TULE RIVER TRIBAL COUNCIL

TIJLE RIVER INDIAN RESERVATION

The Fiik River ]~ibnl (:o~uicil approvui~)

Tu~e River tribal Gaming

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BE RESOLVED BY TUE COUNCIL OF THE TULE RIVER INDIAN TRiBE:

WHEREAS, the Tu!e Rner Tribe js governed under a (oitst~ttition ar~c1 Bylaws duly

adopted and approved by tile Secretaty olthe Inlenor on January 1 S,193(: and

WHEREAS, Article VI. Section 1(a) of the Tribal Constitution authorizes the governing

body to enter mb negotiations with federal. state or local agencies on behalf of the Tnbe:

and

WI-WREAS. that in order to ensure compliance with the National Indian Gaining

C oinmission additions, deletions were made and proposed to the Title River Tribal

Council aftei review and rccorniaendations were made by the Tide River Ganung

Conirnission. an(1

WHEREAS, the proposed chan~es were addressed and reviewed by the 1 tile River

Tribal Council in which the Tiihe River Gaining Commission feel~ that this would update

the Tnbes Ganii_nri Ordinance to the etitremit operations of the Gaming Commissiom and

THEREFORE. BE IT RESOLVED. at a Tale River itibal Council meeting held on

Monday, Jamjary 5~ 2004 the Tule River iiihal Council reviewed and accepted the

proposed changes. addjtjnns. and deletions and mcorporated the above-mentioned change

to ensure the Tnbcs Ganmuig Ordinance is up to date; and

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Phone (559) 781-4271 Fax (559) 781-4610

P.O. Box 589 Portervihle, California 93258

I

IN THE MAJIF.R OF:
Page 2.

Resolution No. FY200l-I 3

CERTIFICATION

UPON MOTION OF COUNCIL MEMBER Pel~r R. Christnian, SECONDED BY

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THE IULE RIVER TRIBAL COUNCIL AT A DULY CALLED MEETING HELD AT

Monday, January ~. 2004, AT WHICH A QUORUM WAS I~RE SENT BY THE

FOLLOWiNG VOTES:

AYES. 6

NOES: 0

ABSTAiN: 0

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~ NEIL PEYROi~L CHAIRMAN

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~) YOLANDI-\ L. GIBS(~VSECRETA

TULE RIVER TRIHAL COUNCIL TULE RJVER TRIBAl COUNCIL

AFEEST TO:

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~~CORDING SECREtARY
TULE RIVER TRIBE

OF THE

TULE RIVER INDIAN RESERVATION

GAMING ORDINANCE

Revised January 5, 2004
Table of Contents

I. Purpose 3

II. Defmitions 3

III. Gaming Authorized 4

IV. Ownership of Gaming Facilities and/or Enterprises 5

V. Use of Gaming Revenue 5

VI. Gaming Commission Creation and Responsibilities 5

VII. Amendments 18

VIII. Severability 18

IX. Repeal 18

Certification 19

2
1. 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.

II. DEFINiTIONS

A. Comment shall mean any response by the Tribal Council to an item that has been

placed on an official Tribal Council meeting agenda. Failure of the Tribal Council to

respond to any item within thirty (30) days after it has been placed on an official

Tribal Council meeting agenda shall constitute an approval by the Tribal Council for

such item.

B. Compact refers to the Federal instrument required by the Indian Gaming

Regulatoiy Act, which allows the Tribe to conduct Class HI gaming, and is an

agreement between the Tribe and the State, which must be approved by the Federal

Government.

C. 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.

D. Indian Gaming Regulatory Act, (IGRA) refers to P.L. 100-497, 25 U.S.C. Sec.

2701 et seq which identifies the manner in which Indian Tribes shall conduct gaming

and how such gaming is to be regulated.

E. License means the written approval of the Tule River Tribe Gaming Commission

that authorizes the privilege of conducting gaming or working in gaming within the

jurisdiction of the Tule River Tribe to a specific individual and/or a specific entity

and/or a specific gaming facility and/or operation.

