Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 16 of 47

(4) He/She is presently a member of the Tribal Council.

4.12 Term of Office. The first Tribal Commission shall be appointed as follows:
the Chairman shall be appointed for three (3) years; two (2) Commissioners
appointed for two (2) years; and two (2) Commissioners appointed for one
(1) year. Upon the expiration of the first terms, each commissioner
thereafter shall be appointed for three{3)- year staggered terms.

4.13 Ex-Officio Members. At the direction of the Tribal Council, any member of
the Tribal council, Tribal or Bureau of Indian affairs employee, or any other
Person may be designated to participate, without vote, in Tribal Commission
meetings.

4.14 Meetings

4.14.1 Regular Meetings." The Tribal Commission shall meet formally
each Monday °° = 2 TM
zat £ nee 7 Nothing in this
Code shall prohibit the commission from authorizing telephone and
off-site meetings

4.14.2 Special Meetings. Special meetings may be called at the request
of the Tribal council or the Chairman of the Tribal Commission.

4.14.3 Quorum. A quorum for all meetings shall consist of four{4)
members.

4.14.4 Voting. All questions arising in connection with the action of the
Tribal Commission shall be decided by majority vote.

4.15 Compensation of Commissioners. The compensation of
Commissioners shail be established by the Tribal Council, -

4.16 Removal of members or Vacancies

4.16.1 Removal. A Commissioner may be removed by the Council for anv
the following reasons. which may include but is not imitec tc:
serious inefficiency, neglect of duty, malfeasance, misfeasance,
nonfeasance, misconduct in office, or for any conduct which
threatens the honesty and integrity of the Tribal Commission or
otherwise violates the letter of intent of this Code.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

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6.2.3

6.2.4

6.2.5

6.2.6

6.2.7

All markers, |OU’s, returned checks, hold checks or other similar
credit instruments.

Individual and statistical game records to reflect statistical drop and
statistical win for electronic, computer, or other technologically
assisted games.

Contracts, correspondence and other transaction documents
relating to all Gaming Vendors.

Records of all customer complaints and Tribal Gaming enforcement
activities.

All gaming related audits prepared by or on behalf of the Tribe or
one of its subdivisions.

6.3 Audit Requirements

6.3.1

6.3.2

The enterprise shall provide a copy of an annual independent audit
to the Tribal Commission, the Tribal council, the State Gaming
agency, and the National Indian Gaming Commission.

Each contract for supplies, services (other than legal and
accounting services) or concessions for a contract amount in
excess of $25,000 annually shall be subject to an independent
audit. Such audit shall be solely limited to a monthly printout from
the accounts payable of the Gaming Operations of the checks
rendered. A copy of such audit will be provided to the Tribal
Gaming commission, the Tribal council, State Gaming agency and
the National Indian Gaming Commission.

6.4 Notices to the Public

6.4.1

6.4.2

The Gaming facility shall have a copy of this code readily available
for inspection by any Person at each Gaming Facility.

The Gaming facility shall post in a conspicuous location near each
game an explanation of the rules of play of every game operated or
shall otherwise provide the public with such an explanation.

SECTION 7. GAMING ENTERPRISE RESTRICTIONS AND COMPLIANCE

7.1. Number of Facilities


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 33 of 47

(2)

(3)

(4)

(5)

undertake an investigation of the Licensee, or serve upon
such Licensee an order to show cause why the Licensee’s
License should not be revoked, or why the Licensee should
not be enjoined from conducting Gaming.

Additionally, if the NIGC notifies the Tribe that it has received
reliable information indicating that key employee or primary
management official is not eligible for employment under 25
C.F.R. §558.2, the Tribal Commission or its designee shall
suspend such license and notify the licensee in writing that
his/her license has been suspended and may be revoked.

Such notice shall state the reason for the suspension and/or
order, and the time and place for the hearing before the
Tribal Commission pursuant to Section 4.23 herein.

The Licensee shall have an opportunity to present testimony
and cross-examine opposing witnesses, and to present any
other evidence as to why a revocation order or injunction
should not be issued.

The hearing shall be set for not less than two (2) days or
more than (5) days from the date of the notice. The hearing
shall be governed in all respects in accordance with Tribal
law and Tribal Commission regulations. Any suspension
decision of the Tribal Commission after hearing shall be
reviewable in the Gaming Disputes-Gourt Review Board
pursuant to the requirements of Section 4.23 and 4.24. The
Tribe shall notify NIGC of its decision.

5.13 Enterprise License. The Gaming Enterprise authorized by the Compact
and this Code shall be licensed by the Tribal Commission. The Tribal
Commission shall automatically issue a License if the following threshold
criteria are met:

5.13.1. The Gaming is located on lands taken into trust after October 17,
1988, as a settlement of a claim.

5.13.2 The Gaming is authorized pursuant to this Code, the Compact and
the IGRA.

5.13.3 The Gaming is authorized by a Tribal Council resolution.

5.13.4 The Tribe has the sole proprietary interest and the Management
Contract is consistent with Tribal and Federal law and is properly
approved by the Chairman of the NIGC.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A.
Page 42 of 47

8.3

8.4

8.5

8.6

8.7

8.2.24 Employing any Person at a licensed Gaming Facility whom the
Licensee knows has been convicted of a Gaming crime or a crime
of fraud.

Criminal Violation Any Indian who violates or fails to comply with any
provision of this Code, or who fails or neglects to comply with any order,
decision of the Tribal Commission, shall be charged and given due process
pursuant to Section 4.23 herein. If such Indian is found to be guilty of a
crime, he may be required to pay a fine not to exceed Five Thousand
Dollars ($5,000) or be incarcerated for a period of up to Rette-exceed-two
{2}years one (1) year per violation. Each day during which any such
violation or failure to comply continues shall constitute a separate violation
of this Code.

Civil Violation Any non-Indian who violates or fails to comply with any
provision of this Code, or who fails or neglects to comply with any order of
the Tribal Commission, shall be charged and given due process pursuant to
Section 4.23 herein. If the non-indian is found liable, he may pay a civil fine
not to exceed Five Thousand Dollars ($5,000) for each violation thereof.
Each day during which any such violation or failure to comply continues
shall constitute a separate violation of this Code. The amount of any such
civil fine may be recovered in a civil action in the Tribal Court.

Cumulative Fines All civil fines accruing under this Code shall be
cumulative and a suit for the recovery of one fine shall not bar or affect the
recovery of any other fine, or judgment, penalty, forfeiture or damages, nor
bar the power of the Tribal court to punish for contempt, nor bar any criminal
prosecution against any officer, director, agent, or employee of any
licensee, or any other Person.

Purpose of Civil Penalties The civil fines imposed under this Code are
intended to be remedial and not punitive and are designed to compensate
the Tribe for the damage done to the peace, security, economy and general
welfare of the Tribe and the Reservation, and to compensate the Tribe for
costs incurred by the Tribe in enforcing this code. The civil fines under this
code are also intended to coerce all people into complying with this Code
and Tribal Commission regulations and not to punish such people for
violation of such laws and regulations.

Civil Action for Penalties In enforcing the civil infraction provisions of this
Code, the Tribal Commission shall proceed, in the name of the Tribe,
against a Person for violation of such provision by civil complaint pursuant
to the provisions of this Code. The Tribal commission in such action shall
have the burden of showing, by the preponderance of the evidence, that
such Person violated the applicable provision of this Code.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

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2.49

2.50

2.51

2.52

2.53

2.54

2.55

2.56

2.57

“Primary Management Official” means:

2.49.1 The Person having management responsibility for the overall
operation of the enterprise or Facility, or a management contract;

Or;
2.49.2 Any Person who has authority to:

(1) Hire and fire employees; or

(2) Set up working policy for the Gaming Operation; or

2.49.3 The Chief Financial Officer or other Person who has financial
management responsibility.

“Progressive Gaming” means any game in which a cash prize which,
not being won by any player during any game, is retained and further
monetarily enhanced by the Licensee or eligible organization, an offered
as a prize to players in the next game.

“Pull-tabs, Punchboards and Tip Jars” means a form of Gaming in
which preprinted cards utilizing symbols or numbers in random order
which are uncovered by random choice in expectation or cash prizes if
prescribed combinations of symbols and numbers are revealed.

“Raffle” means a form of Gaming in which each player buys a ticket for a
chance to win a prize with the winner determined by a random method.
“Raffle” does not include a slot machine.

“Reservation” means lands defined as “Indian Lands” herein.

“State” means the State of California.

“State Gaming Agency” means the entity of the State pursuant to the
Gambling Control Act, pursuant to Division 8 of the Business and
Professions Code, Chapter 5, Sec. 19800 et. seq.

“Tribal Commission” means the Tribe’s Gaming Commission described
in Section 4 of the Code.

“Tribal Commission” means the Tribe’s Gaming Commission described
in Section 4 of this Code.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 20 of 47

4.18.21 To exercise the Tribal power to collect an administrative fee or tax
as authorized by the Tribal Constitution in accordance with a Tribal
Council resolution delegating such power to the Tribal commission
solely for the purpose of allowing it to charge administrative and
License Application fees to Gaming license Applicants which are
reasonably related to the costs of operating the Commission.

4.18.22 To purchase insurance from any stock or mutual company for any
property or against any risk or hazard,

4.18.23 With prior approval of the Tribal Council, to make application and
accept grants and other awards from private and governmental
sources in carrying out or furthering the purposes of the Tribal
Commission or the Tribe.

4.18.24 To establish and maintain such bank accounts as may be
necessary or convenient.

4.18.25 To require the filing of any records, forms, and reports and all other
information desired by the Tribal council or required by this Code.

4.18.26 To provide for an internal system of record keeping with adequate
safeguards for preserving confidentiality as deemed necessary by
the Tribal Commission for retaining records, forms and reports at
least three (3) years.

4.18.27 To adopt a schedule of fees to be charged for Licenses.

4.18.28 To adopt a schedule of fees for services rendered relating to
transcripts and the furnishing or certifying of copies of proceedings,
files, and records.

4.18.29 To conduct or arrange for background investigations of all
Applicants.

4.18.30 To discipline any licensee or Person participating in Gaming by
ordering immediate compliance with this Code, and to issue an
order of temporary suspension of any License issued under this
Code pursuant to the hearings and due process required by
Section 4.23 herein.

