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P.O. Box 1842

2165 Myers Street

Oroville, CA 95966

(916) 533-3625 Fax (916) 533-3680

GAMING

ORDINANCE NO. 96-14

96-14-1 PURPOSE

The Council of the Mooretown Rancheria (Council), empowered by the constitution

and bylaws of the Mooretown Rancheria (Rancheria), hereby enacts this Ordinance to govern

class II and, subject to the establishment of a compact with the State of California, class III

gaming operations on Tribal lands.

96-14-2 GAMING AUTHORIZED

Class II and class III gaming, subject to the establishment of a compact with the State of

California, as defined in the Indian Gaming Regulatory Act, P.L. 100-447, 25 U.S.C. §~ 2703(7)

(A) and 2702(8) (IGRA) and by the regulations promulgated by the National Indian Gaming

Commission at 25 C.F.R. § 502.3 (as published in the Federal Register at 57 FR 12382-12393,

April 9, 1992 or any subsequent amendments thereto) is hereby authorized.

96-14-3 OWNERSHIP OF GAMING

The Rancheria shall have the sole propriety interest in and responsibility for the conduct

of any gaming operation authorized by this Ordinance.

96-14-4 USE OF GAMING REVENUE

a. The Council reserves the right to adopt or impose a uniform and comprehensive

system of revenue distribution and taxation relating to gaming, provided such system is adopted

in compliance with the IGRA.

b. Except as may be authorized by actions taken pursuant to such reservation, net

revenues from gaming shall be used only for the following purposes: to fund Tribal government

operations and programs; to provide for the general welfare of the Rancheria and its members; to

promote Tribal economic development; to donate to charitable organizations; or to help fund

operations of local government agencies.

c. If the Council elects to make per capita payments to Tribal members, it shall authorize

such payments only upon approval of a plan submitted to the Secretary of the Interior under 25

U.S.C. § 2710(b)(3) and such rules as may be promulgated by the Council and/or the Secretary

under lawful authority.

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96-14-5 AUDIT

a. The Council shall cause to be conducted annually an independent audit of gaming

operations and shall submit the resulting audit reports to the National Indian Gaming

Commission as may be required by law.

b. All gaming related contracts that result in the purchase of supplies, services, or

concessions in excess of $25,000.00 annually, except contracts for professional legal and

accounting services, shall be specifically included within the scope of the audit.

96-14-6 ENVIRONMENT AND PUBLIC HEALTH AND SAFETY

All Tribal gaming facilities shall be constructed, maintained and operated in a manner

that adequately protects the environment and the public health and safety.

96-14-7 LICENSES FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT

OFFICIALS

The Council will perform background investigations of and issue licenses to key

employees and primary management officials according to the requirements of 25 C.F.R. §~ 556

and 558. The Council shall ensure that the policies and procedures set out in the following

sections are implemented with respect to key employees and primary management officials

employed at any gaming enterprise operated on Mooretown Rancheria Tribal lands.

96-14-8 DEFINiTIONS

For the purposes of this section the following definitions apply:

a. Key employee means any person who performs one or more of the following

functions:

(1) Bingo caller;

(2) Counting room supervisor;

(3) Chief of Security;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gambling devices, including persons with access to cash and

accounting records within such devices;

(11) If not otherwise included above, any other person whose total cash

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

(12) If not otherwise included above, the four most highly compensated

persons in the gaming operation.

b. Primary Management Official means any person who:

(1) Has management responsibility for a management contract;

(2) Has authority to hire and fire employees or to set up working policy for

the gaming operation; or

(3) Has financial management responsibility; for example, the chief financial

officer.

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96-14-9 APPLIC~ ~ON NOTICE

The following notices shall be placed on the application form for a key employee or a

primary management official before that form is filled out by the applicant:

(1) In compliance with the Privacy Act of 1974, the following

information is provided: Solicitation of the information on this

form is authorized by 25 U.S.C. §~ 2701 et seq. The purpose of

the requested information is to determine the eligibility of

individuals to be employed in a gaming operation. The

information will be used by National Indian Gaming Commission

members and staff who have need for the information in the

performance of their official duties. The information may be

disclosed to appropriate Federal, Tribal, State, local, or foreign law

enforcement and regulatory agencies when relevant to civil,

criminal or regulatory investigations or prosecutions or when

pursuant to a requirement by a Tribe or the National Indian

Gaming Commission in connection with the hiring or firing of an

employee, the issuance or revocation of a gaming license, or

investigations of activities while associated with a Tribe or a

gaming operation. Failure to consent to the disclosure indicated in

this notice will result in a Tribes being unable to hire you in a

primary management official or key employee position. The

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

However, failure to supply a SSN may result in errors in

processing your application.