F. Licensee refers to an individual, entity and/or facility, which have received the

privilege, in written form, of conducting andlor working in gaming within the

jurisdiction of the Tule River Tribe.

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. Sec. 2701 et seq.), and as that Act may hereafter be amended.

H. Tule River Tribal Council means the elected governing body of the Tule River

Tribe as established and defined by the Tule River Tribes Constitution.

1. Tule River Tribe Gaming Commission refers to the regulatory body appointed by

the Tule River Tribal Council to be responsible for the regulation of Tribal Gaming

within the jurisdiction of the Tule River Tribe.

3
J. Tule River Tribe Regulatory Gaming Agency refers to the regulatory body

responsible for the:day~to~day responsibilities that are required to be fulfilled by the

Tule River Tribe Gaming Commission.

K. Gaming Contractor shall mean any person or entity that supplies gaming devices,

gaming components, gaming equipment, personnel or services to the Tribal gaming

enterprise and includes such resource suppliers as defined in the Compact.

L. Gaming Operation means each economic entity that operates games, receives the

revenues, issues the prizes, and pays the expenses of the games.

M. Gaming Enterprise shall mean any gaming business, event or activity conducted

by or under the jurisdiction of the Tribe.

N. Gaming Facility shall mean any building or room in which Class II or Class III

gaming activities or Gaming Operations occur, or in which the business records,

receipts, or other equipment and supplies of the Gaming Operation are maintained, to

include structures on the property designed to facilitate the orderly functions of the

enterprise.

0. Gaming Resources shall mean any goods or services used in connection with

gaming activities, including, but not limited to, equipment, furniture, gaming devices

and ancillary components, playing cards, gaming consulting services and gaming

contractors.

P. Immediate Family or Related To shall mean persons who are the subject

individuals spouse, parents, guardians, siblings, or children (either biological or

adopted)

Q. Employee has the same meaning as the term is used by the United States Internal

Revenue Service. Key Employee has the meaning defined herein under section F.

R. Reservation shall mean all lands under the jurisdiction and control of the Tule

River Tribe and itsgoverning body.

S. Tribal Chairperson shall mean the person duly elected under the Tribes

Constitution and Bylaws and serves as the primary spokesperson of the Tribe.

T. Tribal Member shall mean any duly enrolled member of the Tule River Tribe.

U. Minimum Internal Control Standards or MICS shall mean the Internal Controls

established by the National Indian Gaming Commission as published in the Federal

Register.

V. Tule River Internal Control Standards or TRICS shall mean the Internal

Controls established by the Tule River Tribe Gaming Commission and approved by

the Tule River Tribal Council.

III. GAMING AUTHORIZED

A. Class I gaming is defined in the IGRA Section 2703 (6) means social games solely for

prizes of minimal value or traditional forms of Indian gaming engaged in by

individuals as a part of, or in connection with, tribal ceremonies or celebrations.

B. Class II gaming as defmed in the IGRA Section 2703(7)(A) and by regulations

lawfully promulgated by the NIGC and the Tule River Tribe Gaming Commission,

that now or hereafler may be in effect, is hereby authorized.

4
C. Class III gaming as defined in IGRA, 25 U.S.C. Section 2703(8) and by valid

regulations promulgated by the NTGC, that now or hereafter may be in effect, is

hereby authorized, provided such gaming is also authorized by and consistent with a

valid Tribal-State Compact that has been approved by the Secretary of Interior and/or

is in compliance with Federal Law.

IV. OWNERSI-HP OF GAMING FACILITIES AND/OR ENTERPRISES

The Tule River Tribe of the Tule River Indian Reservation shall have the sole proprietary

interest in and the responsibility for the conduct of any gaming facilities and/or

enterprise(s) authorized by this Ordinance. The Tule River Tribal Council shall be

responsible for ensuring that the Tule River Tribe Gaming Operations are managed

appropriately and in a businesslike manner.