4.18.31 To issue an order of temporary closure of a Gaming Facility in the
event the Tribal Commission determines that immediate closure is


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
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7.2

7.3

7.4

7.1.41

The Tribe may establish and operate not more than two Gaming
facilities, and only on those lands on which Gaming may lawfully be
conducted under IGRA.

the Tribe may combine and operate in each gaming facility any
forms and kinds of gaming permitted under the Compact, IGRA and

this Code.

Gaming Device Restrictions

7.2.1

7.2.2

7.2.3

Number of Devices The Tribe may offer no more than Two
Thousand Gaming Devices combined for all Facilities.

Transferability of Devices The Gaming Enterprise, or any
Licensee, is prohibited from selling, renting or lending Gaming
Devices to any Person without prior written approval of the Tribal

commission.

Transportation of Devices Transportation of a Gaming Device to or
from the Gaming Facility within California is permissible only if:

(1) The Tribal Commission has issued a permit to transport the
Device; and

(2) The Tribal Commission has provided at least ten (10) days
notice to the local county Sheriff, and

(3) The final destination of the Device is a gaming facility of any
tribe in California with a Tribal/State Compact; or

(4) The final destination is in a state or country whereby the
Device is otherwise legal; or

(5) The final destination is located in California for the purpose
of testing, repair or storage by a Person that is licensed by
the State Gaming Agency.

Gaming Device Technical The technical standards for Gaming Devices
shall adhere to standards that meet the Minimum Internal Contro! Standards
as issued by the NIGC.

Age Restrictions

7.44

No person under the age of Eighteen (18) shall be employed by the
Gaming Facility, management contractor or the Tribal commission.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page | of 47

TRIBAL GAMING ORDINANCE
OF THE
SANTA ROSA RANCHERIA

TACHI-YOKUT TRIBE

TITLE 1
REGULATION OF CLASS II AND CLASS I!l GAMING

A law to authorize, license and regulate the conduct of Class II and Class II] Gaming
within the jurisdiction of the SANTA ROSA RANCHERIA TACHI-YOKUT TRIBE.

SECTION 1. FINDINGS, INTENT AND POLICY

1.1. Findings. The SANTA ROSA RANCHERIA TACHI-YOKUT TRIBE
(‘Tribe” or “Tribal”) on behalf of the General Council finds that:

1.1.1 Tribal regulation and contro! of Gaming within the jurisdiction of the
Tribe is essential for the protection of public health and welfare of
the Tribe and visitors to the Tribal community.

1.1.2 The Tribe has the legal authority to license and regulate and
Gaming Activity with in the jurisdiction of the Tribe.

1.1.3. Properly licensed and regulated Gaming are in conformance with
announced Federal policy promoting Indian self-government and
Indian Tribal economic self-sufficiency.

1.1.4 It is essential that the Tribal Council regulate Gaming in a manner
commensurate with applicable Federal, State of California ("State”)
and Tribal law and policy.

1.1.5 The present needs of the Tribe are not adequately addressed by
State and Federal programs including the need for increased
employment, training, housing, health care, nutrition, educational
opportunities, preservation of culture, social services and
community and economic development.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
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5.8

5.9

5.10

5.11

5.12

License Issuance, Term and Substance

5.8.1 Issuance. Upon completion of the necessary background
investigation, and after the Tribe has complied with the 30-day
NIGC review requirements found in 25 C.F.R. §558.3 and §558.4,
the Tribal Commission may issue a License on a conditional or
unconditional basis. If the NIGC objects to an Applicant, the Tribe
shall reconsider the Application, taking into account the reasons for
the objections noted by NIGC. However, the Tribe shall have the
final word on whether to license an Applicant. Nothing herein
creates a property right in the License.

5.8.2 Term. Any License issued pursuant to this section shall be
effective for a period of two (2) years from the date of issuance.

5.8.3 License Substance. The License shall state on its face the ~
name of the fe applicant, the Tribal Logo, =

. : . 7 7 .
the-Licene See WAGE -emeboye ana he Sense number. itsha

License Denial. An Application for a License shaj| be denied if the Tribal
Commission, after an adequate review, determines the Applicant posesa
threat to the public interest or the effective regulation of gaming, or creates
or enhances the danger of unsuitable, unfair or illegal practices and
methods and activities in the conduct of gaming. If the foregoing
determinations about the Applicant are made, no management contractor or
Tribal gaming operation shall employ the Applicant.

Renewals. A Licensee shall petition to have the License renewed by
applying to the Tribal Commission for a renewal before the License expires.
Applicants may be required to provide updated material as requested.

Requirement to Produce License Upon Request. Licensees must carry
the License and visibly display the License during working hours and must
produce the License upon the request of any Person.

License Suspension or Revocation of License

5.12.1 Temporary Suspension or Revocation.’ The Tribal commission may

suspend or revoke a License, after notice and an opportunity for a
hearing pursuant to Section 4.23 herein, for any of the following
reasons:


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 17 of 47

4.17

4.18

4.16.2 Due Process. Except as provided below, no Commissioner may be
removed without notice and an opportunity for a hearing before the
Council, and then only after the Commissioner has been given
written notice of the specific charges at least to (10) days prior to
such hearing. At any such hearing, the Commissioner shall have
the opportunity to be heard in Person or by counsel and to present
witnesses on his behalf.

4.16.3 Temporary Suspension. If the Council determines that immediate
suspension of a Commissioner is necessary to protect the interests
of the Tribe, the Council may hold a hearing with the Commissioner
to suspend the Commissioner temporarily, and the question of
permanent removal shall be determined thereafter pursuant to
Tribal Commission hearing procedures pursuant to 4.16.2 herein.

4.16.4 Written Record. A written record of all removal proceedings
together with the charges and findings thereon shall be kept by the
Tribal Secretary.

4.16.5 Removal Final. The decision of the Tribal Council upon the
removal of a commissioner shall be final.

4.16.6 Vacancies. If any Commissioner shall die, resign, be removed or
for any reason be unable to serve as a Commissioner, the Council
shall declare his/her position vacant and shall appoint another
Person to fill the position within thirty (30) days of the vacancy. The
terms of office of each Person appointed to replace an initial
Commissioner shall be for the balance of any un-expired term for
such position provided, however, that any prospective appointee
must meet the qualification established by this Code.

Conflict of Interest. No Person shall serve as a Commissioner if he/she or
any member of his/her Immediate Family has an ownership, partnership or
other direct financial interest, other than a regular salary interest, in any
gaming Enterprise, or is he/she has any other Personal or legal relationship
which places him/her in a conflict of interest.

Powers of the Tribal Commission. In furtherance, but not in limitation, of
the Tribal Commission's purposes and responsibilities, and subject to any
restrictions contained in this Code or other applicable law, the Tribal
Commission shall have, and is authorized to exercise by majority vote, the
following powers in addition to all powers already conferred by this Code:

4.18.1 To reasonably inspect and regulate all Gaming within the
jurisdiction of the Tribe, provided that the Commission does not


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 23 of 47
4.23.1
4.23.2
4.23.3
4.23.4
4.23.5

4.24

No Hearing, Voluntary Resolution. Whenever it shall appear to the
satisfaction of the Tribal Commission that all of the interested
parties involved in any proposed hearing have agreed concerning
the matter at hand, the Tribal Commission may dismiss the issue
without a hearing.

Notice of Hearing. The Tribal Commission shall, within 5 days after
the event giving rise to the concern, provide a written notice setting
forth, with specificity, the issues to be resolved.

Hearing. The Tribal Commission shall, within 5 days after the
notice of hearing pursuant to 4.23.2, provide the affected parties
the right to present oral or written testimony to all people interested
therein as determined by the Tribal Commission.

Examiner. The Tribal Commission shall act as examiner for the
purpose of holding any hearing or the Tribal Commission may
appoint a Person qualified in the law or possessing knowledge or
expertise in the subject matter of the hearing to act as examiner for
the purpose of holding any hearing. Any such appointment shall
constitute a delegation to such examiner of the powers of the Tribal
Commission under this Code with respect to any such hearing.

Decision. The Examiner shall render a written opinion within 48
hours of the hearing.

4.23.5 Appeals. Affected parties may appeal a Tribal Commission

determination by filing a written appeal to the Gaming Review Board
within thirty (30) days of the Tribal Commission’s or Examiner's final
decision.

Appeals; Gaming Review Board

4.24.1

4.24.2

Establishment of Gaming Review Board The Gaming Review
Board is hereby established pursuant to the authority in Section 3.1

for the sole purpose of reviewing appeals from Tribal Commission
final decisions regarding: licensing, fines, sanctions or other
enforcement actions.

Review Board The Gaming Review Board shall consist of three (3)
members and the first Board shall be appointed by the Tribal
Council by November 1, 2000 and as follows: one member shall be
appointed for three (3) years; a member appointed for two (2)
years; and one member appointed for one (1) year. Upon the
expiration of the first terms, each member thereafter shall be
appointed for three (3) year staggered terms.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 19 of 47

4.18.12 To accept, review, approve or disapprove any Application for a
License.

4.18.13 To consult with and make recommendations to the Tribal council
tegarding changes in Tribal Gaming laws and policies.

4.18.14 To examine under oath, either orally or in writing, in hearings or
otherwise, any Person or agent, officer or employee of any person,
or any other witness with respect to any matters related to this
Code, including enforcement of tribal gaming laws, regulations, and
policies, and to compel by subpoena the attendance of witnesses
and the production of any books, records, and papers with respect
thereto.

4.18.15 To make, or cause to be made by its agents or employees, an
examination or investigation of the place of business, equipment,
facilities, tangible Personal property and the books, records,
Papers, vouchers, accounts, documents and financial statements
of any gaming operating, or suspected to be operating, within the
jurisdiction of the Tribe.

4.18.16 To delegate to an individual member of the Tribal Commission, or
to an individual member of the Tribal Council, or Tribal staff,

: as may be necessary to administer this ordinance
efficiently: provided, that the Tribal Commission may not re-
delegate its power to exercise any of the substantial governmental
functions of the Tribe or its power to promulgate rules and
regulations; and provided further that the Tribal Gaming
Commission may not delegate to any Person the power to
permanently revoke a License.

4.18.17 To issue fines and sanctions to the Gaming Facility if it is operating
in violation of this Code, and report significant violations of the
compact to:

the state Gaming Agency.