(2) 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).

b. TheCouncil shall notify, in writing, existing key employees and

primary management officials that they shall:

(1) Complete a new application form that contains a Privacy

Act notice pursuant to subsection (a) (1) of this section; or

(2) Sign a statement that contains the Privacy Act notice and

censent to the routing uses described in that notice.

and also that they shall;

(3) Complete a new application form that contains a notice

regarding false statements pursuant to subsection (a) (2) of this

section; or

(4) Sign a statement that contains the notice regarding false

statements.

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96-14-10 BACKGROUND INVESTIGATIONS

a. In addition to any applicable provisions in any compact with the state of California,

the Council shall conduct a background investigation for each primary management official and

for each key employee. The Council shall request from each primary management official and

from each key employee all of the following information:

(1) Full name, other names used (oral or written), social security number(s),

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

(2) Currently and for the previous 5 years: business and employment

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

addresses and drivers license numbers;

(3) The names and current addresses of at least three personal references,

including one personal reference who was acquainted with the applicant during

each period of residence listed under paragraph (2) of this section;

(4) Current business and residence telephone numbers;

(5) A description of any existing and previous business relationships with

Indian Tribes, including ownership interests in those businesses;

(6) A description of any existing and previous business relationships with the

gaming industry generally, including ownership interest in those businesses;

(7) The name and address of any licensing or regulatory agency with which

the person has filed an application for a license or permit related to gaming,

whether or not such license or permit was granted;

(8) For each felony for which there is an ongoing prosecution or a convection,

the charge, the name and address of the court involved, and the date and

disposition if any;

(9) For each misdemeanor conviction or ongoing misdemeanor prosecution

(excluding minor traffic violations), within 10 years of the date of the application,

the name and address of the court involved and the date and disposition, if any;

(10) For each criminal charge (excluding minor traffic charges), whether or not

there is a conviction, if such criminal charge is within 10 years of the date of the

application and is not otherwise listed pursuant to paragraph (8) or (9) of this

section, the criminal charge, the name and address of the court involved and the

date and disposition, if any;

(11) The name and address of any licensing or regulatory agency with which

the person has filed an application for an occupational license or permit, whether

or not such license or permit was granted;

(12) A current photograph;

(13) Any other information the Council deems relevant; and

(14) Fingerprints consistent with procedures adopted by the Council according

to 25 C.F.R. § 522.2(h).

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b. The Council shall conduct an investigation sufficient to make a determination

under 96-14-11 below. In conducting a background investigation, the Council or its agents shall

promise to keep confidential the identity of each person interviewed in the course of the

investigation.

c. If the National Indian Gaming Commission has received an investigative report

concerning an individual who another Tribe wishes to employ as a key employee or primary

management official and if the Council has access to the investigative materials held by the first

Tribe, the Council may update the investigation and update the investigative report under section

96-14-13 below.

96-14-11 ELIGIBILITY DETERMINATION

The Council shall review a persons prior activities, criminal record, if any, reputation,

habits and associations to determine the eligibility of a key employee or primary management

official for employment in a gaming operation. If the Council, in applying the standards of this

ordinance, determines that employment of the person poses a threat to the public interest or to the

effective regulation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal

practices, methods and activities in the conduct of gaming, a management contractor or Tribal

gaming operation shall not employ that person in a key employee or primary management

official position. In conducting this investigation, or any other activity such as fingerprinting, the

Council is authorized to employ the services of any federal or state law enforcement agency and

is directed to check, or have the investigation check, the criminal history records of the Federal

Bureau of Investigation.

96-14-12 PROCEDURES FOR FORWARDING APPLICATIONS TO THE

NATIONAL INDIAN GAMING COMMISSION

a. When a key employee or primary management official begins work at a gaming

operation of the Rancheria, the Council shall forward to the National Indian Gaming

Commission a completed application for employment which contains the notices and information

contained in sections 96-14-9 and 96-14-10 above, and shall conduct the background

investigation and make the eligibility determination for employment, or for continued

employment, in a gaming operation as referred to in section 96-14-11.

b. Upon completing the background investigation and the determination of eligibility

for employment, or for continued employment, in a gaming operation, the Council shall forward

the report referenced in section 96-14-13 to the National Indian Gaming Commission within 60

days after an employee begins work or within 60 days of the approval of this Ordinance by the

Chairman of the National Indian Gaming Commission.

c. The gaming operation shall not employ as a key employee or primary

management official an individual who does not have a gaming license within 90 days of the

approval of this Ordinance by the Chairman of the National Indian Gaming Commission.

d. During a thirty (30) day period beginning when the National Indian Gaming

Commission receives an investigative report from the Council, the Chairman of the National

Indian Council concerning a key employee or a primary management official who is the subject

of the investigative report. Such a request shall suspend the 30-day period until the Chairman of

the National Indian Gaming Commission receives the information requested.