V. USE OF GAMING REVENUE

A. Except as specifically authorized pursuant to Subsection B of this Section, net

revenues from Class II and Class III gaming on the Tule River Indian Reservation

shall be used only for the following purposes:

1. To fund Tule River Indian Reservation Tribal Governmental 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; and/or

5. Help fund operation of local government agencies.

B. If the Tule River Tribal Council elects to distribute per capita payments to Tule River

Tribe members, it shall authorize such payments in conformity with a plan submitted

to and approved by the Secretary of the Interior pursuant to 25 U.S.C. Sec.

2701 (b)(3).

VI. GAMING COMMISSION CREATION AND RESPONSIBILITIES

A. Creation of Tule River Tribe Gaming Commission

1. There is hereby created the Tule River Tribe Gaming Commission, which shall consist

of three (3) persons who themselves qualify for licensing under this Ordinance. Said

members shall serve a term of three (3) years. The terms of Gaming Commissioners

shall be staggered. 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 Gaming Commissions determination of the time required to be

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expended upon Commission duties and the qualifications of the appointed

Commissioners.

2. The members of the Tule River Tribe Gaming Commission shall be appointed by the

Tule River Tribal Council by resolution. 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 be heard and may 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 Tribe Gaming Commission also may elect to receive in executive session any

evidence public disclosure of which might compromise any on-going lawenforcement investigation, or which might jeopardize any privilege or immunity

possessed by the Tule River Tribe Gaming Commission. The Commissioner, whose

removal is at issue, shall be allowed representation by legal counsel or volunteers to

speak in favor on his/her behalf before the Tribal Council at his/her own expense.

3. There shall be a Chairperson, Vice-Chairperson, and Secretary/Treasurer of the Tule

River Tribe Gaming Commission, elected from its membership, who shall be

appointed for a term of one year by simple majority vote of Tule River Tribe Gaming

Commission.

4. The following shall not serve as Gaming Commissioners:

a. Persons employed in or in conjunction with the management, supervision, or

conduct of any gaming activity on the Reservation, or until at least two (2)

years have passed since that employment;

b. Persons related to any gaming supplier or gaming contractor, including any

principal thereof or persons related to any associated independent contractor;

c. Members of the Tribal Council during his/her term thereof; and

d. A person who is not a Tribal Member.

e. A person who cannot obtain or maintain a valid license issued by the Tule

River Tribe Gaming Commission.

B. Duties and Responsibilities of the Gaming Commission

The following are the duties and responsibilities that are required of the Tule River Tribe

Gaming Commission in order to fulfill its regulatory requirements as identified in the

Tule River Tribe Gaming Ordinance and encouraged by the National Indian Gaming

Commission, in Bulletins, the Indian Gaming Regulatory Act of 1988 and

6
Amendments, MICS, TRICS and Compact, the Tule River Tribe Gaming Commission

shall:

1. Be responsible for the issuance, suspension, revocation and renewal of gaming

licenses for primary management officials, Key Employees, all other Employees and

vendors/service providers who wish to have an employment and/or business relationship

with Tule River Tribe Gaming Operations, Gaming Commission, or Regulatory Agency,

upon completion of background investigations;

2. Ensure that background investigations are conducted upon those individuals and

entities that have an employment or business relationship with Tule River Tribe Gaming

Operations for purposes of licensing;

3. Be responsible for the submission of applicable licensing applications and

investigations to the appropriate agencies;

4. Be responsible for ensuring that only those individuals and entities that have an

employment or business relationship with Tule River Tribe Gaming Operations, are

suitable to receive a Tule River Tribe Gaming License;

5. Be responsible for the secure storage and maintenance of all gaming applications,

reports and documents belonging to the Tule River Tribe Gaming Commission;

6. Be responsible for the issuance of Gaming License to each gaming facility within

the jurisdiction of the Tule River Tribe;

7. Be responsible for ensuring that all Tule River Tribe Gaming Operations are in

compliance with all applicable health, safety and environmental laws and regulations;

8. Be responsible for ensuring that an annual independent audit and/or any

additional audits of the Gaming Operations that the Commission deems necessary, is

performed upon all Gaming Operations within the jurisdiction of the Tule River Tribe

and that the applicable audits are submitted to the appropriate agencies pursuant to

applicable law, such as the National Indian Gaming Commission;