4.18.18 To sue or be sued in courts of competent jurisdiction within the
United States and Canada, subject by Section 4.7 and 4.8 herein;
provided, that no suit shall be brought by the Tribal Commission
without the prior explicit written approval of the Tribal Council.

4.18.19 To use the seal of the Tribal Gaming commission or the seal of the
Tribe with the approval of the Tribal Council.

4.18.20 To arbitrate, compromise, negotiate or settle any dispute to which it
is a party relating to the Tribal commission’s authorized activities.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 32 of 47

5.12.2

(1)

(2)
(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

The Licensee withheld pertinent information on the
Application;

The Licensee made false statements on the Application;

The Licensee participated in Gaming that was not authorized
by any Gaming License or regulatory approvals, and
therefore deemed illegal;

The Licensee attempted to bribe a Tribal Council member,
Commissioner or other Person, in an attempt to avoid or
circumvent Tribal law;

The Licensee offered something of value to a Tribal
Commission member;

The Licensee knowingly promoted, played or participated in
any Gaming operated in violation of Tribal or Federal law;

The Licensee is knowingly involved in the falsification of
books or records which relate to a transaction connected
with the operation of Gaming;

The Licensee violated this Code or the rules and regulations
of the Tribal Commission;

The Licensee has been convicted or has entered a plea of
nolo contendere to any crime involving Gaming, fraud, theft,
or embezzlement;

The Licensee has refused to comply with any lawful order,
inquiry or directive of the Tribal Commission, the Tribal
council, the Federal Government or any court of competent
jurisdiction;

The Licensee has been convicted of, or entered a plea of
nolo contendere to, a crime involving the sale of illegal
narcotics or controlled substances;

For any other reason the Tribai Gaming Commission deems
appropriate.

Procedure for Suspension

(1)

Upon reasonable cause that a violation of the Code has
occurred, the Tribal Commission or its designee may either


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 14 of 47

consent to the alienation, attachment or encumbrance of any such
land.

4.8 Sovereign immunity of the Tribe. All inherent sovereign rights of the
Tribe as a Federally-recognized Indian Tribe, with respect to the existence
and activities of the Tribal Commission, are hereby expressly reserved,
including sovereign immunity from suit in any state, Federal or Tribal court.
Nothing in this Code nor any action of the Tribal Commission shall be
deemed or construed to be a waiver of sovereign immunity from suit of the
Tribe, or to be a consent of the Tribe to the jurisdiction of the united States
or of any state or any other Tribe with regard to the business or affairs of the
Tribal Commission or the Tribe, or to be a consent of the Tribe to any cause
of action, case or controversy, or to the levy of any judgment, lien or
attachment upon any property of the Tribe; or to be a consent to suit in
respect to any land within the exterior boundaries of the reservation, or to be
a consent to the alienation, attachment or encumbrance of any such land.

4.9 Credit of the Tribe. Nothing in this Code nor any activity of the Tribal
Commission shall implicate or any way involve the monetary credit of the

Tribe.

4.10 Assets of the Tribal Commission. The Tribal Commission shall have only
those assets specifically assigned to it by the Tribal Council or acquired in
its name by the Tribe or by it on its own behalf. No activity of the Tribal
Commission or any indebtedness incurred by it shall implicate or in any way
involve any assets of tribal members or the Tribe not assigned in writing to
the Tribal Commission.

4.11. Membership

4.11.1 Number of Commissioners The Tribal Commission shall be
comprised of five-{5} ~. == Tribal Gaming Commissioners.

4.11.2 Organization the commission will consist of a Chairman and four
4) “ Commissioners.

(1) | The Chairman shall direct Tribal Commission meetings and
be the supervisor and responsible for day-to-day operations
of the Tribal Commission

(2) | The Chairman shall be the designated agent of service of
process.

(3) The Tribal Commission shall keep minutes of meetings and
provide a copy to the Tribal Council.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 6 of 47
2.23

2.24

2.25

2.26

2.27

2.28

2.29

“Exclusive License” means a license, which precludes the Tribal
Commission from issuing to another a license for the same specific form
of Gaming during the life of the exclusive license. An Applicant must
demonstrate and the Tribal Commission must find that the issuance of an
Exclusive License is in the economic interest and welfare of the Tribe.

“Games of Chance” means any game or activity, which falls within the
broad definition of Gaming or Gaming Activity.

“Gaming” or “Gaming Activity” means any activity, operation or game
of chance in which any valuable consideration may be wagered upon the
outcome determined by chance, skill, speed, strength or endurance, and
in which any valuable prizes awarded to the player so wagering.

“Gaming Device” means a slot machine, including an electronic,
electromechanical, electrical, or video device that, for consideration
permits: individual play with or against that device or the participation in
any electronic, electromechanical, electrical, or video system to which that
device is connected; the playing of games thereon or therewith, including,
but not limited to, the playing of facsimiles of games of chance or skill, the
possible delivery of, or entitlement by the player to, a prize or something of
value as a result of the application of an element of chance; and a method
for viewing the outcome, prize won, and other information regarding the
playing of games thereon or therewith.

“Gaming Facility” or “Gaming Establishment” means any building in
which Class II] Gaming Activities or Gaming operations occur, or in which
the business records, receipts, or other funds of the Gaming operation are
maintained (but excluding offsite facilities primarily dedicated to storage of
those records, and financial institutions), and all rooms, buildings, and
areas, including parking lots and walkways, a principal purpose of which is
to serve the activities of the Gaming operation, provided that nothing
herein prevents the conduct of Class Il Gaming (as defined under |GRA)
therein.

“Gaming Program” means any Tribal program, which oversees one or
more parts of the operation of Gaming. The Gaming Program must be
licensed by the Tribal Commission.

“Gaming Vendor” means the same as a “Gaming Resource Supplies” as
defined by the Compact or any Person or entity who, directly or indirectly,
manufactures, distributes, supplies, vends, leases or otherwise purveys
Class I! Gaming or Class Il Gaming resources to the Gaming Facility,
provided that the Tribal Commission may interpret this definition to
exclude a purveyor of equipment or furniture that is not specifically


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 29 of 47
5.3.3
5.3.4
5.3.5
5.3.6
5.4

5.5

5.6

The Tribal Gaming Commission shall provide a written report as to
findings and conclusions of the foregoing background investigation,
including, but not limited to:

5.3.3.1 Steps taken in conducting diligence.
5.3.3.2 Results of the conducted diligence
5.3.3.3 Conclusions from review of conducted diligence.

The Tribal Gaming Commission shall transmit the Applicant's
Application, file, and eligibility determination report to the NIGC in
accordance with the MOU between the Tribe and NIGC and
transmit the Applicant's information to the State Gaming Agency in
accordance with the Tribal/State Compact.

The Tribal Gaming Commission shall maintain the Applicant's file,
including applications, background investigation reports, and
eligibility determination reports, for inspection by the NIGC for no
less than three (3) years from the date of termination of
employment.

The Tribal Gaming commission, when it does not license an
Applicant, shall notify the NIGC and forward copies of the Tribal
Gaming Commission’s eligibility determination report and the
investigative report (if any).

License Application Submission to NIGC All Tribal gaming License
applications submitted to the Tribal Gaming Commission shall be forwarded
to the NIGC, which shall be the Tribal Gaming Commission's authorized
entity for processing fingerprint cards for background investigation
purposes. The background investigation shall, at a minimum, include a
check of criminal history records information maintained by the Federal
Bureau of Investigation. “

Notification and MOU with NIGC The Tribal Gaming Commission shall
notify the NIGC of the forwarding of Tribal Gaming License applications to
NIGC and shall enter into a Mémorandum Of Understanding (MOU) with the
NIGC providing, that any and all results obtained from the fingerprint cards
for background investigation purposes shall be viewed by Tribal government
Officials only.

Scope and Types of License

5.6.1 Gaming Employee License Employee Gaming licenses are
for those employees that deal in an area of Gaming or Cash



Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 26 of 47

activities while associated with a tribe or a gaming operation. Failure to consent to the

5.2.3

5.2.4

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. The disclosure of your social Security Number
(SSN) is voluntary. However, failure to supply a SSN may result in
errors in processing your application.

5.2.2.2 False Statement

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).

Submission to State Gaming Agency The applicant shall also
submit an application for a Determination of suitability along with
required releases to the State Gaming Agency.

Application Contents At a minimum, and whether the information is
relevant for the type of License applied for, the Application shall
contain the following information:

(1) The full name (and other names ever used), address,
telephone number, age, birth date and place, citizenship,
gender, and social security number or business identification

number of the Applicant.

(2) If the applicant has resided at his current address for less
than two years, his previous address.

(3) | The name, address and telephone number of the Licensee
for whom he will work and the specific location at which he
will be employed. A description of the job, task, or service
the Applicant will provide.

(4) | The names and addresses of the Applicant's Immediate
Family.

(5) — The Applicant's criminal and civil record, if any, and an
explanation of any crimes for which he has been convicted
or civil suits he has lost, or to which he has entered a plea or
nolo contendere.

(6) | Adisclosure of any judgment rendered against the Applicant.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A.
Page 3 of 47

(1) To fund Tribal government operations or programs.

(2) To provide for the general welfare of the Tribe and its
members.

(3) To promote Tribal economic development.
(4) | To donate to charitable organizations

(5) To help to fund operations of local government agencies,
general governmental services, the maintenance of peace
and good order, the establishment of educational systems
and programs, and the promotion and regulation of
economic activities within the sovereign jurisdiction of the
Tribe.

1.3.2 Tribal Gaming Policy The establishment, promotion and operation
of Gaming is necessary, provided that such Gaming is regulated
and controlled by the Tribe pursuant to the Tribal/State Compact
authorized by the Indian Gaming Regulatory Act, and that the
revenues of such Gaming are used exclusively for the benefit of the

Tribe.

1.3.3. Tribal Ownership of Gaming Facility The Tribe shall have sole
proprietary interest in and responsibility for the conduct of Gaming

Facilities and/or enterprises authorized by this Code.

1.3.4 Tribal Class || Gaming Authorized Class II Gaming is authorized as
defined in the IGRA, P.L. 100-447, 25 U.S.C. Section 2703(7)(A)

and by regulations promulgated by the NIGC.

1.3.5 Tribal Class Ill Gaming Authorized Class II] Gaming is authorized
and permitted only to the games identified pursuant to Section 4.1
of the Tribal/State Compact as approved by the Secretary of the
Interior, and played in accordance within the definitions and scope
of the IGRA, P.L. 100-447, 25 U.S.C. Section 2703(8) and by
regulations promulgated by the NIGC.

