V. Audit

A. The Tribe shall cause to be conducted annually an independent audit of gaming
operations and shall submit the resulting audit reports to the National Indian Gaming
Commission (the “Commission”).

B. All gaming related contracts that result in the purchase of supplies, services, or
concessions in excess of $25,000 annually, except for contracts for professional legal and

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

VI. Environmental Protection

The construction, maintenance and operation of Class II and Class III gaming facilities
and Class II and Class III games shall be conducted in a manner which adequately protects the
environment and the public health and safety.

VII. 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/or Class III gaming enterprise operated on tribal lands:

A. Definitions

For the purposes of this section, the following definitions apply:

1. Key employee.

(a) 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

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(d) The bases for those conclusions; and

(e) The Tribe and/or Tribal Gaming Agency shall include in its report
a copy of the eligibility determination made under section D of this
section.

2. If a license is not issued to an applicant:

(a) The Tribe and/or Tribal Gaming Agency shall notify the
Commission; and

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

3. With respect to key employees and primary management officials, the
Tribe and/or Tribal Gaming Agency shall retain applications for employment and reports
(if any) of background investigations for inspection by the Chairman of the Commission
or his or her designee for no less than three (3) years from the date of termination of
employment.

G. Granting a Gaming License

1 If, within a thirty (30) day period after the Commission receives a report,
the Commission notifies the Tribe and/or the Tribal Gaming 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 Tribe has provided an
application and investigative report to the Commission, the Tribe may go forward and
issue a license to such applicant.

2. The Tribe and/or the Tribal Gaming Agency shall respond to a request for
additional information from the Chairman of the Commission concerning a key employee
or a primary management official who is the subject of a report. Such a request shall
suspend the thirty (30) day period under paragraph (G) (1) of this section until the
Chairman of the Commission receives the additional information.

3. If, within the thirty (30) day period described above, the Commission
provides the Tribe and/or Tribal Gaming Agency with a statement itemizing objections to
the issuance of a license to a key employee or to a primary management official for
whom the Tribe and/or Tribal Gaming Agency has provided an application and
investigative report to the Commission, the Tribe and/or Tribal Gaming Agency shall
reconsider the application, taking into account the objections itemized by the
Commission.

4. The Tribe shall ensure compliance with any other procedures regarding
licensure which may be required under the tribal-state compact.


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.

3. 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:

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

4. The Tribe 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 Tribe and/or Tribal Gaming Agency shal] 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 5 years: 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 section;

(d) Current business and residence telephone numbers;


(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; or

(d) If not otherwise included, any other person who is designated as a
key employee under the tribal-state compact.

2. Primary Management Official

(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 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 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, 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 National Indian Gaming Commission in connection with the hiring
or firing of an employee, the issuance or revocation of a gaming license,
or investigations of activities while associated with a tribe or a gaming
operation. Failure to consent to the disclosures indicated in this notice
will result in a tribe’s being unable to hire you in a primary management
official or key employee position.


D. Eligibility Determination

1. The Tribal Gaming Agency shall review a person’s prior activities,
criminal record, if any, and reputation, habits and associations to make a finding
concerning the eligibility of a key employee or a primary management official for
employment in a gaming operation. If the Tribal Gaming 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, a tribal gaming operation
shall not employ that person in a key employee or primary management official position.

2. The Tribe’s gaming operation shall not employ in a key employee or
primary management official position a person who has supplied materially false or
misleading information with respect to the required information for that person's
background investigation under subsection C above.

3. The Tribe’s gaming operation shall not employee in a key employee
position associated with Class III gaming activity any applicant who fails to meet any
necessary suitability requirements under the tribal-state compact.

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

1. When a key employee or primary management official begins work, the
Tribe and/or Tribal Gaming Agency shall forward to the Commission a completed
application for employment and conduct the background investigation and determination
referred to in subsections A, B, C and D of this section.

2. Upon completion, the Tribe and/or Tribal Gaming Agency shall forward
the report referred to in subsection F of this section to the Commission within 60 days
after an employee begins work or within 60 days of the Chairman of the Commission’s
approval of this ordinance.

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

F. Report to Commission

1. Pursuant to the procedures set out in subsection E of this section, the Tribe
and/or Tribal Gaming Agency shall prepare and forward to the Commission an
investigative report on each background investigation. An investigative report shall
include all of the following:

(a) Steps taken in conducting a background investigation;
(b) Results obtained;

(c) Conclusions reached;

-6-


L
ons 'No,

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3
Ne comm’?
Via U.S. Mail and Facsimile

Marshall McKay, Chairman JAN 11 2008
Rumsey Band of Wintun Indians

P.O. Box 18

18960 Country Road 75A

Brooks, CA 95606

Fax: (530) 796-2143

Alan Fedman

Sonnenschein, Nath, & Rosenthal, L.L.P.
1301 K Street N.W., Suite 600 East Tower
Washington, D.C. 20005-3364

Fax: (202) 408-6399

RE: Amendment to Rumsey Band of Wintun Indians Gaming Ordinance
Dear Chairman McKay and Mr. Fedman:

On December 19, 2007, Mr. Fedman on behalf of the Rumsey Band of Wintun Indians
(Band) requested that the National Indian Gaming Commission (NIGC) review and
approve the Band’s amendment to the Rumsey Band of Wintun Indians Gaming
Ordinance (Gaming Ordinance). The Band amended the Gaming Ordinance on
December 4, 2007, via Resolution No. 12-04-07-02. In this amendment, the Band
clarified its compliance with NIGC Minimum Internal Control Standards (MICS) for
Class II and III gaming.

