accounting services, shall be specifically included within the scope of the audit that is described
in Subsection A above.

VU. Protection of the Environment and Public Health and Safety

Class II and Class III gaming facilities on the Tule River Indian Reservation shall be
constructed, maintained and operated in a manner that adequately protects the environment and
the public health and safety, with the Tule River Tribal Council having primary responsibility for
assessing the environmental impact of all construction and gaming operations, and taking such
measures as it determines may be reasonably necessary to mitigate any adverse environmental
impacts as it may identify.

VIII. Licenses for Key Employees and Primary Management Officials

The Tule River Tribal Council or its designated gaming regulatory agency shall ensure
that the policies and procedures set out in this section are implemented with respect to key
employees and primary management officials employed at any class II and/or Class II gaming
enterprise operated on Indian lands within the boundaries of the Tule River Indian Reservation:

A. Definitions
For the purposes of this section, the following definitions apply:

1. Key employee means

(@)_ A person who performs one or more of the following functions:
(1) Bingo Caller;
(2) Counting Room Supervisor
(3) Chief of Security
(4) Custodian of gaming supplies or cash;
(5) Floor Manager

(6) Pit Boss
(7) Dealer
(8) Croupier

(9) Approver of Credit; or
(10) Custodian of gambling devices including persons with
access to cash and accounting records within such devices;

(b) — Ifnot 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.


3. Ifa license is not issued to an applicant, the Tule River Tribal Council or
its designated gaming regulatory agency:

a. Shall notify the National Indian Gaming Commission; and

b. May forward copies of its eligibility determination and
investigative report (if any) to the National Indian Gaming
Commission for inclusion in the Indian Gaming Individuals
Records System.

4. With respect to key employees and primary management officials, the
Tule River Tribal Council or its designated gaming regulatory agency shall retain applications
for employment and reports (if any) of background investigations for inspection by the Chairman
of the National Indian Gaming Commission or his or her designee for no less than three (3) years
from the date of termination or denial of employment.

G. Granting a Gaming License

1. If, within a thirty (30) day period after the National Indian Gaming
Commission receives a report, the National Indian Gaming Commission notifies the Tule River
Tribal Council or its designated gaming regulatory agency that it has no objection to the issuance
of a license pursuant to a license application filed by a key employee or a primary management
official for whom the Tule River Tribal Council or its designated gaming regulatory agency has
provided an application and investigative report to the National Indian Gaming Commission, the
Tule River Tribal Council or its designated gaming regulatory agency may issue a license to such
applicant.

2. The Tule River Tribal Council or its designated gaming regulatory agency
shall respond to a request for additional information from the Chairman of the National Indian
Gaming Commission concerning a key employee or a primary management official who is the
subject ofa report. Such a request shall suspend the 30-day period under Subsection G.1. of this
Section until the Chairman of the National Indian Gaming Commission receives the additional
information.

3. If, within the thirty (30) day period described above, the National Indian
Gaming Commission provides the Tule River Tribal Council with a statement itemizing its
objection(s) to the issuance of a license to a key employee or to a primary management official
for whom the Tule River Tribal Council or its designated gaming regulatory agency has provided
an application and investigative report to the National Indian Gaming Commission, the Tule
River Tribal Council or its designated gaming regulatory agency shall reconsider the application,
taking into account the objection(s) itemized by the National Indian Gaming Commission. The
Tule River Tribal Council shall make the final decision whether to issue a license to such
applicant.


3. 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 application may be grounds
for not hiring you, or for firing you after you begin work. Also, you may
be punished by fine or imprisonment.

(18 U.S.C. §1001).

4 The Tule River Tribal Council or its designated gaming regulatory agency
shall notify in writing existing key employees and primary management officials that they shall
either:

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

b. Sign a statement that contains the notice regarding false
statements.