9. Ensure that audits are performed and submitted to the Gaming Commission on

businesses that do $25,000 or more business with Gaming Operations within the

jurisdiction of the Tule River Tribe within a one-year time period;

10. Ensure that gaming revenues are used according to applicable Tribal and

Federal law unless otherwise guaranteed by the Tribal Council;

11. Promulgate Tribal Gaming Regulations;

12. Ensure compliance with applicable Tribal and Federal Laws, Codes, Regulations,

or Compact;

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13. Communicate and work with Tribal, outside law enforcement agencies and

regulatory agencies regarding gaming regulation, so as to protect the assets and the

integrity of the Gaming Operations within the jurisdiction of the Tule River Tribe;

14. Ensure that investigations are performed upon alleged and actual gaming

violations to ensure that appropriate enforcement actions are taken and appropriate

incident reports are made;

15. Be responsible to conduct hearings, take and review evidence and

testimony in regards to gaming licensing and alleged violations of gaming laws and

regulations;

16. Establish and/or approve internal control standards that will protect the assets

and the integrity of the Gaming Operations within the jurisdiction of the Tule River Tribe

and ensure that they are complied with;

17. Ensure that random and regularly scheduled audits are performed on all areas of

the Gaming Operations within the jurisdiction of the Tule River Tribe;

18. Establish and/or approve rules for Class II and Class HI games conducted within

the jurisdiction of the Tule River Tribe;

19. Be responsible for the on-going inspection of all gaming equipment and all

gaming areas;

20. Establish and/or approve requirements for the testing of all gaming machines;

21. Be responsible for hearing patron disputes in the event that Gaming Management

is unable to initially resolve the dispute;

22. Be the primary contact entity for all outside Gaming Regulatory Agencies;

23. Be responsible for the review and approval of the budget of the Agency and

Commission prior to submission for final approval by the Tule River Tribal Council;

24. Supervise the Executive Director of the Agency;

25. Establish and collect fees associated with costs related to licensing, performing

background investigations and testing of equipment;

26. Solely responsible for the levying of fines due to gaming violations;

27. Inspect, copy, audit, impound and examine any gaining documents and records

without notice;

8
28. Issue subpoenas for purposes of receiving relevant information concerning

gaming, which cannot be retrieved in any other manner;

29. Apply for injunctive or declaratory relief in order to protect the assets and

integrity of the Gaming Operations within the jurisdiction of the Tule River Tribe;

30. Enter into contracts for professional assistance, such as accountants, investigators

and legal services;

31. Exclude individuals and create a list of those who are and should be excluded

from the Gaming Facility;

32. Protect confidentiality of individuals and entities as identified within applicable

law;

33. Provide monthly reports, or as required to the Tule River Tribal Council;

34. Shall be responsible for having final approval or denial authority over all Agency

and Gaming Operations policies and procedures, subject to review by the Tule River

Tribal Council;

35. Delegate authority as is required and in compliance with applicable law,

regulations;

36. The Tule River Tribe Gaming Commission may create at its discretion an Internal

investigative Department for the purpose of conducting criminal investigations,

regulatory violations, or non-compliance issues, subject to approval by the Tule River

Tribal Council.

C. Gaming Commission Authority and Hearing Responsibilities

1. The Gaming Commission shall carry out its statutory duties and responsibilities in

a manner that allows the Gaming Commission to act as a Regulatory Body by means of

the adoption of Standard Operating Procedures for the Tule River Tribe Gaming

Commission, which will identify the manner in which the Commission manages its

formal business and makes its decisions.

2. The Gaming Commission shall supervise the Executive Director and shall stay

free from Personnel matters of the Agency and shall act as the hearing and appeals body

of personnel matters that are unable to be resolved by the Executive Director;

3. The Gaming Commission shall be allowed to delegate day-to-day responsibilities

and functions of the Commission to the Agency;

4. The Gaming Commission shall be responsible for any outside contracts that are

required for professional services for the Commission and the Agency;

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5. The Gaming Commission shall act as the final decision making body for all

gaming regulatory issues that may arise in the event of disagreements or challenges to the

Agency initial decisions, including licensing and all other delegated responsibilities,

identified within this Ordinance prior to any appeal to Tule River Tribal Council or its

designee.

