employed at any Class II and Class III
gaming enterprise operated on Indian lands:

(1) Definitions. For the purposes of this section, the following definitions apply:

(A)

B)

“Key employee” means:

(a)

(b)

(©)

A person who performs one or more of the following functions:
(i) Bingo caller;

(ii) Counting room supervisor;

(iii) Chief of security;

(iv) | Custodian of gaming supplies or cash;

(v) Floor manager;

(vi) Pit boss;

(vii) Dealer;

(viii) Croupier;

(ix) | Approver of credit; or

(x) Custodian of gambling devices including persons with
access to cash and accounting records within such devices;

If not otherwise included, any other person whose total cash
compensation is in excess of $50,000 per year; or

If not otherwise included, the four most highly compensated
persons in the gaming operation.

“Primary management official” means:

(a)

(b)

The person having management responsibility for a management
contract;

Any person who has authority:
(0) To hire and fire employees; or

(ii) — To set up working policy for the gaming operation; or

Qe

W100.014(a)\705576_2.doc


Z,
= %
* *
2 é
~y
"Hg ¢ we”
OM
September 26, 2014
By First Class Mail
Eugene Austin Greene, Jr., Chairman
Warm Springs Tribal Council
P.O. Box 1299
Warm Springs, Oregon 97761

RE: Warm Springs Gaming Ordinance Amendment, 11,889A
Dear Chairman Greene:

This letter responds to your request on behalf of the Confederated Tribes of the
Warm Springs Reservation of Oregon for the National Indian Gaming Commission
(NIGC) to review and approve the Tribes’ amendment to its gaming ordinance. The
amendment was adopted by the Warm Springs Tribal Council in Resolution No.
11,889A. The amendment implements changes to the Warm Springs Tribal Gaming
Regulatory Authority and updates licensing and background investigation provisions so
that they comply with 25 C.F.R. Part 556 and 25 C.F.R. Part 558.

Thank you for bringing this amendment to our attention and for providing us with a
copy. The amendment is approved as it is consistent with the requirements of the Indian
Gaming Regulatory Act and the NIGC’s regulations. If you have any questions or require
anything further, please contact Staff Attorney Miles Janssen at 202-632-7003.

poe VM :
de | a

odev Chaudhuri
NIGC Chairman (Acting)
l

cc: Howard Amett, Warm Springs Tribal Attorney
Jake Suppah, Secretary-Treasurer/CEO

NATIONAL HEADQUARTERS 90 K St. NE, Suite 200, Weshington, DC 20002 Tel: 202.632.7003 Fox: 202.632.7066 www.niec.oov
REGIONAL OFFICES Portlond, OR; Socramento, CA; Phoenix, AZ; St. Poul, MN; Tulse OK


(4)

3)

©)

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

(0) For each criminal charge (excluding minor traffic charges);
whether or not there is a conviction, if such criminal charge is
within 10 years of the date of the application and is not otherwise
listed pursuant to paragraph (3)(A)(h) or (3)(A)(i) of the section,
the criminal charge, the name and address of the court involved
and the date and disposition;

(k) The name and address of any licensing or regulatory agency with
which the person has filed an application for an occupational
license or permit, whether or not such license or permit was
granted;

() A current photograph;
(m) Any other information the Tribe deems relevant; and

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

If, in the course of a background investigation, the Tribe discovers that the
applicant has a notice of results on file with the NIGC from a prior
investigation and the Tribe has access to the earlier investigative materials
(either through the NIGC or the previous tribal investigative body) the
Tribe may rely on these materials and update the investigation and
investigative report under 25 C.F.R. Sec. 556.6(b)(1).

In conducting a background investigation, the Tribe or its agents shall
promise to keep confidential the identity of each person interviewed in the
course of the investigation.

Tribal Eligibility determination. The Tribe shall conduct an investigation
sufficient to make an eligibility determination.

(A)

To make a finding concerning the eligibility of a key employee or primary
management official for granting of a gaming license, an authorized tribal
official shall review a person’s:

(a) Prior activities;

(b) Criminal record, if any; and

(c) Reputation, habits and associations.

Be

W100.014(a)\705576_2.doc


(3)

(a)

(b)

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

Sign a statement that contains the notice regarding false
statements.