Cc. Background Investigations

1. The Tule River Tribal Council or its designated gaming regulatory agency
shall request from each primary management official and from each key employee all of the
following information:

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

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

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

d. Current business and residence telephone numbers;

e. A description of any existing and previous business relationships
with the Tule River Tribe or any other Indian Tribe, including ownership
interests in those businesses;

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


2. Primary management official means

(a) _ The person having management responsibility for a management
contract;
(b) —_ Any person who has authority:

(1) To hire and fire employees; or
(2) _ To set up working policy for the gaming operation; or

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

B. Application Forms

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

In compliance with the Privacy Act of 1974, the following information is
provided: Solicitation of the information on this form is authorized by 25 U.S.C.
§2701 et seq. The purpose of the requested information is to determine the
eligibility of individuals to be employed in a gaming operation. The information
will be used by National Indian Gaming Commission members and staff who
have need for the information in the performance of their official duties. The
information may be disclosed to appropriate Federal, Tule River Tribal Council,
State, local, or foreign law enforcement and regulatory agencies when relevant to
civil, criminal or regulatory investigations or prosecutions, or when pursuant to a
requirement by a tribe or the National Indian Gaming Commission in connection
with the hiring or firing of an employee, the issuance or revocation of a gaming
license, or investigations of activities while associated with a tribe or a gaming
operation. Failure to consent to the disclosures indicated in this notice will result
in the tribe being unable to hire you in a primary management official or key
employee position.

The disclosure of your Social Security Number (SSN) is voluntary. However,

failure to supply a SSN may result in errors in processing your application.

2. Existing key employees and primary management officials shall be
notified in writing that they shall either:

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

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


management official for employment in a gaming operation. If the Tule River Tribal Council or
its designated gaming regulatory agency determines that employment of the person poses a threat
to the public interest or to the effective regulation of gaming, or creates or enhances dangers of
unsuitable, unfair, or illegal practices and methods and activities in the conduct of gaming, the
gaming operation shall not employ that person in a key employee or primary management
official position.

E. Procedures for Forwarding Applications and Reports for Key Employees and
Primary Management Officials to the National Indian Gaming Commission

1. When a key employee or primary management official begins work at a
gaming operation authorized by this Ordinance, the Tule River Tribal Council or
its designated gaming regulatory agency shall forward to the National Indian
Gaming Commission a completed application for employment and conduct the
background investigation and make the determination referred to in Subsection D
of this Section.

2. The Tule River Tribal Council or its designated gaming regulatory agency
shall forward the report referred to in Subsection F of this Section to the National
Indian Gaming Commission within 60 days after an employee begins work or
within 60 days of the approval of this Ordinance by the Chairman of the National
Indian Gaming Commission.

3. The gaming operation shall not employ as a key employee or primary
management official a person who does not have a license after 90 days.

F. Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in Subsection E of this Section, the Tule
River Tribal Council or its designated gaming regulatory agency shall prepare and forward to the
National Indian Gaming Commission an investigative report on each background investigation.
An investigative report shall include all of the following:
a. Steps taken in conducting the background investigation;
b. Results obtained;
c. Conclusions reached; and
d. The bases for those conclusions.
2. The Tule River Tribal Council or its designated gaming regulatory agency

shall submit, with the report, a copy of the eligibility determination made under Subsection D of
this Section.


7 @ NATIONAL

© INDIAN

- | GAMING

“ “COMMISSION

DEC | (999

Honorable Darrell Vera
Chairman, Tule River Tribe
P.O. Box 589

Porterville, California 93258

Dear Chairman Vera:

This letter responds to your request to review and approve the Tule River Tribe's (Tribe)
gaming ordinance amending Resolution No. 65-94 submitted on October 7, 1999.
The amendment to the ordinance was adopted by the Tribe on September 20, 1999,
and originally approved by the Chairman of the National Indian Gaming Commission
(NIGC) on May 8, 1995. This letter constitutes approval under the Indian Gaming
Regulatory Act (GRA).

Thank you for submitting the amendment to the tribal gaming ordinance of the
Tule River Tribe. The NIGC staff and I continue to look forward to working with you
and the Community in implementing the IGRA. If you have questions or require
further assistance, please contact Ms. Frances Fragua at 202/632-7003.

Sincerely yours,

Medi tha!