SECTION 2. DEFINITIONS

In this Code, except where otherwise specifically provided or the context
otherwise requires, the following terms and expressions shall have the following
meanings:

2.1 “Adjusted Gross revenues” means gross revenues less all cash prizes
or the aggregate price of merchandise prizes, except in the case of the


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 2 of 47

1.2

1.3

1.1.6 Tribal operation and licensing of Gaming is a legitimate means of

1.1.8

generating revenue to address the aforementioned needs and
pursuing the Tribe's goal of self-sufficiency and self-determination.

The State, in recognition of the Tribe’s sovereign right and need for
Gaming, has entered into a Tribal/State Compact (“Compact”)
pursuant to the terms and conditions of the Indian Gaming
Regulatory Act.

As a result of the foregoing, the adoption of a new and expanded
Gaming Ordinance is in the best interest of the Tribe and state.

Intent The Tribal Council, on behalf of the Tribe, declares that the intent
of this Code is to:

1.2.1

1.2.2

1.2.3

1.2.4

1.2.5

1.2.6

1.2.7

1.2.8

Regulate, control, and oversee Gaming within the jurisdiction of the
Tribe.

State, declare and otherwise clarify that a License related to
Gaming is a revocable privilege, not a right.

Ensure that the operation of Tribally regulated Gaming can
continue as a means of generating Tribal revenue.

Ensure that Gaming is conducted fairly and honestly by both
licensees and players, and that it remain free from corrupt,
incompetent, unconscionable and dishonest practices.

Encourage Tribal economic development and employment
opportunities.

Ensure that all Gaming revenue is used for the benefit of the Tribe
and its community.

Ensure that the Tribe provides a fair and impartial forum for the
resolution of Gaming disputes.

Ensure that Tribal Gaming laws are strictly and fairly enforced upon
Persons involved in Gaming Activity within the jurisdiction of the
Tribe.

Policy

1.3.1

Tribal Policy of Self-Government The Tribe is firmly committed to
the principle of Tribal self-government. Consistent with Federal
policy, Gaming revenues shall be utilized and expended by the
Tribal Council by resolution and only for the following purposes:



Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 15 of 47

4.11.3 Qualifications for Tribal Commission Positions

(1) Boge er Evens

(2) Tribal Commissioners must pass the scrutiny of a
background check pursuant to 4.11.5 below.

(3) Tribal Commissioners shall have expertise, experience,
education gee “e.>=7 ora combination thereof

in the following areas: finance, management, legal,
business, governmental regulation, and Tribal policy and
law.

(4) Tribal Commissioners shall be at least twenty-five (25) years
of age.

4.11.4 Date of Appointment. The Tribal Council shall appoint Tribal
Commissioners at the General Council Meeting in the first week of

each July.

4.11.5 Background Check. Prior to the time that any Tribal Commission
member takes office on the Tribal Commission, the Tribe shall
perform or arrange to have performed a comprehensive
background check on each prospective member. No Person shall
serve as a Commissioner if:

(1) his/her prior activities, criminal record, if any, or reputation,
habits or associations:

(i) Pose a threat to the public interest; or

(ii) Threaten the effective regulation and control of
Gaming; or

(iii) | Enhance the dangers of unsuitable, unfair, or illegal
practices, methods, or activities in the conduct of
Gaming; or

(2) he/she has been convicted of or entered a plea of nolo
contendere to a felony or any jurisdiction or to a
misdemeanor involving dishonesty or moral turpitude in any
jurisdiction; or

(3) | He/She has a direct monetary or financial interest in the
conduct of any Gaming Enterprise or in privity with a
Management Contractor; or


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 5 of 47
2.11

2.12

2.13

2.14

2.15

2.16

2.17

2.18

2.19

2.20

2.21

2.22

“Class {1 Gaming” means those Gaming activities as defined as Class |I
Gaming in the |GRA of 1988, P.L. 100-447, 25 U.S.C. Section 2703(7).

“Class Ill Gaming” means those Gaming activities as defined as Class II!
Gaming in the IGRA of 1988, P.L. 100-447, 25 U.S.C. Section 2703(8).

“Code” means this Tribal Gaming Ordinance of the Santa Rosa
Rancheria Tachi-Yokut Tribe, as amended.

“Compact” means the Gaming compact between the Tribe and the State,
as authorized by the Indian Gaming Regulatory Act.

“Compensation” means all wages, salaries, perks, bonuses and all other
forms of enumeration for services rendered.

“Contract” means any legally binding agreement made between a
Licensee and another Person for the purpose of conducting any form of
lawful Gaming Activity, or providing goods or services to any lawful
Gaming Activity or operation.

“Council” or “Tribal Council” means the governing body of the Tribe
pursuant to resolution 83-13.

“Determination of Suitability” means a formal finding by the Tribal
Commission or State Gaming Agency that the Applicant of Licensee is
suitable to obtain and/or maintain the License.

“Employee” means any person who (a) operates, maintains, repairs,
assists in any Gaming Activity, works in, or is in any way responsible for
supervising such Gaming Activities or persons who conduct, operate,
account for, or supervise any such Gaming Activity, (b) is in a category
under federal or Tribal gaming law requiring licensing, (c) is an employee
of the Tribal Gaming Commission with access to confidential information,
or (d) is a person whose employment duties require or authorize access to
areas of the Gaming Facility that are not open to the public.

“Enrolled Tribal Member” means a Person who is enrolled with the
Tribe, and whose name appears on the tribal membership roll.

“Enterprise” means the economic entity that is licensed by the Tribal
Commission, operates the games, receives the revenues, issues the
prizes, and pays the expenses. A gaming enterprise may be operated by
the Tribe or a Management Contractor.

“Equipment for Games of Chance” (see “Gaming Apparatus”)


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 21 of 47

4.19

4.20

necessary to protect assets or interests of the Tribe pursuant to
the due process and hearings required by Section 4.23 herein.

4.18.32 To become self-regulating whenever the Tribe becomes eligible for
a certificate of self-regulation under the IGRA.

4.18.33 To file with the State Gaming Agency a request to be heard on any
denial of a Determination of Suitability.

4.18.34 To ask for the assistance of the State Gaming Agency to carry out
the Class III provisions of this Code and to reimburse the State
Gaming Agency for any costs that it incurs in the provision of this
service.

4.18.35 To assist Management in taking all steps necessary and
appropriate to insure the physical safety of all Tribal Gaming
Enterprises, their Licensees, patrons and employees

4.18.36 Notwithstanding any authority granted herein, the Tribal
Commission shall endear to follow rules, regulations, standards,
specification and procedures which are consistent with the state
Gaming agency’s rules, regulations, standards, specifications and
procedures adopted pursuant to sections 6.0-8.0 of the Compact.

4.18.37 To enact and adhere to its own internal controls including a conflict
of Interest policy governing Commissioners and Tribal Gaming
Commission staff.

Annual Budget. The Tribal Commission shall prepare an annual operating
budget for all Tribal Commission activities and present it to the Council by
October 15 of each year.

Tribal Commission Regulations

4.20.1 Tribal Commission regulations necessary to carry out the orderly
performance of its duties and powers shall include, but shall not be
limited to, the following:

(1) The Minimum Internal Control Standards (“MICS”) as issued
by the NIGC;

(2) Interpretation and application of this Code, as may be
necessary to enforce the Tribal Commission's duties and
exercise its powers;


FEB 1 2006

Elmer Thomas, Vice Chairman
Santa Rosa Rancheria Tachi Tribe

P.O. Box 8
Lemoore, California 93245

RE: Approval of the Santa Rosa Rancheria Tachi Tribe’s Gaming Ordinance Amendment
Dear Mr. Thomas:

This letter responds to your request to the National Indian Gaming Commission (NIGC) for
the review and approval of the amendments to the Santa Rosa Rancheria Tachi Tribe’s (Tribe)
Gaming Ordinance, as revised and received in this office on November 25, 2006.

The ordinance replaces a gaming ordinance that the Chairman of the NIGC originally
approved on June 27, 1994 and amended on March 12, 2001, by Resolution No. 2001
and further amended on June 2, 2005, by Resolution No. 2005-98. We have reviewed the
ordinance as amended. This letter constitutes approval of your submission under the Indian
Gaming Regulatory Act (IGRA). Such approval does not constitute approval of specific
games. It is important to note that the gaming ordinance is approved for gaming only on
Indian lands, as defined in the IGRA, over which the Tribe exercises jurisdiction.

Thank you for submting the revised amendments to the tribal gaming ordinance of the

Santa Rosa Rancheria Tachi Tribe for review and approval. The NIGC staff and I look

forward to working with and the Tribe in implementing the IGRA. If you have questions
is x(ce, please contact Ms. Frances Fragua at 202/632-7003.

Philip N. Hogen
Chairman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 + WWwW.NIGC.cov

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


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 44 of 47

9.3

9.2.4 The prevention of illegal activity from occurring within the

9.2.5

9.2.6

9.2.7

9.2.8

Gaming facility including employee procedures and
surveillance;

The recording of occurrences that deviate from normal
operating policies including the following procedure for
reporting incidents;

(1) Specify that security personnel record all incidents,
regardless of immateriality;

(2) | Require the assignment of a sequential number to
each report;

(3) Provide for permanent reporting in indelible ink in a
bound notebook;

(4) | Require that each report include the following:

(i) The record number.

(ii) | The date.

(iii) | The time.

(iv) The location of the incident.

(v) | Adetailed description of the incident.

(vi) The persons involved in the incident.

(vii) The security personnel assigned to the
incident.

The establishment of employee procedures designed to
permit the detection of any irregularities, theft, cheating,
fraud, or the like;

Maintenance of a list of persons barred from the Gaming
Facility;

No regulation of the Tribal gaming Commission or State
Gaming Agency shall be adopted as a final regulation before
the expiration of 30 days after submission of the proposed
regulation, and after consideration of the Tribe’s comments,
if any.