Background Investigations. The Tribe shall perform a background investigation
for each primary management official and for each key employee of a gaming

operation.

(A) _ The Tribe shall request from each primary management official and from
each key employee all of the following information:

(a)

(b)

(©)

(d@)
(e)

@®

(g)

(h)

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 years: Business and
employment positions held, ownership interests in those
businesses, business and residence addresses, and driver’s license
numbers;

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

Current business and residence telephone numbers;

A description of any existing and previous business relationships
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;

W100.014(a)\705576_2.doc


WARM SPRINGS TRIBAL CODE
CHAPTER 260'

CONFEDERATED TRIBES OF THE WARM SPRINGS RESERVATION OF OREGON
AMENDED AND RESTATED CLASS II AND CLASS III GAMING ORDINANCE

260.001 Purpose. The Tribal Council, pursuant to the authority contained in Article V,
Section 1(i) and (1) of the Constitution and Bylaws, as amended, of the Tribe, hereby enacts this
Ordinance in order to set the terms for Class II and Class III gaming operations on tribal lands.

260.002 Gaming Authorized. Class II gaming and Class III gaming as defined in the
Indian Gaming Regulatory Act, P.L. 100-447, 25 U.S.C. §2703 (“IGRA”), and by the regulations
promulgated by the National Indian Gaming Commission at 25 C.F.R. §502.3 (as published in
the Federal Register at 57 FR 12382-12393, April 9, 1992) is hereby authorized.

260.003 Ownership of Gaming. The Tribe shall have the sole propriety interest in and
responsibility for the conduct of any gaming operation authorized by this ordinance.

260.004 Use of Gaming Revenue. Net revenues from Class II and Class III gaming shall
be used only for the following purposes: to fund tribal government operations and programs;
provide for the general welfare of the Tribe and its members; promote tribal economic
development; donate to charitable organizations; or help fund operations of local government
agencies.

qd) 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).

260.005 Audit.

(65) The Tribe shall cause to be conducted not less often than annually an independent
audit of gaming operations and shall submit the resulting audit reports to the
National Indian Gaming Commission.

(2) All gaming related contracts that result in the purchase of supplies, services, or
concessions in excess of $25,000.00 annually, except contracts for professional
legal and accounting services, shall be specially included within the scope of the
audit that is described in subsection 260.005(1) above.

260.006 Protection of the Environment and Public Health and Safety. Class II and
Class III gaming facilities shall be constructed, maintained, and operated in a manner that
adequately protects the environment and the public health and safety.

' WSTC Chapter 260 was amended and restated in its entirety by Tribal Council Resolution 11,889(A), adopted on
May 19, 2014 and certified on June 30, 2014.

:

W100.014(a)\705576_2.doce


RESOLUTION NO. _ 11,889A
Page 3 of 5

require amendments to the Gaming Ordinance through adoption of
the Track Changes language set out in Gaming Ordinance attached
as Exhibit A to this Resolution; and,

BE IT FURTHER RESOLVED, By the Tribal Council that the
WSGC, the WSGC Executive Director, and the WSGC staff are hereby
directed to implement the following recommendations in the Many
Wounds Report adopted by Tribal Council motion on March 17,
2014, and attached as Exhibit B to this Resolution, as well as
the recommendation of the Egghart Report, which are hereby
adopted by this Resolution:

= Change’ the name from “Warm Springs Gaming
Commission” to “Warm Springs Tribal Gaming Regulatory
Authority.”

2. Update and revise the job descriptions of the
following positions as recommended in the Many Wounds Report:
Gaming Commissioner, Executive Director, Inspector, Internal
Audit Supervisor, Internal Auditor, Financial Inspector,
Surveillance Manager, Surveillance Supervisor, and Surveillance
Observer.

3. Update and revise the WSGC Organizational Chart as
recommended in the Many Wounds Report.

4. Revise and submit to Tribal Council a new 2014 WSGC
budget reflecting the changes implemented by this Resolution,
the amendments to the Gaming Ordinance adopted by this
Resolution, and include justifications and explanations
recommended in the Many Wounds Report.