This letter constitutes approval of the amendment because nothing therein conflicts with

Philip N. Hogen
Chairman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.Gov

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


Cc. Compliance

The Tribal Gaming Agency and the Commission shall monitor and enforce compliance
with the internal control standards adopted pursuant to paragraph A in the manner provided for
in 25 CFR 542.3(g). In addition, the Commission shall, for the purpose of enforcing compliance
with the internal control standards, have the power to:

1. Monitor all Class II and Class III gaming on a continuing basis;

2. Inspect and examine all premises on which Class II or Class HI gaming is
conducted; and

3. Demand access to and inspect, examine, photocopy, and audit all papers,
books, and records respecting gross revenues of all Class II and Class III gaming or any
other matters necessary to ensure and enforce compliance with the internal control
standards.

D. Enforcement

Any failure to adopt internal control standards pursuant to paragraph A, to perform
Agreed-Upon Procedures pursuant to paragraph B, to prevent or obstruct the exercise of any of
the Commission’s powers under paragraph C, or to comply with the internal control standards
once adopted is a violation of this ordinance. The Chairman of the Commission shall have the
authority to remedy violations of this ordinance under 25 U.S.C. 2713 and its implementing
regulations, and the Tribe shall have all rights and remedies available thereunder.

X. Customer Dispute Resolution Procedure

A. With respect to Class II gaming, the general manager of the tribal gaming
operation shall attempt to resolve on an informal basis any customer complaints relating to
payment of prizes or services and report any such resolution to the governing body of the
enterprise. If the complaint cannot be resolved at the general manager level, the customer shall
be informed that he/she has the right to present his or her complaint to the governing body of the
gaming enterprise, whose decision shall be final.

B. With respect to Class III gaming, customer and third party disputes shall be
resolved pursuant to Article 8.1.10(d) and Article 10.2(d) of the amended tribal-state compact.

XI. IGRA Compliance

The Tribe shall ensure enforcement of rules and regulations for all games played to
ensure that they conform to the IGRA, including any effective tribal-state compact, and that the
games are honest and fair.

XII. Amendments

The Tribal Council may amend this ordinance in any manner deemed appropriate to
protect the Tribe’s best interests so long as any such amendment is no less restrictive than the

-9-


H. License Suspension

1. If, after the issuance of a gaming license, the Commission receives reliable
information indicating that a key employee or a primary management official is not
eligible for employment under subsection D above, the Tribe and/or Tribal Gaming
Agency shall suspend such license and shall notify in writing the licensee of the
suspension and the proposed revocation.

2. The Tribe and/or Tribal Gaming 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 Tribe and/or Tribal Gaming Agency shall
decide to revoke or to reinstate a gaming license. The Tribe and/or Tribal Gaming
Agency shall notify the Commission of its decision.

4, The Tribe and/or Tribal Gaming Agency shall also suspend and revoke the
license of a key employee when such person is deemed unsuitable under the tribal-state
compact.

VIII. License Locations

The Tribe and/or Tribal Gaming Agency shall issue a separate license to each place,
facility, or location on Indian lands where Class II and Class II] gaming is conducted under this
ordinance.

IX. Minimum Internal Control Standards

A. Applicable Standards

The Tribal Gaming Agency shall comply with 25 CFR Part 542 by formally adopting and
making applicable to the Tribe’s gaming operation(s) internal control standards that:

1. Provide a level of controls that equals or exceeds those set forth in 25 CFR
part 542, as published or as revised by mutual agreement between the Commission and
the Tribe;

2 Contain standards for currency transaction reporting that comply with 31

CER Part 103; and

3. Establish internal control standards for Class I and Class III games that
are not addressed in 25 CFR Part 542, if any.

B. Annual CPA Testing of Compliance

In order to verify that the gaming operation is in compliance with the internal control
standards adopted pursuant to paragraph A, an independent certified public accountant (CPA)
shall be engaged annually to perform “Agreed-Upon Procedures” in the manner provided for in
25 CFR 542.3(f).


(e)

(f)

(g)

(hy

G)

(k)

()
(m)

(n)

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;

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;

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 paragraphs (1) (h) and (1) (i) of this section, the
criminal charge, the name and address of the court involved and
the date and disposition;

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

A current photograph;

Any other information the Tribe and/or Tribal Gaming Agency
deems relevant; and

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

2. The Tribe and/or Tribal Gaming Agency shall conduct an investigation
sufficient to make a determination under subsection D below. In conducting a
background investigation, the Tribe shall promise to keep confidential the identity of
each person interviewed in the course of the investigation.