Insurance Requirements Pursuant to the Tribal/state compact,
the Gaming contractor shall ensure that the Enterprise shall carry a
minimum of Five million Dollars ($5,000,000.00) liability insurance
to protect the public in the event of an accident.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 8 of 47

2.38

2.39

2.40

(2) | Counting room supervisor and Personnel;

(3) Chief of security, or any person who supervises or directs
other employees engaged in providing security or
surveillance services;

(4) | Custodian of Gaming supplies or cash;

(5) Floor manager; manager or General manager;
(6) Pit boss;

(7) Dealer;

(8)  Croupier;

(9)  Approver of credit or whose recommendation in this regard
are ordinarily sought or followed; or

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

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

2.37.3 if not otherwise included, an other person who supervises or
directs other employees engaged in the control of Gaming assets
and revenues and record keeping, including the recording of cash
and evidences in indebtedness, and the maintenance, review, or
control of the records, accounts, and reports of transactions; or

2.37.4 If not otherwise included, the four most highly compensated
persons in the Gaming Facility, or

2.37.5 Any Applicant or Person the Tribal Commission finds is important
or necessary to the operation of the Gaming Facility.

“License” means the official, legal and revocable permission granted by
the Tribal Commission to an Applicant to conduct “Licensed” Gaming
Activities of the Tribe.

“Licensee” means the Employee, Key Employee, Primary Management
Official, Vendor, Enterprise or Facility that has legitimately obtained a valid
License.

“LOTTO” means a form of Gaming in which the revenues derived from
the sale of tickets or chances are pooled and those revenues or parts


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 7 of 47

2.30

2.31

2.32

2.33

2.34

2.35

2.36

2.37

designed for, and is distributed generally for use other than in connection
of Gaming. Gaming Vendors must be Licensed.

“General manager” means the Person or entity, which has management

responsibilities for the Gaming Activity, and which shall have access to all

areas of the Gaming Facility, provided that such access to the surveillance
room and count room shall be by prior notice to the Tribal commission.

“Gross Revenues” means all gaming and non-gaming revenues
collected or received from the lawful Gaming Enterprise.

“Immediate Family” means, with respect to the Person under
consideration, a husband, wife, father, mother, son, daughter, brother,
sister, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-
law, sister-in-law, stepfather, stepmother, stepson, stepdaughter,
stepbrother, stepsister, half brother or half sister.

“Indian Gaming Regulatory Act” or “IGRA” means public Law 100-497,
102 Stat. 2426, 25 U.S.C. §§2701, et seq. (1988), as amended.

“Indian Lands” means:

2.34.1 Lands within the limits of the Tribe’s exterior boundaries, whereby it
exercises sovereign jurisdiction over such lands, notwithstanding
the issuance of any patent and including right-of-way running
through such lands, and

2.34.2 Lands title to which is either held in trust by the United States for
the benefit of the Tribe or individual Indian or held by the Tribe
subject to restriction by the united States against alienation and
over which the Tribe exercises governmental powers; and

2.34.3 lands that may be acquired by the Tribe that meet the requirements
of 25 U.S.C. Section 2719 et seq.

“In privity with” means a relationship involving one who acts jointly with
another or as an accessory before the fact to an act committed by the
other or as a co-conspirator with the other.

“IRS” means the Untied States Internal Revenue Service.

“Key Employee” means:

2.37.1 A Person who performs one or more of the following functions:

(1) Bingo caller;


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 40 of 47

7.7

Miscellaneous

7.74

7.7.2

The enterprise shall provide adequate security to protect the public
before, during, and after Gaming.

The enterprise may not discriminate on the basis of sex, race,
color, or creed in the conduct of Gaming.

SECTION 8. ENFORCEMENT

8.1

8.2

Jurisdiction Except as provided in this Code or the compact, the Tribal
Commission, Tribal court and Review Board shall have jurisdiction over all

violations of this Code.

Prohibited Acts !n addition to other civil and criminal offenses provided for
in their Code, the following acts are prohibited by any Person and subject
any violator to the civil or criminal penalties specified herein:

8.2.1

8.2.2

8.2.3

8.2.4

8.2.5

8.2.6

8.2.7

8.2.8

8.2.9

8.2.10

Participating in any Gaming, which is not authorized by this Code.

Knowingly making a false statement in connection with any
Contract to participate in any Gaming Activity.

Attempting to bribe any Person participating in any Gaming Activity.

Offering or accepting a loan, financing or other thing of value
between a Tribal Commission member or employee and any
Person participating in any Gaming Activity.

Promoting or participating in any illegal Gaming Activity.

Failing to keep sufficient books and records to substantiate
receipts, disbursements and expenses incurred or paid from any
Gaming Activity authorized pursuant to this Code.

Falsifying any books or records that relate to any transaction
connected with any Gaming Activity pursuant to this Code.

Conducting or participating in any Gaming Activity, which results in
Cheating

Allowing participation in Gaming Activity by or with an intoxicated or
disorderly Player

Allowing or participating in the sale of liquor when such sale is
prohibited by Tribal law.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 28 of 47

5.3

5.2.5

(21) Any other information that the Tribal Gaming Commission
deems appropriate

Business Entities In addition to the relevant information requested
in 5.2.4, business entities shall also submit the following:

(1) Each of its officers and directors;

(2) Each of its principle management employees, including any
chief executive officer, chief financial officer, chief operating
officer, and general manager;

(3) Each of its owners or partners, if an unincorporated
business;

(4) Each of its shareholders who own more that 10 percent of
the shares of the corporation, and

(5) Each person or entity that, alone or in combination with
others, has provided financing in connection with Gaming
authorized under this Compact.

Review of License Application The Tribal Gaming Commission shall
thoroughly review and conduct a background investigation for each Tribal
Gaming License Application sufficient to make a determination of eligibility
as required under this Code. The Tribal Gaming commission’s review and
background investigation shall include, but is not limited to the following:

5.3.1

5.3.2

The Tribal Gaming Commission shall arrange-fora-city or-county

Galiferniate-take the applicant’s fingerprints. Each applicant shall
submit the-completed-fingerprint-card his/her fingerprints along with

his/her application to the Tribal Gaming Commission.

The Tribal Gaming Commission shall review diligently, the
information provided in the Tribal Gaming License Application,
including, but not limited to, contacting and investigating all
resources identified in the Tribal Gaming License Application. An
authorized Tribal official, identified by the Tribal Gaming
commission, shall review an Applicant's prior activities, criminal
record (if any), reputation, habits, and associations in order to make
an eligibility determination for key employees and primary
management officials.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 45 of 47
9.4

9.5

9.6

IRS Requirements The General Manager shall be responsible for
seeing that Gaming Activity is managed in accordance with Tribal
and Federal law and that such Gaming Activity complies with all
IRS reporting requirements.

Audit Requirements

9.5.1

9.5.2

9.5.3

Annual Enterprise Audit The Tribal Commission and the
General Manager of the Enterprise shall obtain an annual
independent audit of such Enterprise by a certified public
accountant using the accounting standards for audits of
casinos of the American Institute of Certified Public

Accountants.

Contract Audits Each contract for supplies, services (other
than legal and accounting services) or concessions for a

contract amount in excess of Twenty-five Thousand Dollars
($25,000) annually shall be subject to an independent audit.

Copies A copy of all such audits shall be provided to the
Tribal Commission, the Tribal Council, State Gaming Agency
and NIGC.

Management Contracts

9.6.1

9.6.2

Each Management Contract is subject to the prior approval
of the National Indian Gaming Commission.

Each Management Contract shall be approved by the Tribal
Council. In making its selection, the Tribal Council shall
review the following:

(1) | Background information on the proposed
Management Contractor including: its name, its
address, the names and addresses of each person or
entity having a direct financial interest or management
responsibility for the proposed management
contractor, and in the case of a corporation the names
and addresses or each member of its board of
directors and all stockholders who hold directly or
indirectly ten percent (10%) or more of its issued or
outstanding stock.

(2) | Adescription of any previous experience that each
person listed in subsection above has had with other
Gaming contracts with Indian Tribes or with the


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 27 of 47

(7)

(8)

(9)

(10)

(11)

(14)

(15)

(16)

(17)

(18)

(19)

(20)

The names, addresses and telephone numbers of three
references who are not related to the Applicant.

A list of the applicant's previous jobs over the preceding five
(5) years and his present business affiliations.

The identity of any ownership interest in any past business
ventures.

The disclosures or whether there is a previous contractual
relationship with an Indian tribe.

A sworn statement whether the Applicant or any member of
his/her Immediate Family has a past or current financial
interest in any Gaming-related enterprise anywhere.

A list of all Gaming-related licenses the Applicant has ever
applied for, whether or not they were granted such license.

A list of all professional, occupational or business licenses
the Applicant has ever applied for, whether or not they were
granted such license.

A statement of all languages written or spoken.

Written permission giving the Tribal Commission, State
Gaming Agency and NIGC or its designees the right to the
Applicant's background, including his criminal record.

A complete disclosure of any pending or anticipated civil or
criminal action against the Applicant.

A sworn statement that if the License applied for is issued,
the Applicant will submit to the jurisdiction of the Tribe and
the Tribal Court.

A sworn statement that the Applicant will abide by all
applicable Tribal and Federal laws, regulations and policies.

A photograph of the Applicant taken within the past year.
A written statement that the information contained in the

Application is true and correct to the best of Applicant's
knowledge.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 4 of 47

2.2

2.3

2.4

2.5

2.6

2.7

2.8

2.9

2.10

games of draw poker and stud poker. Regarding games of draw poker
and stud poker, “adjusted gross revenues” means the time buy-ins or
tournament fees collected by the Licensee.

“Applicant” means any Person or entity who has applied for a License
under the provisions of this Code.

“Applications” means a request for the issuance of a License for
employment by a Gaming Facility, or for approval of any act or transaction
for which approval is required or permitted under the provisions of this
Code.

“Association” means representatives from California tribes, the
California State Division of Gaming Control and the California Gambling
Control Commission as established pursuant to Section 2.2 of the
Compact.

“Bingo” means the game of chance commonly known as bingo (whether
or not electronic, computer or other technologic aids are used in
connection therewith) which is played for prizes, including monetary
prizes, with cards bearing numbers or other designations, in which the
holder of each card covers such numbers or other designations when
objects, similarly numbered or designated, are drawn or electronically
determined, and in which the game is won by the first Person covering a
previously designated arrangement of numbers or designations on such
cards, including (if played in the same location) pull-tabs, lotto, punch
boards, tip-jars, instant bingo and other games similar to bingo.

“Breakage” means the remainder by which the amount payable on each
dollar wagered exceeds a multiple or ten cents, and in a minus pool, five
cents.

“Capital Cost” means any disbursement for Personal property, the useful
life of which is expected to extend beyond one year.