5. Revise and submit to Tribal Council a new 2014
Surveillance Budget including the justifications and
explanations recommended in the Many Wounds Report.

6. Revise and update the WSGC Regulations, Policies
and Procedures as recommended in the Many Wounds Report.; and,


(9)

(@)

(E)

If the Tribe does not license an applicant---
(a) The Tribe shall notify the NIGC; and

(b) Shall forward copies of its eligibility determination and notice of
results, under 25 C.F.R. Section 566.6(b)(2) to NIGC for inclusion
the Indian Gaming Individuals Record System.

The Tribe shall retain the following for inspection by the Chair of the
NIGC or his or her designee for no less than three years from the date of
termination of employment:

(a) Applications for licensing:

(b) Investigative reports: and

(c) Eligibility determinations

Suspension and Revocation of Gaming Licenses: Notice of Information
Impacting Eligibility and Licensee’s Right to a Hearing; Appeals.

(A)

@)

©

@)

(©)

If, after the issuance of a gaming license, the NIGC receives reliable
information indicating that a key employee or a primary management
official is not eligible for employment under 25 C.F.R. Section 556.5, the
NIGC shall notify the Tribe of the information.

Upon receipt of such notification under paragraph (A) from NIGC, or
upon receipt of such information from another reliable source that a key
employee or a primary management official is not eligible for employment
under 25 C.F.R. Section 556.5, the Tribe shall immediately suspend the
license and shall provide the licensee with written notice of suspension
and proposed revocation.

The Tribe shall notify the licensee of a time and a place for a hearing on
the proposed revocation of a license.

A right to a hearing under this section shall vest only upon receipt of a
license granted under the Gaming Ordinance approved by the Chair of the
NIGC.

After a revocation hearing, of which the licensee has been afforded due
process and given at least ten (10) days written notice, which notice fairly
and fully informs them of the grounds for their license suspension and
proposed license revocation, and at which hearing they shall have the
opportunity to present relevant oral and written evidence, the Tribe shall
decide to revoke or to reinstate a gaming license. The Tribe shall weigh
the evidence, testimony and exhibits and make its decision on the basis of

-8-

W100.014(a)\705576_2.doc


(10)

(b) The Tribal Gaming Regulatory Authority’s decision is
unsupported by substantial evidence or unwarranted by the facts
presented, either orally or substantively.

The rulings of the Warm Springs Court of Appeals on matter brought pursuant to
this Gaming Ordinance shall be final.

Submission of Notices. All notices under this section shall be provided to the

NIGC through the appropriate Regional Office.

260.008

qd)

2)

G)

(4)

Tribal Gaming Regulatory Authority.

Establishment of Tribal Gaming Regulatory Authority. There is hereby
established by the Tribe a Tribal Gaming Regulatory Authority to be known as
the Warm Springs Tribal Gaming Regulatory Authority (hereafter “The TGRA”).
The TGRA shall be comprised of three (3) persons, who shall be designated as
“TGRA Commissioners.” TGRA Commissioners may be members or non-
members of the Tribe, provided that not less than one TGRA Commissioner shall
be a tribal member.

Qualifications and Licensing of TGRA Commissioners. Members of the
TGRA shall be chosen from individuals who have expertise and knowledge in the
fields of Indian gaming, accounting, finance, law enforcement or such other fields
and knowledge that would, in the opinion of the Tribal Council, be of special
benefit to service on the TGRA Commission.

Selection of TGRA Commissioners. The Tribal Council shall by motion appoint
a five-member TGRA Commissioner Selection Committee (hereafter “The
Selection Committee”) composed of two members of the Tribal Council, the
Secretary-Treasurer of the Tribal Council and two members at large. Members of
the Selection Committee may be either members or non-members of the Tribe.
The Selection Committee shall establish procedures for notice of vacancies on the
TGRA, recruitment of qualified applicants, interview, and selection processes.
The Selection Committee shall submit their nominee(s) for any vacancy on the
TGRA to the Tribal Council for confirmation and appointment by Tribal Council
resolution.