Montie R. Deer
Chairman

1441 L STREET, NW. STHFLOOR WASHINGTON, D.C. 20005 TEL: 202-632-7003 __ FAX: 202-632-7066



C. There shall be a Chairperson, Vice-Chairperson, and Secretary/Treasurer of the Tule
River Tribe Gaming Commission, elected from it’s membership, who shall be appointed for a
term of one year by simple majority vote of Tule River Tribe Gaming Commission.

D. The Tule River Tribe Gaming Commission shall be authorized and hereby is directed
to promulgate, subject to review and approval by the Tribal Council, detailed and comprehensive
regulations for the implementation and enforcement of this Ordinance. Said regulations shall
describe and establish the rules for each specific Class II and Class III gaming activity to be
authorized to be conducted on the Tule River Indian Reservation, and no form of such gaming
may be conducted on the Tule River Indian Reservation without prior approval by the Tule River
Tribe Gaming Commission. Pending approval of the Tule River Tribe Gaming Commission's
regulations by the Tule River Tribal Council, any interim regulations that the Tule River Tribal
Council may adopt shall govern gaming on the Tule River Indian Reservation.

E. The Tule River Tribe Gaming Commission, independent of the Tribal Council, shall
have full authority to monitor compliance with this Ordinance and its Regulations, and to
investigate and act to prevent any violation(s) thereof.

F. Subject to the approval of the Tribal Council and the appropriation of funds therefore,
the Tule River Tribe Gaming Commission shall be authorized to employ such staff as reasonably
may be required to fulfill its responsibilities under this Ordinance. Compensation of
Commission employees shall be limited to that which is comparable to compensation paid to
persons performing similar duties in other governmental gaming regulatory agencies.

G. Subject to the approval of the Tribal Council, the Tule River Tribe Gaming
Commission hereby is authorized to establish and impose upon gaming facilities, permittees,
applicants and licensees such application, permit and license fees as may be necessary to fully
reimburse the Tule River Tribal Council for its actual costs of operating the Tule River Tribe
Gaming Commission, enforcing this Ordinance and Tule River Tribe Gaming Commission
regulations, processing of licensing and permit applications, and otherwise fulfilling its
regulatory responsibilities under IGRA. All such fees shall be collected by the Tule River Tribe
Gaming Commission and hereby are continuously appropriated solely for the purposes
enumerated in this Subsection.

H. Failure to timely pay any gaming-related fee imposed by the Tribal Council or the
Tule River Tribe Gaming Commission, or to comply with any Commission regulation or order,
or any other violation of this Ordinance or the terms of any Class III gaming compact authorizing
and regulating gaming on the Tule River Indian Reservation, shall be grounds for suspension or
revocation of any license or permit issued pursuant to this Ordinance, exclusion of any non-
member of the Tule River Tribe from the Tule River Indian Reservation, and imposition of such
other sanctions as the Tule River Tribe Gaming Commission may deem appropriate.

iL


1. If, after the issuance of a gaming license, the Tule River Tribal Council or
its designated gaming regulatory agency receives from the National Indian Gaming Commission
reliable information indicating that a key employee or a primary management official is not
eligible for employment under Subsection D above, the Tule River Tribal Council or its
designated gaming regulatory agency shall suspend such license and shall notify in writing the
licensee of the suspension and the proposed revocation.

2. The Tule River Tribal Council or its designated gaming regulatory agency
shall notify the licensee of a time and a place for a hearing on the proposed revocation of a
license.

3. After a revocation hearing, the Tule River Tribal Council or its designated
gaming regulatory agency shall decide whether to revoke or to reinstate a gaming license. The
Tule River Tribal Council shall notify the National Indian Gaming Commission of its decision.

IX. Licensing of Gaming Places, Facilities and Locations

A separate license shall be required for each place, facility, or location on Indian lands
where Class II and/or Class III gaming is to be conducted on the Tule River Indian Reservation.