“Casino” means an establishment in which several Gaming activities or
enterprises are operated.

“Charitable Gaming Ticket” means any game piece used in the play of a
paper pull tab game, or jar ticket game, or raffle.

“Cheating” means a Person’s operating or playing in any game in a
manner in violation of the written or commonly understood rules of the
game, with the intent to create for himself or someone in privity with him
an advantage over and above the chance of the game.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 18 of 47

4.18.2

4.18.3

4.18.4

4.18.5

4.18.6

4.18.7

4.18.8

4.18.9

make Management decisions as to the day-to-day operations of
the Gaming Enterprise.

To investigate any reported violations of this Code, the compact, or
any other applicable law regarding Gaming within the jurisdiction of
the Tribe.

To act as liaison with the NIGC and California Division of Gaming
Control Commission.

To publish and distribute copies of this code and Tribal Commission
rules and any Tribal Council, Tribal Commission or Tribal Court
decisions regarding Gaming matters.

To prepare and submit for Tribal Council approval proposals,
including budget and monetary proposals, which could enable the
Tribe to better carry forth the policies and intent of this Code.

To work directly, and only with the Tribal Council with regard to any
Gaming issues, °° ° ae .

To make or cause to be made reasonable inspections or
investigations as it deems necessary to ensure compliance with this
Code. In undertaking such investigations, the Tribal Commission
may request the assistance of Tribal gaming staff, federal and local
law enforcement officials, legal counsel and other third parties.

To request the assistance of the Tribal court or tribal Appellate
Court, if and when established, in conducting Gaming hearings.

To arrange for training of Tribal commission members and
employees in areas relating to the regulation or operation of
Gaming.

4.18.10 Upon prior explicit resolution and approval of the Tribal council, to

employ such advisors as it may deem necessary. Advisors may
include, but are not limited to, lawyers, accountants, law
enforcement specialists and Gaming professionals.

4.18.11 To promulgate rules and regulations to implement and further the

provisions of this Code; provided such rules or regulations are
approved by Tribal Council resolution or ordinance.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 35 of 47

5.16

5.15.5 Written proof that the Licensee has paid to the national Indian
Gaming commission such fees as federal and Tribal law may

require it to pay;

5.15.6 A sworn statement that the Licensee has complied with the IRS
including written notice of customer winning;

5.15.7 The number of full-time equivalent people, on an annualized basis,
employed by the operation during the past twelve (12) months,
together with a projection of the number of full-time equivalent
people who are expected to be employed during the next license

period;

5.15.8 A sworn statement that the Licensee will continue to comply with all
Tribal and Federal laws applicable to Gaming;

5.15.9 The name, address and signature of the agent who will accept
service of process on behalf of the Licensee, who must reside on

the reservation, and

5.15.10 If the Licensee is a corporation, a copy of any amendment to its
articles of incorporation, properly certified by the incorporating
government, unless a current copy has already been filed with the
Tribal commission.

State Gaming agency Licensing

5.16.1 Except as provided in Section 5.16 above the Tribe will not employ
or affiliate with any Person whose application to the State Gaming
agency for a determination of suitability has been denied.

5.16.2 Notwithstanding section 5.14.1, the Tribe may employ a Person
who has been denied for a determination of suitability by the State
Gaming agency if:

(1)
(2)

The person holds a valid and current Tribal License;

The denial by the State Gaming agency is based on reasons
that antedate the filing of the Person’s initial application to
the State Gaming agency;

The Person is not an employee of another Gaming
Enterprise;

The Person has been in continuous employ for at least three
years by the Tribe prior to the effective date of the Compact.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 36 of 47

5.16.3

Notwithstanding Section 5.14.1, the Tribe may employ a Person
who has been denied for a determination of suitability by the State

Gaming agency if:

(1) The Person is an Enrolled Member of the Tribe;

(2) | The person holds a valid and current Tribal License;

(3) The denial by the State Gaming agency is based on reasons
that antedate the filing of the person’s initial application to

the State Gaming Agency;

(4) The Person is not an Employee of another Gaming
Enterprise.

5.17 Miscellaneous Licensing Provisions

5.17.1

5.17.2

5.17.3

No License shall be sold, lent, assigned or otherwise transferred.

Each Licensee shall have a copy of the Code and regulations
readily available for inspection by any Person at each authorized
Gaming site.

The Tribe shall monthly provide the State Gaming Agency with the
name, badge identification number, and job descriptions of all non-
key Gaming employees.

SECTION 6. BANK ACCOUNTS AND RECORDKEEPING

6.1

6.2

Bank Account The Tribe shall open a separate bank account for the
enterprise and all receipts of each Gaming Activity shall be deposited in the

account.

Record Keeping Accounting records of the Gaming, enterprise, and
Facility shall be kept on a double entry system of accounting, maintaining
detailed supporting and subsidiary records. The Tribe shall maintain the
following records for not less than three-{3} five (5: years:

6.2.1

6.2.2

Revenues, expenses, assets, liabilities and equity for each location
at which Class !I and Class II] Gaming is conducted.

Daily cash transactions for Gaming, including but not limited to
transactions relating to each Gaming table, game drop box and
game room bank.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 24 of 47

4.25

4.24.3 Vacancies Review Board members can be removed only with
cause by the Tribal council. The Tribal Council shall replace
vacancies within thirty (30) days for the remaining term of the
vacancy.

4.24.4 Qualifications

(1) Each Review Board Member shall have a minimum of a four
(4) year college degree and eight (8) years experience in the
field of law, accounting, gaming management, or gaming
regulation or an equivalent combination thereof.

(2) Each Board member shall be subject to the same
background and licensing standards as Commissioners
pursuant to 4.11.5 herein.

(3) Board members or their Immediate Families may not be
employed in any Gaming operation, may not hold elected
Tribal office, and may not engage in any Gaming Activity
with the Gaming Enterprise.

4.24.5 Compensation. Board members shall be paid at a stipend rate for
each meeting the Board members are required to attend. Board
members shall also be reimbursed for necessary travel expenses.

4.24.6 Meetings. The Review Board shall meet no more than once per
month, unless deemed necessary by the Tribal Council. Should
additional meetings be necessary, the Board members shall agree
mutually on agreeable dates.

4.24.7 Review and Hearing. The Gaming Review Board shall review the
Commission's decision within thirty (30) days from receiving the
written appeal. The review Board may, if it finds it necessary,
request another hearing. The Gaming Review Board may oniy
consider the administrative record as developed by the process
providec in this Code. The Gaming Review Board may not conduct
2 Ge nove review

4.24.8 Findings. The Gaming Review Board shall issue a written
determination within three (3) days from reviewing the
Commission’s decision and either reverse or affirm the
Commission’s decision.

Quarterly Report. The Tribal Commission shall file a quarterly report to the
Tribal Council summarizing reports received from each of the Tribe’s
Gaming Facilities and make such comments as it deems necessary to keep


CERTIFICATE OF APPROVAL

In accordance with the Articles of Community Organization of the Santa Rosa Indian
Community, Santa Rosa Rancheria, Kings County, California (Articles), as approved by the
Assistant Secretary of the Interior on May 8, 1963, as amended, Article VI - Powers of the
Governing Body, Section 1., which reads, in part, The following powers, E through J, shall be set
forth in ordinances or resolutions passed by the General Council and approved by the
Commissioner of Indian Affairs. Further, Article VI - Section 1, K, empowers the General
Council “[t]o delegate any of its authorities or responsibilities to the Business Committee"
subject to "{a]pproval by the Commissioner of Indian Affairs,” I find that General Council
Resolution No. 2005-98 is in compliance with the Articles. Therefore, Resolution No. 2005-98,
is hereby approved and effective on the dated below.

act 25 28
=~
Regional Wirectol, Pachfic Region Date:

Bureau of Indian Affairs



Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 43 of 47

8.8

8.9

Seizure and Forfeiture of Property Property utilized in violation of this
Code shall be subject to seizure and forfeiture by order of the Tribal
Commission pursuant to such procedures and rules as the Tribal
commission shall promulgate.

Reporting of Offenders The Tribal Commission, upon final conviction of
any person under this subsection, shall report the name of the Person
convicted to the Tribal Council, State Gaming Board and NIGC.

SECTION 9. GAMING MANAGEMENT

9.1

9.2

Management by a Gaming Contractor

9.1.1

The Gaming contractor, or if no Gaming Contractor the Tribe, shall
identify in writing a Person(s) who shall serve as General Manager
of the Gaming Enterprise. The General manager appointed shall
undergo a background check by the Tribal Commission and shall
obtain a License before commencing work.

The General manager shall have access to any area within the
Gaming Facility in accordance with the limitations defined in
Section 2.30.

The General manager shall present a written monthly report to the
Tribal Commission which estimates the number of patrons service,
the amount of income generated, the numbers of employees
working at the establishment, a detailed description of any patron
complaints and other problems experienced at the establishment, a
written statement of any changes in Primary management Officials
and all bills which are thirty (30) days or more past due.

Rules and Regulations for Management The Tribal Commission shall,
with the input and suggestions of primary management Officials, promulgate
rules and regulations or specifications governing the following subjects:

9.2.1 The enforcement of all relevant laws and rules with respect
hereto;

9.2.2 Ensuring the physical safety of enterprise patrons and
Employees;

9.2.3. The physical safeguarding of assets transported to, within ,
and from the Gaming Facility;


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 41 of 47

8.2.11

8.2.12

8.2.13

8.2.14

8.2.15

8.2.16

8.2.17

8.2.18

8.2.19

8.2.20

8.2.21

8.2.22

8.2.23

Accepting consideration other than money, tokens or chips for
participation in any Gaming Activity.

Using bogus or counterfeit chips or charitable Gaming tickets, or to
substitute or use any cards, charitable gaming tickets or Gaming
equipment that has been marked or tampered with.

Employing or possessing any cheating device or to facilitate
cheating in any Gaming Activity.

Willfully using any fraudulent scheme or technique to change the
odds of any game of chance.

Soliciting, directly or indirectly, or using inside information on the
nature or status of any Gaming Activity for the benefit of an
individual.

Tampering with a Gaming Device, attempting to conspire to
manipulate the outcome or the payoff of a Gaming Device, or
otherwise unlawfully tampering with or interfering with the proper
functioning of the machine.

Alter or counterfeiting a Gaming license.