Disqualifications for Office. The following persons may not serve as TGRA
Commissioners:

(A) Members of the Tribal Council;
(B) Members of the board of directors of any tribal gaming enterprise;

(C) Employees of any tribal gaming enterprise;

-10-

W100.014(a)\705576_2.doc


RESOLUTION NO. 11,889A
Page 2 of 5

meetings per year and six special meetings per year with stipend
of $100 for half day (4 hours) and $200 full day (8 hours)
amending the current Resolution that quotes the salary rates to
new stipend rate; and,

WHEREAS, On October 26, 2012, the Tribal Council
received a report from Egghart CPA’s (“Egghart Report”)
regarding the operations of the Warm Springs Gaming Commission,
which report contained specific recommendations for improving
the efficiency and reducing the cost of the WSGC: and,

WHEREAS, Many of the Egghart Report recommendations
are the same as those of the Many Wounds Report, which Tribal
Council believes further justifies approval and implementation
of the Many Wounds and Egghart reports recommendations: and,

WEREAS, Both the Many Wounds Report and the Egghart
Report recommend that the Gaming Ordinance be amended and
updated to comply with new National Indian Gaming Commission
regulations adopted on February 25, 2013, regarding licensing
and background investigations, and Tribal Council wishes to
adopt and implement these recommendations of the Many Wounds and
Egghart reports; and,

WHEREAS, The Egghart Report also recommended a change
in Section 10.A.3 of the 2011 Amended Warm Springs/Oregon Class
III Gaming Compact (“Compact”) to remove language prohibiting
WSGC surveillance operators from observing the drop process,
which is a recommendation the Tribal Council now wishes to
adopt;

WHEREAS, Tribal Council has considered other proposed
amendments to the Gaming Ordinance regarding due process
requirements for license suspension and revocation proceedings,
and appeal procedures from the decisions of the Tribal Gaming
Regulatory Authority, and Tribal Council considers these
proposed amendments to be appropriate; now, therefore,

BE IT RESOLVED, By the (26°) Tribal Council of the
Confederated Tribes of the Warm Springs Reservation of Oregon,
pursuant to Article v, Section 1 (l)and (u), of the Tribal
Constitution and By-Laws, that the Tribal Council hereby adopts
and implements the recommendations of the Many Wounds Report,
previously approved by Tribal Council motion on March 17, 2014,
as well as the recommendations of the Egghart Report, that


RESOLUTION NO. 11, 889A

WHEREAS, On March 17, 2014, Tribal Council received a
written and oral report from Ken Many Wounds of Hunkpapa
Consulting (“Many Wounds Report”) regarding the Warm Springs
Gaming Commission (“WSGC”); and,

WHEREAS, The Many Wounds Report contained several
specific recommendations for how to improve the operations of
the Warm Springs Gaming Commission while significantly reducing
the expense of WSGC’s operations; and,

WHEREAS, At the conclusion of the Ken Many Wounds
March 17, 2014, report, Tribal Council voted by motion to
approve and implement the recommendations set out in the Many
Wounds Report; and,

WHEREAS, Implementation of some of the Many Wounds
Report’s recommendations require modifications to the tribal
Gaming Ordinance currently in effect (WSTC Chapter 260,
Ordinance No. 76, last amended by Resolution No. 10,536 on July
26, 2005, and approved by the National Indian Gaming Commission
on December 27, 2005) (“Gaming Ordinance”), while other
recommendations contained in the Many Wounds Report can be
implemented by Tribal Council directives to WSGC commissioners,
the Executive Director and staff; and,

WHEREAS, Tribal Council Resolution No. 11, 709 adopted
on December 4, 2012, amended the Gaming Ordinance but the
amendments were never effective because the amended ordinance
was never approved by the National Indian Gaming Commission as
required by the terms of Resolution No. 11,709 and by the Indian
Gaming Regulatory Act (25 U.S.C. Section 2710(e)), accordingly
Resolution No. 11,709 should be rescinded; and,

WHEREAS, Tribal Council Resolution No. 11,710
adopted on December Si 2012, reappointed two gaming
commissioners whose terms had expired and extended the existing
term of a third gaming commissioner, as well as set the
commissioners compensation at $56,500 annually, based on the
terms of the amended gaming ordinance approved by Tribal Council
Resolution No. 11,709, which actions are in part inconsistent
with the Many Wounds Report recommendations and should be
modified as follows: Redo Job descriptions for Executive
Director for Gaming Regulatory, update job title, and job
descriptions for the Regulatory Authority. Rename the
Commissioners to Tribal Gaming Regulatory Authority, with 24