X. Creation of Tule River Tribe Gaming Commission

A. There is hereby created the Tule River Tribe Gaming Commission, which shall
consist of five persons who would themselves qualify for licensing under this Ordinance.
Who shall serve a term of two years. The Tribal Council shall determine and authorize the
compensation to be paid to members of the Tule River Tribe Gaming Commission based upon
the Tribal Council's determination of the time required to be expended upon Commission duties
and the qualifications of the appointed Commissioners.

B. The members of the Tule River Tribe Gaming Commission shall be appointed by the
Tule River Tribal Council at such time as the Tribal Council determines that the best interests of
the Tribe require that the Gaming Commission be activated, and said appointees shall not be
removed during their terms of office except for misconduct, neglect of duties or other acts that
would render such persons unqualified for licensure hereunder. An affirmative vote of a simple
majority of the Tule River Tribal Council, taken in an open meeting after a duly-noticed hearing
at which the member charged with misconduct shall have the right to hear and present evidence
concerning his/her removal, shall be required to remove a member of the Commission. At the
request of the member whose removal is at issue, the hearing may be held in executive session.
The Tule River Tribal Council also may elect to receive in executive session any evidence public
disclosure of which might compromise any on-going law-enforcement investigation, or which
might jeopardize any privilege or immunity possessed by the Tule River Tribal Council.

10


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

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

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

j. For each criminal charge (excluding minor traffic charges),
whether or not there is a conviction, if such criminal charge is within ten
years of the date of the application and is not otherwise listed pursuant to
paragraph (1)(h) or (1)(i) of this Subsection, the criminal charge, the name
and address of the court involved and the date and disposition;

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

L A current photograph;

m. Any other information the Tule River Tribal Council may deem
relevant under the circumstances; and

n. Fingerprints consistent with procedures adopted by the Tule River
Tribal Council or its designated gaming regulatory agency in accordance
with 25 C.F.R. §522.2(h).

2. The Tule River Tribal Council or its designated gaming regulatory agency
shall conduct an investigation sufficient to make a determination under Subsection D. below. In
conducting a background investigation, the Tule River Tribal Council or its agent(s) shall
promise to keep confidential the identity of each person interviewed in the course of the
investigation.

D. Eligibility Determination
The Tule River Tribal Council or its designated gaming regulatory agency shall

review a applicant's prior activities, criminal record, if any, and reputation, habits and
associations to make a finding concerning the eligibility of a key employee or primary


A. Class II gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-447, 25
U.S.C. Section 2703(7)(A) ("IGRA") and by regulations lawfully promulgated by the National
Indian Gaming Commission ("NIGC"), that now or hereafter may be in effect, is hereby
authorized.

B. Class III gaming as defined in IGRA, 25 U.S.C. Section 2703(8) and by regulations
promulgated by the NIGC, that now or hereafter may be in effect, is hereby authorized, provided
such gaming is also authorized by and consistent with a Tribal-State Compact that has been
approved by the Secretary of the Interior or federal law.

IV. Ownership of Gaming Facilities and/or Enterprises

The Tule River Tribe of the Tule River Indian Reservation shall have the sole proprietary
interest in and responsibility for the conduct of any gaming facilities and/or enterprise(s)
authorized by this ordinance.

Vv. Use of Gaming Revenue

A. Except as specifically authorized pursuant to Subsection B of this Section, net
revenues from Class IT and Class II gaming on the Tule River Indian Reservation shall be used
only for the following purposes:

1) to fund Tule River Indian Reservation Tribal government operations and
programs;

2) provide for the general welfare of the Tule River Tribe of the Tule River Indian
Reservation and its members;

3) promote Tule River Indian Reservation economic development;

4) donate to charitable organizations; or

5) help fund operations of local government agencies.

B. Ifthe Tule River Tribal Council elects to make per capita payments to Tule River
Tribe members, it shall authorize such payments only in conformity with a plan submitted to and
approved by the Secretary of the Interior pursuant to 25 U.S.C. §2710(b)(3).

VI. Audit

A. The Tule River Tribal Council shall cause to be conducted at least annually an
independent audit of all gaming operations and shall submit the resulting audit teports to the
National Indian Gaming Commission, and to such other agencies as may be required by the
terms and conditions of any Class III compact or other document authorizing Class III gaming on
the Tule River Indian Reservation.