6. The Gaming Commission shall be the primary contact and representative for

purposes of communication with all outside gaming regulatory agencies in regard to

gaming regulatory matters.

7. The Tule River Tribe Gaming Commission, independent of the Tribal Council,

shall have full authority to monitor and enforce compliance with this Ordinance, Codes

and its Regulations, to investigate and act to prevent any violation(s) thereof.

8. All final decisions concerning gaming regulatory issues, such as licensing and

compliance with applicable gaming laws, of the Tule River Tribe Gaming Commission

shall be subject to the standard of preponderance of the evidence, that is, more likely than

not the information is accurate, based upon the evidence.

9. The Tule River Tribe Gaming Commission shall ensure that the Tule River Tribal

Council is provided the opportunity to review, Comment, and approve upon all

regulations and TRICS adopted by the Tale River Tribe Gaming Commission, prior to

adoption.

10. The Tule River Tribe Gaming Commission shall ensure that individuals/entities

seeking to challenge the decisions of the Agency receive due process by means of an

appeal procedure that provides for the Gaming Commissioners to sit as the hearing body.

D. Creation of a Tule River Tribe Gaming Regulatory Agency

1. There shall be a Tule River Tribe Gaming Regulatory Agency (to be referred to as

Agency) implemented in order to carry out the day-to-day responsibilities that are

required to be fulfilled by the Tule River Tribe Gaming Commission.

2. The Agency shall be composed of (five) primary departments, which shall include

Administration, Surveillance, Compliance, Background Investigation, Internal Audit and

any other department deemed necessary to the functioning of the Agency.

3. The Agency Staff shall be held to the same standards as the Gaming

Commissioners and will be required to uphold Tribal, Federal and all applicable laws,

Codes and regulations.

4. The Agency shall be structured so that there is an Executive Director responsible

for the day-to-day operations of the Agency.

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5. The Executive Director shall be under the direct supervision of the Tule River

Tribe Gaming Commission.

6. The Executive Director shall have direct supervision of those individuals who are

directors or primary supervisors over the various departments of the Agency and those

administrative support staff that shall be identified by the Tule River Tribe Gaming

Commission.

7. The Executive Director shall be the primary link between the Agency Staff and

the Commission and shall be responsible for all communications between the Agency

Staff and the Commission.

8. The Executive Director shall be responsible for all administrative functions of the

Agency, including, without limitation, the personnel issues that are a normal part of

employment.

9. The Executive Director shall ensure that the Gaming Commission is kept aware of

all information and activities of the Agency Staff.

10. The Executive Director shall be responsible for the budget of the Agency as well

as the submission of said budget to the Commission for review and approval.

11. The Executive Director shall be responsible for the efficient operation of the

Agency.

E. Protection of the Environment and Public Health and Safety

Class II and Class Ill 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.

F. Licenses for Key Employees and Primary Management Officials

The Tule River Tribe Gaming Commission by means of the Tule River Tribe Gaming

Commission, 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 andlor Class III gaming enterprise operated on Indian lands

within the jurisdiction of the Tule River Tribe.

DEFINITIONS

For the ~U~~OSCS of this section, the following definitions apply:

1. Key Employee means:

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

(1) Bingo Caller;

(2) Counting Room Supervisor;

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(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. If not otherwise included, any other person whose total cash

compensation is in excess of $50,000 per year;

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

Gaming Operation;

d. Any position formally designated by the Tule River Tribe Gaming

Commission to be considered a Key Employee; andlor

2. Primary Management Official means:

a. The person having management responsibility for a management contract;

b. Any person who has authority to:

(1) Hire and fire employees; or

(2) Set up working policy for the Gaming Operation.