Ramsey Baril of
Menta Li doan 1
Tritat Councit

Marshall McKay
Chairman

Bessey Villalobos
Secretary

Anthony Roberts
Treasurer

‘Twila Frease
Council Member

Cynthia Clarke
Council Member

Rumsey Indian Rancheria
Yocua-De-HeE

RUMSEY BAND OF WINTUN INDIANS

AMENDED TRIBAL GAMING ORDINANCE Xp
TRIBAL ORDINANCE NO. 2007-04 79

I. Purpose

The Tribal Council of the Rumsey Band of Wintun Indians, a sovereign
Indian tribe federally recognized and registered as Rumsey Indian Rancheria of
Wintun Indians of California (hereinafter “Tribe”), empowered by the Tribe’s
Constitution to enact ordinances, hereby amends its gaming ordinance to address
the application of Minimum Internal Control Standards.

Il. Gaming Authorized

A. All forms of Class I] gaming as defined in the Indian Gaming
Regulatory Act, P.L. 100-447, 25 U.S.C. Section 2703(7)(A) (“IGRA”) are
hereby authorized, including but not limited to bingo, pulltabs, and non-banking
card games.

B. All forms of Class III gaming as defined in Section 2703(8) of
IGRA and authorized by the tribal-state compact between the Tribe and the State
of California executed on July 13, 1998 and amended on June 21, 2004
(hereinafter “tribal-state compact”), including Indian Lottery Games, are hereby
authorized.

Hil. Ownership of Gaming

The Tribe shall maintain the sole propriety interest in and responsibility for the conduct
of all Class II and Class III gaming activities authorized by this ordinance.

IV. Use of Gaming Revenue

A.

Net revenues from the Tribe’s share of Class II and Class III gaming activities

authorized herein shall be used only for the following purposes: to fund tribal government
operations and programs; provide for general welfare of the Tribe and its members; promote
tribal economic development; donate to charitable organizations; or help fund operations of local
government agencies.

B.

If the Tribe elects to make per capita payments, it shall authorize such payments

only pursuant to its Plan for the Allocation of Gaming Revenue, approved by the Secretary of the
Interior under Section 2710(b) (3) of IGRA.

PO Box 18 Brooks, California 95606 p) 530.796.3400 f) 530.796.2143 www.rumseyrancheria.org


NOW THEREFORE BE IT RESOLVED THAT:

The Tribal Council hereby approves the attached amended Tribal Gaming
Ordinance, and directs that a copy of the amended ordinance be submitted as soon as
possible to the NIGC’s Chairman for approval.

CERTIFICATION

The foregoing resolution was adopted by a vote of 3 for and 0 against and 1 abstentions,
at a duly called meeting of the Tribal Council, at which a quorum was present, on the 4th

day of December 2007.
(\\ Ve
Marsh WieKay
Tribal irman



YocHa-De-HE

Kum sey Band of
Wintan Trelians TRIBAL COUNCIL

Tribar Councn

Marshall McKay
Chairnian

Bessey Villalobos
Secretary

Anthony Roberts
Treasurer

Twila Frease
Council Member

Cynthia Clarke
Council Member

RESOLUTION NO. 12-04-07-02
DEC Ig.

APPROVAL OF AMENDMENT TO uy?
TRIBAL GAMING ORDINANCE

[Ordinance No. 2007-04]

WHEREAS, the Rumsey Band of Wintun Indians, a sovereign Indian tribe that
is federally recognized and registered as Rumsey Indian Rancheria of
Wintun Indians of California (hereinafter the “Tribe”);

WHEREAS, the Tribal Council is the Tribe’s governing body under the Tribe’s
Constitution, delegated with the explicit power to manage and direct the
Tribe’s economic affairs, to oversee the regulation of its gaming operation
under the Indian Gaming Regulatory Act (“IGRA”), and to enact and carry
out all ordinances and resolutions;

WHEREAS, on September 1, 1993, the Tribe’s Community Council enacted an
ordinance for the operation of Class II games under the IGRA, and the
Chairman of the National Indian Gaming Commission (“NIGC”) approved
that ordinance on January 28, 1994;

WHEREAS, on September 3, 1998, the Tribal Council amended the gaming
ordinance to allow the Tribe to also operate Class [II games under the
IGRA, and the Chairman of the NIGC approved that amended ordinance
on December 18, 1998;

WHEREAS, the recent decision of the District of Columbia Circuit Court of
Appeals in Colorado River Indian Tribes v. NIGC, 466 F.3d 134 (D.C. Cir.
2006), purported to limit the NIGC’s ability to regulate minimum internal
control standards (“MICS”) for Class III gaming;

WHEREAS, the Tribal Council believes it is in the Tribe’s best interests for the
NIGC to continue regulating MICS;

WHEREAS, the Tribal Council has reviewed the provisions of a proposed

amended Tribal Gaming Ordinance, a copy of which is attached hereto,
that allows the NIGC to regulate MICS at the Tribe’s gaming facility.

PO Box 18 Brooks, California 95606 p) 530.796.3400 f) 530.796.2143) www.rumseyrancheria-org,


original terms of this ordinance, complies with all applicable federal law, and is consistent with
the terms of any effective tribal-state compact.

XII. Repeal

All prior gaming ordinances are hereby repealed.

-10-