B. 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


IL Purpose

The Tule River Tribe of the Tule River Indian Reservation, as the beneficial owner of the
Tule River Indian Reservation, and acting pursuant to its Constitution in the exercise of its
inherent sovereign power to enact ordinances and otherwise safeguard and provide for the health,
safety and welfare of the Tule River Indian Reservation and the members of the Tule River
Tribe, hereby ordains and establishes this Ordinance for the purpose of authorizing and
comprehensively and preemptively regulating the terms and conditions under which Class II and
Class III gaming may be conducted within the boundaries of the Tule River Indian Reservation.

I. Definitions

A "Tule River Tribal Council" or "Tribal Council" means the elected governing
body of the Tule River Tribe as established and defined by the Tule River Tribe's Constitution.

B. "Gaming" or "gambling" means the offering of any games authorized by the Tule
River Tribe Gaming Ordinance, except card games played in private homes in which no person
makes money for operating the game other than as a player, and traditional Indian games as
defined in the Tule River Tribe Gaming Ordinance.

c. "Gaming operation" means each economic entity that operates games, receives the
revenues, issues the prizes, and pays the expenses of the games.

D. "License" means a written approval of the Tule River Tribal Council authorizing a
specific individual to engage in certain gaming activities which may also require approval from
the federal government.

E. "Permit" means a written approval of the Tule River Tribal Council authorizing a
specific individual to engage in certain gaming activities that do not Tequire a separate approval
from the federal government.

F. "Employee" has the same meaning as the term is used by the United States
Internal Revenue Service. "Key employee" has the meaning defined herein.

G. "National Indian Gaming Commission" or "NIGC" means the federal gaming

regulatory body created by the Indian Gaming Regulatory Act (Public Law 100-497, 25 U.S.C.
§2701 et seq.), and as that Act may hereafter be amended. °

I. Gaming Authorized


oe,
TULERIVERTRIBE 4,

OF THE
TULE RIVER INDIAN RESERVATION

GAMING ORDINANCE

Revised September 20, 1999



I. Any person or entity subject to any sanction or penalty by the Tule River Tribe Gaming
Commission shall have the right to appeal such sanction or penalty to the Tule River Tribal
Council in accordance with such rules and regulations as may be promulgated by the Tribal
Council for that purpose. The decision of the Tribal Council on any appeal shall be final and not
otherwise reviewable.

J. The Tule River Tribe Gaming Commission is delegated by Tribal Council to: conduct or
oversee necessary personal background and criminal history investigations of license and permit
applicants; approve and deny applications for gaming licenses and permits; issue gaming licenses
and permits; restrict, suspend, or revoke licenses and permits or impose penalties or other
sanctions established by these regulations against the holder of a license or permit; conduct
hearings or other inquiries to consider an applicant's request for a waiver of permit standards;
and perform other Tribal Council duties as the Tribal Council may decide. The Tule River Tribe
Gaming Commission will not contract with the State of California or any other third party,
without the prior approval of the Tribal Council.

K. The Gaming Commission shall have authority, among other things, unrestricted access to any
area of the gaming operation, including the books and records of the operation, in order to carry
out the regulatory duties.

XI. Amendments.

The Tule River Tribal Council is hereby delegated the authority to amend this Ordinance
in any manner deemed appropriate to protect what the Tule River Tribal Council determines to
be the best interests of the Tule River Tribe; provided, that the Tule River Tribal Council shall
have no authority to enact any amendment to this Ordinance that is less restrictive than the
original terms of this Ordinance, or that would constitute a violation of federal law or would be
inconsistent with the terms of an approved Tribal-State Class III compact that is in effect.

XI Severability.

The provisions of this Ordinance are severable. If any part or provision hereof is held
void by tribal or federal court or federal agency, the decisions of the court or agency so holding
shall not affect or inipair any remaining provision of the Ordinance.

XIV. Repeal
To the extent that they are inconsistent with this ordinance, all gaming ordinances

previously enacted or amended by the Tule River Tribe General Council or Tribal Council are
repealed.

12