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

d. Any position formally designated by the Tule River Tribe Gaming

Commission as such; andlor

A log of Key Employee and Management Officials shall be kept by the Gaming

Commission and updated annually.

APPLICATION FORMS

The following notice shall be placed on the application form of a Key Employee

or a primary management official before the form is filled out by an applicant for a

gaming license for purposes to work within or to be associated with the Tule River Tribe

Gaming enterprises and/or Gaming Operations.

In compliance with the Privacy Act of 1074, the following information is provided: Solicitation of

the information on this form is authorized by 25 U.S.C. Sec. 2701 et. Seq. the purpose of the

requested information is to determine the eligibility of individuals to be employed in a gaming

operation. The information will be used by the National Indian Gaining 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 Tribe Gaming Commission,

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

12
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 notices 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. 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. Sec. 1001).

BACKGROUND INVESTIGATIONS

The Tule River Tribe Gaming Commission or its designated Agency shall request

from each primary management official and from each Key Employee the following

information:

a. Full name, other names used (oral or written), Social Security number(s),

birth date, place of birth, citizenship, gender, and all languages spoken or written;

b. Currently and for the previous ten years; all business and employment

positions held, ownership interests in those businesses, business and residence

addresses, and drivers license numbers;

c. The names and current addresses of at least three personal references,

including one personal reference who was acquainted with the applicant during

each period of residence listed under paragraph (l)(b) of this Subsection:

d. Current business and residence telephone numbers;

e. A description of any existing and previous business relationships with the

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;

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;

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i. For each misdemeanor conviction or ongoing misdemeanor prosecution

(excluding minor traffic violations) within five 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;

1. A cunent photograph;

m. Any other information the Tule River Tribe Gaming Commission may

deem relevant under the circumstances; and

n. Fingerprints consistent with procedures adopted by the Tule River Tribe

Gaming Commission or its designated Agency in accordance with 25 C.F.R.

§5222(h).

2. The rule River Tribe Gaming Commission andlor its designated Agency shall

conduct an investigation sufficient to make a determination under Subsection G. below.

In conducting a background investigation, the Tule River Tribe Gaming Commission

andlor its Agency Staff shall maintain the confidentiality of each individual interviewed

in the course of the investigation.

G. Eligibility and Suitability Determination

The Tule River Tribe Gaming Commission and/or its designated Agency shall review an

applicants prior activities, criminal record, if any, and reputation, habits and associations

to make a finding concerning the eligibility of a Key Employee or primary management

official for employment in a Gaming Operation. Should the Tule River Tribe Gaming

Commission and/or its designated Agency determine that the issuance of a license of an

individual to be employed within the Gaming Operation pose(s) 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. The Tule River Tribe Gaming Commission shall

establish regulations that identifies suitability criteria of an individual to obtain or

maintain a Tule River Tribe Gaming License.

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H. 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 Tribe Gaming Commission shall

forward to the National Indian Gaming Commission a completed application for

licensing and conduct the background investigation to make a determination referred to in

Subsection F of this Section.

2. The Tule River Tribe Gaming Commission shall forward the report referred to in

Subsection 1 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 Tule River Tribal Gaming License.

I. Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in Subsection F of this Section, the Tule River

Tribe Gaming Commission shall prepare and forward to the National Indian Gaming

Commission an investigative report on each background investigation. An investigative

report shall include all of the following:

a. Steps taken in conducting the background investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

2. The Tule River Tribe Gaming Commission shall submit, with the report, a copy

of the eligibility determination made under Subsection G of this Section.

3. If a license is not issued to an applicant, the Tule River Tribe Gaming

Commission:

a. Shall notify the National Indian Gaming Commission; and

b. May forward copies of its eligibility determination and investigative report

(if any) to the National Indian Gaming Commission for inclusion in the

Indian Gaming Individuals Records System.

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4. With respect to Key Employees and primary management officials, the Tule River

Tribe Gaming Commission 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.