Aiding, abetting, or conspiring with another Person knowingly or
knowingly to cause any Person to violate any provision of this Code
or any rules and regulations adopted hereunder.

Operating, using or making available to the public any illegal
Gaming Device, apparatus, material or equipment.

Selling, holding out for sale or transporting into or out of the
jurisdiction of the Tribe any illegal gaming Device, apparatus,
material or equipment.

Assisting or allowing Person who is under the age of Eighteen (18)
to participate in a Gaming activity.

Possessing any illegal narcotics or controlled substances on any
licensed Gaming site.

Stealing or attempting to steal funds or other items of value from
any Gaming Facility or from the Tribal commission.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 11 of 47
2.58

2.59

2.60

“Tribal Court” means the Tribal Council of the Tribe until such time as a
Tribal Court can be created.

“Tribe” means the Santa Rosa Rancheria Tachi-Yokut Tribe.

“Wager” means the initial bet made in any game.

Section 3. GENERAL PROVISIONS

3.1

3.2

3.3

3.4

Authority This Code is enacted pursuant to the inherent sovereign
powers of the Tribe pursuant to Article VI of the Constitution, and the
power delegated to the Tribal Council pursuant to Resolution 83-13

Title, Repeal of Prior Laws, and Effect of Repeal This Code may be
cited as the Santa Rosa Rancheria Tachi-Yokut Tribe Gaming Code or
“Code”. The Code shall be appropriately inserted in the Tribal
Constitution.

3.2.1 All titles, chapters and sections of the Tribal Code which pertain to
Gaming and are in effect as of the date that this Code becomes
operative, are hereby repealed, and all other laws, or parts thereof,
inconsistent with the provisions of this Code are hereby repealed.

3.2.2 Repeal of this Code, or any portion thereof, shall not have the effect
of reviving any prior Law, Ordinance, or Resolution theretofore
repealed or suspended.

Construction In construing the provisions of this Code, unless the
context otherwise requires, the following shall apply:

3.3.1 This Code shall be liberally construed to effect its purpose and to
promote substantial justice.

3.3.2 Words in the present tense include the future and past tenses.

3.3.3 Words in the singular number include the plural, and words in the
plural number include the singular.

3.3.4 Words of the masculine gender or neuter include masculine and
feminine genders and the neuter.

Severability If any section of this Code is invalidated by a court of
competent jurisdiction, the remaining sections shall not be affected
thereby.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 13 of 47

recognized by all branches of the United States Government as having
been delegated the right to exercise one or more substantial governmental
functions of the Tribe.

4.6 Sovereign Immunity of the Tribal Commission

47

4.6.1

4.6.2

4.6.3

Authority. The Tribal Commission is clothed by Federal and Tribal
law with all the privileges and immunities of the tribe, except as
specifically limited by this Code, including sovereign immunity from
suit in the State, Federal or Tribal Court.

No Waiver. Nothing in this Code shall be deemed or construed to
be a waiver of sovereign immunity of the Tribal Commission from
suit, which shall only be waived pursuant to subsection 4.7 below.

No Consent to Jurisdiction. Nothing in this Code shall be deemed
or construed to be a consent of the Tribal Commission to the
jurisdiction of the united states or of any state or of any other tribe
with regard to the business or affairs of the Tribal commission.

Waiver of Sovereign Immunity of the Tribal Commission Sovereign
immunity of the Tribal Commission may be waived only by express
resolutions of both the Tribal Commission and the Tribal Council after
consultation with its attorneys.

4.7.1

47.2

4.7.3

474

Resolution Effecting Waiver. All waivers of sovereign immunity

must be preserved with the resolutions of the Tribal Commission
and the Tribal council of continuing force and effect.

Policy on Waiver. Waivers of sovereign immunity are disfavored
and shall be granted only when necessary to secure a substantial
advantage or benefit to the Tribal Commission.

Limited Nature to Waiver. Waivers of sovereign immunity shall not
be general but shall be specific and limited as to duration, grantee,
transaction, property or funds, if any, of the Tribal Commission
subject thereto, court having jurisdiction pursuant thereto and law
applicable thereto.

Limited effect of Waiver. Neither the power to sue and be sued
provided in subsection 4.7 herein, nor any express waiver of
sovereign immunity by resolution of the Tribal Commission, shall be
deemed a consent to the levy of any judgment, lien or attachment
upon property of the Tribal Commission other than property
specifically pledged or assigned, or a consent to suit in respect of
any land within the exterior boundaries of the reservation or


Dated this Z2— _ of June, 2005. . diet!
(iL drew EE

Clarence Atwell, Jr., Chairman

ATTEST:

Dated this ete day of June, 2005.

CYlower

Kevin Thomas, Tribal Secretary

APPROVED:

Dated this day of June, 2005.

Dale Morris, Acting Superintendent
Bureau of Indian Affairs
Central California Agency

Resolution 2005-4Q_
Page 2 of 2


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 34 of 47

5.14 Facility License. The gaming Facility authorized by the Compact and this

5.15

Code shall be licensed by the Tribal Gaming Commission.
5.14.1 A Facility License shall be issued if the following criteria are met:

(1) The construction, expansion or modification of the Facility
shall meet the Building and Safety Code pursuant to Title
VIII of this Code.

(2) The construction, expansion or modification of the Facility
shall meet the standards of the federal American with
Disabilities Act pursuant to Title IV of this Code.

(3) | Upon the inspection of the health and safety of the building,
and upon the inspection that all Gaming controls that are
necessary to insure the integrity of the Gaming are in place,
the Tribal Gaming Commission shall issue to the facility a
Certificate of Occupancy, which shall be reissued upon
similar inspections every two years.

5.14.2 Upon the issuance of a Facility License, the Tribal Gaming
Commission shall forward the license to the State Gaming agency
with ten (10) days of issuance.

5.14.3 The Facility License shall be posted in a conspicuous and public
place in the facility at all times.

Annual Reports from Management Contractor. Management
Contractors must file an annual report with the Tribal Commission and the
Tribal council between the 15" and the last day of the 12" month duration of
each such License period. The report includes, at a minimum, the following
information:

5.15.1 The name, address and telephone number of the Licensee;

5.15.2 The names, addresses and titles of all of its current managers of
the Licensee;

5.15.3 A description of the Gaming operated and Gross revenue;
5.15.4 The name and address of the person who will be designated as

Primary management Official, or new key Employees over the next
License Term;


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 22 of 47

4.21

4.22

4.23

(3) | A regulatory system for overseeing Gaming, including
accounting, contracting, management and supervision;

(4) The findings of any reports or other information required by
or necessary to implement this Code; and

(5) The conduct of inspections, investigations, hearing,
enforcement actions and other powers of the Tribal
Commission authorized by this Code.

4.20.2 No regulation of the Tribal Commission shall be of any force or
effect unless it is adopted by the Tribal Commission by written
resolution and subsequently approved by a resolution of the Tribal
Council and both resolutions filed for the record in the office of the
Tribal Secretary.

Right of Entrance; Bi-Monthly Inspection. The Tribal Commission and
duly authorized officers and employees of the Tribal Commission, during
regular business hours, may reasonably enter upon any premises of any
licensee or Gaming Facility for the purpose of making inspections and
examining the accounts, books, papers and documents of any such Gaming
Facility.

4.21.1 Aid to Entry. The Gaming Facility staff shall facilitate such
inspection or examinations by giving every reasonable aid to the
Tribal Commission and to any properly authorized officer or
employee.

4.21.2 Frequency of Inspection. A Commissioner or a member of the
Tribal Commission’s staff shall visit each Gaming Facility at least
once every two weeks during normal business hours for the
purpose of monitoring its operation. Such visits shall be
unannounced.

Investigation. The Tribal Commission, upon complaint or upon its own
initiative or whenever it may deem it necessary in the performance of its
duties or the exercise of its powers, may investigate and examine the
operation and premises or any Person or Licensee within its jurisdiction. In
conducting such investigation, the Tribal Commission shall make no order
or final decisions without affording any affected party notice and a hearing
pursuant to Section 4.23.

Due Process; Notice; Hearing; Examiner. The Tribal Commission shall
provide due process and provide notice and a hearing if it is to utilize any of
its enforcement capabilities in the administration of its powers and duties
hereunder.


TRIBAL PROGRAMS

NOTED BY
1/1/08

GENERAL COUNCIL OF THE
NTA ROSA RANCHERIA TACHI-YOKUT TRIBE

RESOLUTION No. 2005- 9% MW g5

WHEREAS, the Santa Rosa Rancheria Tachi-Yokut Tribe is a federally-recognized
Indian tribe that has adopted certain organizational and governing documents, namely
Articles of Community Organization and Bylaws, as amended and as approved pursuant
to the Federal Act of June 18, 1934 (48 Stat. 984);

WHEREAS, the Articles of Community Organization provide that the governing body of
the Tribe is the General Council;

WHEREAS, the General Council, pursuant to Article VI (D) — Powers of the Governing
Body, has the power and responsibility to establish rules or procedures for the conduct of
its affairs;

WHEREAS, the General Council, through Resolution 43-19 delegated its powers and
responsibilities provided under Article VI, Section 1, A thru J, to the Business Committee
(Tribal Council);

WHEREAS, on June 1, 2005, the General Council conducted a duly convened meeting
of a governing body of 146 adult members to provide, in part, to amend Title I of the
Tribal Gaming Ordinance and adopt Tribal Gaming Ordinance 1(A);

WHEREAS, after testimony and deliberation by the General Council, the General
Council voted to adopt the amended Title I, title “Tribal Gaming Ordinance 1(A)” with
the vote of : 64 votes to amend, 0 votes not to amend, 10 abstentions and 72 not voting; c

NOW THEREFORE BE IT RESOLVED, based upon the foregoing decision of the
General Council, Title I of the Tribal Gaming Ordinance the Santa Rosa Rancheria Indian
Community Tachi Tribe, is hereby amended as attached.

CERTIFICATION

This is to certify that the foregoing Resolution was passed by the Tribal Council on the
2nd day of June, 2005, by a vote of 5 For, 0 Opposed, 0 Abstentions, and 1 not voting,
pursuant to authority vested in the Tribal Council by the Articles of Community
Organization and Bylaws as amended and as adopted and approved pursuant to the
Federal Act of June 18, 1934 (48 Stat. 984), as amended, and by General Council
Resolution 83-13.