(6)

(B)

If the authorized tribal official, in applying the standards adopted in this
Gaming Ordinance, determines that license of the person poses a threat to
the public interest or to the effective regulation of gaming, or creates or
enhances the dangers of unsuitable, unfair, or illegal practices and
methods and activities in the conduct of gaming, an authorizing tribal
official shall not license that person in a key employee or primary
management official position.

Report to the National Indian Gaming Commission.

(A)

(B)

When the Tribe employs a key employee or primary management official,
the Tribe shall maintain a complete application file containing the
information listed under 25 C.F.R. Section 556.4(a)(1) through (14).

Before issuing a license to a primary management official or to a key
employee, the Tribe shall:

(a) Create and maintain an investigative report on each background
investigation. An investigative report shall include all of the
following:

@ Steps taken in conducting a background investigation:
(ii) Results obtained;

(iii) | Conclusions reached: and

(iv) The basis for those conclusions.

(b) Submit a notice of the results of the applicant’s background
investigation to the NIGC no later than sixty (60) days after the
applicant begins work. The notice of results shall contain:

@ Applicant’s name, date of birth, and social security number;

(ii) Date on which the applicant began or will begin work as a
key employee or primary management official:

(iii) | A summary of the information presented in the
investigative report, which shall at a minimum include a
listing of:

A. Licenses that have previously been denied:

B. Gaming licenses that have been revoked, even if
subsequently reinstated:

W100.014(a)\705576_2.doc


®)

a preponderance of the evidence and credibility of the evidence and
witnesses. The Tribe’s decision shall be issued in writing within thirty
(30) days of the hearing, and such decision shall include a statement of
facts and a statement of legal authority on which the decision is based.
Decisions shall be delivered to the party for whom the hearing was held
and shall include information and instructions for appealing the decisions
pursuant to WSTC 260.007(9)(F). The Tribe shall notify the NIGC of its
decision within 45 days of receiving notification from the NIGC pursuant
to paragraph (A) of this sub-section (9).

Appeals from the Tribal Gaming Regulatory Authority Decisions

The Warm Springs Court of Appeals (“Court of Appeals”), established
pursuant to WSTC Chapter 203, shall act as the final reviewing body for a
decision of the Tribal Gaming Regulatory Authority to deny a license or to
revoke or suspend the license of any licensee.

Any appeal of the Tribal Gaming Regulatory Authority decision to the
Warm Springs Court of Appeals must be filed within thirty (30) days after
receiving notice of the decision of the Tribal Gaming Regulatory
Authority, unless a different time frame is otherwise specified or required
by the Compact, this Ordinance, or applicable regulations. Upon the filing
of a Notice of Appeal, pursuant to the Rules of the Court of Appeals, the
Tribal Gaming Regulatory Authority shall prepare and submit to the Court
of Appeals within fifteen (15) days the Administrative Record f the Tribal
Gaming Regulatory Authority’s denial, revocation or suspension
proceedings. Both parties to the appeal, the person appealing the decision
of the Tribal Gaming Regulatory Authority and the respondent Tribal
Gaming Regulatory Authority, shall have the opportunity to submit
written arguments on the issues presented by the appeal and, in the
discretion of the Court of Appeals, participate in oral argument before the
Court of Appeals.

The Court of Appeals shall review the Tribal Gaming Regulatory
Authority’s decisions de novo on questions of law and for clear error on
questions of fact. The Court of Appeals is authorized to reverse a decision
made by the Tribal Taming Regulatory Authority only where the Court of
Appeals finds the Tribal Gaming Regulatory Authority’s decision was
unreasonable, arbitrary, capricious, an abuse of discretion, or otherwise
not in accordance with applicable Tribal, federal or state laws;

(a) The Tribal Gaming Regulatory Authority exceeded its
jurisdiction, authority, or limitations, under applicable tribal laws;

-9-

'W100.014(a)\705576_2.doc