J. Granting a Gaming License For a Key Employee and a Primary Management

Official and the Role of the NIGC

The Tule River Tribe Gaming Commission shall promulgate regulations and adopt

procedures for the internal requirements needed in order to grant a Tule River Tribal

Gaming License that shall be used in conjunction with the following:

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 Tribe

Gaming Commission that it has no objection to the issuance of a license pursuant to a

license application filed by a Key Employee or a primary management official for whom

the Tule River Tribe Gaming Commission has provided an application and investigative

report to the National Indian Gaming Commission, the Gaming Commission may issue a

license to such applicant, as provided herein.

2. The Tule River Tribe Gaming Commission 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 of a

report. Such a request shall suspend the 30-day period under Subsection 11.1. 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 Tribe Gaming Commission with a statement

itemizing its objection(s) to the issuance of a license to a Key Employee or to a primary

management official for whom the Tule River Tribe Gaming Commission has provided

an application and investigative report to the National Indian Gaming Commission, the

Tule River Tribe Gaming Commission shall reconsider the application, taking into

account the objection(s) itemized by the National Indian Gaming Commission. The Tule

River Tribe Gaming Commission shall make the final decision whether to issue a license

to such applicant as provided herein.

K. Licensing Actions

1. The Tule River Tribe Gaming Commission shall have the authority to issue

separate licenses for each Gaming Facility, Gaming Operation and/or Gaming Enterprise

within the jurisdiction of the Tule River Tribe;

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2. The Tule River Tribe Gaming Commission shall have the authority to designate

and classify the types of Licenses that are to be issued to individuals and to Gaming

Facilities;

3. The Tule River Tribe Gaming Commission shall have the authority to issue

gaming licenses for purposes of Class II and Class 111 gaming within the jurisdiction of

the Tule River Tribe.

4. The Tule River Tribe Gaming Commission shall be the final decision maker in

regard to all issues concerning gaming licenses within the jurisdiction of the Tule River

Tribe prior to any appeal to the Tule River Tribal Council or its designee.

L. Appeals

1. The Tule River Gaming Commission shall provide due process for those who

disagree with the decisions of the Agency and shall issue procedures that specify

timelines and requirements for the appeals process.

2. The individuals or entities that choose to challenge a decision of the Agency may

appeal to the Tule River Tribe Gaming Commission.

3. The Gaming Commission shall provide a hearing to the individual or entity that

disagrees with a decision of the Agency, if the individual or entity submits a written

request to the Tule River Tribe Gaming Commission as provided by regulation.

4. In order for the Tule River Tribe Gaming Commission to overturn a decision of the

Agency, the burden shall be upon; the individual or entity requesting the hearing to show,

by clear and convincing evidence, that:

a. The Agency decision was outside the scope of authority of the Agency;

and/or

b. Information was discovered that was previously unavailable that would

change the outcome of the original decision; and/or

c. The original decision violated the Constitutional Rights of the individual

and/or entity; and/or

d. The decision was arbitrary or capricious.

5. In the event an individual or entity chooses to challenge the Tule River Tribe

Gaming Commission Appellate decision, the individual or entity may appeal to the Tule

River Tribal Council or their designee. The above burden and showings listed above

shall be shown in order to overturn a decision of the Tule River Tribe Gaming

Commission.

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VII. AMENDMENTS

The Tule River Tribal Council is hereby delegated the authority to amend this Ordinance

in any maimer deemed appropriate to protect what the Tule River Tribal Council

determines to be in 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 TribalState Class HI compact that is in effect.

VIII. SEVERABILITY

The provisions of this Ordinance are severable. If any part or provision hereof is held

void by Tribal Court, federal court or federal agency, the decisions of the court or agency

so holding shalJ not affect or impair any remaining provision of the Ordinance.

IX. REPEAL

To the extent that they are inconsistent with this Ordinance, all Gaming Ordinances

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

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CERTIFICATiON

This is to cei1i~ that the foregoing Ordinance was adopted on ~~D5 ~L/ at a

duly-called meeting of the .Tule River Tribal Council at which a quornni was present, by

a vote of____ in favor. _(j~opposed andL abstaining.

Resolution #: L/ ~L~ S

Date

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