Resolution 2005- R
Page 1 of 2


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 46 of 47

9.6.3

9.6.4

Gaming industry generally, including the name and
address of any tribal government or licensing agency
with which such person has had a contract relating to

Gaming.

(3) | Acomplete financial statement of each person listed
in subsection 9.4.2(1).

(4) The Tribal Council shall undertake any additional
steps it can to determine the character and reputation
of each proposed management contractor.

(5) If the Tribal council, after reviewing the above
described information, still desires to enter into a
management contract with the proposed management
contractor, such management contract shall be place
in writing and submitted to legal counsel for review
before the Tribal Council approves it.

Any Management contract approved by the council must
contain at a minimum the following with respect to the
Gaming enterprise to which the contract is applicable:

(1) A provision requiring a monthly financial accounting of
the Gaming Enterprise’s income and expenses. Such
reports shall be prepared by an independent auditor
who is mutually acceptable to the Tribe and the
Management Contractor.

(2) | A provision guaranteeing the Tribe a minimum
guaranteed payment that shall always take
precedence over the Management Contractor's right
to recoup development and construction costs.

(3) An agreed upon ceiling for the Management
contractor's development and construction costs.

(4) — A provision that the contract shall not exceed seven
(7) years or 40% of Net Revenues.

(5) A provision for termination of the contract and the
grounds for termination.

If the council is satisfied with the information it receives it
shall submit its proposed contract along with all of the
above-described information to the Tribal Commission,


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 30 of 47

5.7

Handling within the Gaming facility or Enterprise. A License issued
pursuant to this section shall be effective for only the location, job
and employer contained in the Application; provided, however,
nothing herein shall prohibit a Primary management Official or Key
Employee from simultaneously performing the duties and
responsibilities of more than one position, provided further, that the
primary management Official or Key Employee is performing a
position that is directly in lineal descent below them in the
organizational structure of the enterprise and that they are qualified
and trained to perform the duties of the positions so performed.
Dealers may also be permitted to deal various card games so long as
they are qualified and trained to perform the duties of the positions so
performed and are specifically licensed for those positions.

5.6.2 | Non-gaming Employee License a Non-gaming Employee License
is for employees that are not permitted in areas of Gaming, for
example, cooks, kitchen staff, food servers, or hostess. A License
issued pursuant to this section shall be effective for only the
location, job and employer contained in the Application. These
Licenses will not require the same level of background scrutiny
required for Gaming Licenses.

5.6.3 Part-Time or Full-Time Licenses The Employee’s License shall
state clearly whether the Employee is a part-time or full-time
Employee.

5.6.4 Transferring Licenses A Licensee shall apply to have his/her
license transferred to a new location by requesting that transfer in
writing to the Tribal Commission in a manner, which details the new

job and location.

Temporary Licensing Notwithstanding anything herein to the contrary, if

the Applicant has completed a License Application, the Tribal Commission

may immediately issue a temporary License and impose specific conditions
pending completion of the applicant's background investigation if.

5.7.1. The Tribal Commission has conducted a preliminary, local,
background investigation; and

5.7.2 Based on the preliminary investigation, the information does not
indicate that the Applicant has a criminal history or other
information that would either automatically disqualify the applicant
from obtaining a license or cause a reasonabie person ic
investigate further before ng 2 license: anc

5.7.3. Temporary licenses may last no longer than 90 days.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 39 of 47
7.4.2
7.4.3
7.4.4
7.4.5
7.4.6
7.5

7.6

No Person under Twenty-one (21) years of age shall be employed
in the service of alcoholic beverages at the Gaming Facility.

No Person under the age of Twenty-one (21) shall be permitted in
any area where Gaming is occurring and alcoholic beverages are

being consumed.

No Person under the age of Eighteen (18) shall be permitted to
place any wager, directly or indirectly, in any Gaming Activity.

No Person under the age of Eighteen (18) shall be permitted in any
room in which Gaming is being conducted unless the person is en-
route to a non-gaming area of the Gaming Facility.

A Person under the age of fourteen (14) years may participate in
gaming Activity in private homes, purchase raffle tickets, attend
sporting contests or ticket drawings, and stick game and other
traditional Gaming tournaments.

Methods of Payment

7.5.1

7.5.2

Gaming chips and other tokens of value may be sold and
redeemed by the Enterprise and only for full value.

Consideration to participate in Gaming shall be cash only. No other
form of consideration shall be allowed unless the Tribal
Commission gives prior written approval.

Compliance requirements

7.6.1

7.6.2

7.6.3

7.6.4

Evidence of win or loss incurred by a Player must, upon request, be
provided in such form as will be acceptable to the Internal Revenue
Service.

The enterprise shall pay all fees and file all reports required by law
within the time prescribed.

The Enterprise shall respond immediately to all inquiries,
subpoenas, or orders of the Tribal commission, the State Gaming
Agency, the Tribal council, or the NIGC.

The Enterprise shall make its premises and books and records
available for inspection during normal business hours by the Tribal
Commission, the State Gaming agency, the national Indian Gaming
commission and members of the Tribal council or their designee.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 25 of 47

the Tribal Council fully informed as to the status of the Tribal Commission's activities.

SECTION 5. GAMING LICENSES

5.1

5.2

Applicability

5.1.1

Every Employee, key Employee, Primary Management Official,
Gaming Enterprise, and Gaming Facility that aids, participates or is

related to gaming is required to have a current and valid
License as issued by the Tribal Commission.

Every Gaming Vendor that provides or receives, or is likely to
provide or receive at least Twenty-five Thousand Dollars in any
twelve (12) month period from the Enterprise is required to have a
current and valid License as issued by the Tribal Commission.

Every Person extending financing, directly or indirectly, to the
Facility or Enterprise is required to have a current and valid License
as issued by the Tribal commission, provided that any person
extending the financing shall be licensed within Ninety (90) days of

execution of such financing.

Application Procedure

5.2.1

5.2.2

Submission to Tribal Commission An Applicant seeking a License
shall submit an Application to the Tribal Commission on such form
as the Tribal commission may require.

Privacy Act and False Statement the application form shall include
the following notices:

5.2.2.1 Privacy Act

In compliance with the Privacy Act of 1974, the solicitation of
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 investigation of


Santa Rosa Rancheria Tribal Gaming Ordinance 1A

Page 9 of 47

2.41

2.42

2.43

2.44

2.45

2.46

2.47

2.48

thereof allotted by chance to one or more chance takers or ticket
purchasers. The amount of cash prizes or winnings is determined by the
Licensee conducting the “lottery,” and a progressive pool is permitted.

“Management Contract” means any Contract for the management of
Class I! or Class II! Gaming within the meaning of IGRA and any Contract
entered between the Tribe and a Vendor, which authorizes the Vendor to
manage any Gaming or Gaming Facility, including any Contract defined as
a Management Contract under IGRA by the NIGC.

“Management Contractor” means any Person or entity who has entered
into a Class I! or Class II Gaming Management Contract or is a Vendor
who is authorized to manage Gaming or Gaming Facility, including any
Person who is regarded as a Management Contractor within the meaning
of IGRA or the NIGC.

“National Indian Gaming Commission” or “NIGC” means the National
Indian Gaming Commission established by the IGRA.

“Net Revenues” means Gross Revenues less amounts paid out as prizes
and less total Gaming related operating expenses, excluding Management
Contractor fees.

“Net Win” means the “net win” as defined by the American Institute of
Certified Public Accountants.

“Participate” in any Gaming means operating, directing, financing or in
any way assisting in the establishment of or operation of any class of
Gaming or any site at which such Gaming is being conducted, directly or
indirectly, whether at the site in Person or off the Reservation.

“Person” means any individual, partnership, joint venture, corporation,
joint stock company, company, firm, association, trust, estate, club,
business trust, municipal corporation, society, receiver, assignee, trustee
in bankruptcy, political entity and any owner, director, officer, or employee
of any such entity or any group of individuals acting as a unit, whether
mutual, cooperative, fraternal, nonprofit, or otherwise, the government of
the Tribe, any governmental entity of the Tribe or any of the above listed
forms of business entities that are wholly owned or operated by the Tribe;
provided, however, that the term does not include the Federal
Government and any agency thereof. The plural of “Person” is “people.”

“Player” means a Person participating in a game with the hope of winning
money or other benefit, but does not include a Licensee or any assistant
of a Licensee.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 47 of 47

State Gaming agency and to
the Chairman of the National Indian Gaming Commission for
Licensure approval.


Santa Rosa Rancheria Tribal Gaming Ordinance 1A
Page 12 of 47

3.5

SECTION 4.

41

Effective Date The Code shall become effective upon the date of its
approval by the Chairman of the NIGC pursuant to the IGRA.

TRIBAL GAMING COMMISSION

Establishment The Tribal Council hereby charters, creates and
establishes the Santa Rosa Rancheria Tachi-Yokut Tribal Gaming
Commission as a governmental subdivision of the Tribe.

4.11

The Santa Rosa Rancheria Tachi-Yokut Tribal Gaming
Commission shall be referred to throughout this Code as the Tribal

Commission.

4.2 Location and Place of Business

4.2.1

4.2.2

Gaming Facility The Tribal Commission shall maintain its
headquarters, principal place of business and office within the

Gaming Facility.

Other Locations The Tribal Commission may, however, with a
majority vote from the Tribal Council, establish other places of
business in such other locations as the Tribal Commission may
from time to time determine to be in the best interest of the Tribe.

4.3. Duration The Tribal Commission shall have perpetual existence and
succession in its own name, unless dissolved by the Tribal council pursuant
to Tribal law

4.4 Attributes As a governmental subdivision of the Tribe, the Tribal
Commission is under the directive and control of the Tribal Council, but it is
the purpose and intent of the Tribal council

45

4.41

44.2

Arm of Tribe In carrying out its purposes under this Code, the
Tribal Commission shall function as an arm of the Tribe.

Tribe Actions Notwithstanding any authority delegated to the tribal
Commission under this Code, the Tribe reserves to itself the right to
bring suit against any person or entity in its own right, on behalf of
the Tribe or on behalf of the Tribal Commission, whenever the Tribe
deems it necessary to protect the sovereignty, right and interests of
the Tribe or the Tribal Commission

Recognition as a Political Subdivision of the Tribe The Tribe, on
behalf of the Tribal Commission, shall take all necessary steps to acquire
recognition of the Tribal Commission as a political subdivision of the Tribe,