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96-14-13 REPORTTO THE NATIONAL INDIAN GAMING COMMISSION

a. Pursuant to the procedures set out in section 96- 14-12, when the Council employs a primary management official or a key employee, the Council shall forward to the National

Indian Gaming Commission a completed application containing the information listed in 25

C.F.R. § 556.4 (a) (1) -

(13).

b. Before issuing a license to a primary management official or to a key employee,

the Council shall forward to the National Indian Gaming Commission an investigative report on

each background investigation conducted. An investigative report shall include all of the

following:

(1) Steps taken in conducting a background investigation;

(2) Results obtained;

(3) Conclusions reached; and

(4) The bases for those conclusions.

c. The Council shall submit with the report a copy of the eligibility determination

made pursuant to section 96-14-11 above.

d. If the Council does not license an applicant, the Council:

(1) Shall notify the National Indian Gaming Commission; and

(2) May forward copies of its eligibility determination and investigative report

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

Gaming Individuals Records System.

e. With respect to key employees and primary management officials, the Council

shall retain applications for employment and reports (if any) of background investigations

for inspection by the Chairman of the National Indian Gaming Commission or his or her

designee for no less than three (3) years from the date of termination of employment.

96-14-14 GRANTLNG A GAMING LICENSE

a. The Council shall develop licensing procedures for all employees of a gamin

operation. The procedures and standards of 25 C.F.R. §~ 556 and 558 which are incorporated in

this Ordinance apply only to primary management officials and key employees.

b. A right to a hearing under section 96-14-15 below shall vest only upon receipt of

a license granted under an ordinance approved by the Chairman of the National Indian Gaming

Commission.

c. If, within a thirty (30) day period after the National Indian Gaming Commission

receives a background investigation and a determination of eligibility report from the Council,

the National Indian Gaming Commission notifies the Council that it has no objection to the

issuance of a license pursuant to a license application filed by a key employee or a primary

management official for whom the Council has provided an application and investigative report

to the National Indian Gaming Commission, the Council may issue a license to such applicant.

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d. If, within the (30) day period described above, the National Indian Gaming

Commission provides the Council with a statement itemizing objections to the issuance of a

license to a key employee or to a primary management official for whom the Council has

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

Council shall reconsider the application, taking into account the objections itemized by the

National Indian Gaming Commission. The Council shall make the final decision whether to

issue a license to such applicant.

96-14-15 LICENSE SUSPENSION

a. If, after the issuance of a gaming license, the Council receives notice from the

National Indian Gaming Commission that it has received reliable information indicating that a

key employee or a primary management official is not eligible for employment under 25 C.F.R.

§ 558.2, the Council shall suspend such license and shall notify in writing the licensee of the

suspension and the proposed revocation.

b. The Council shall notify the licensee of a time and a place for a hearing on the

proposed revocation of a license.

c. After a revocation hearing, the Council shall decide to revoke or to reinstate a gaming

license. The Council shallnotify the National Indian Gaming Commission of its decision.

96-14-16 LICENSE LOCATIONS

A tribal license is required for each place, facility, or location on Indian lands where class

II and/or class III gamin is conducted. Thus, the Council shall issue a separate license to each

place, facility, or location on Indian lands where class II and/or class III gaming is conducted

under this Ordinance.

96-14-17 COMPLIANCE WITH TRIBAL LAWS

a. All employees, managers and gaming patrons shall be required to comply with the

laws of the Mooretown RÆncheria. Violations of Tribal laws shall be grounds for termination of

employment and expulsion from the gaming premises.

b. All relations between gaming employees and the enterprise shall be subject to the

personnel, drug and other relevant policies of the Mooretown Rancheria.

c. Nothing herein shall be interpreted as authorizing violations of the IGRA, or the

regulations promulgated thereunder.

96-14-18 DISPUTE RESOLUTIONS

a. Any dispute between a member of the gaming public and any employee of the

gaming enterprise arising on the gaming premises of the Tribe that is not clearly a violation of

Tribal law shall be resolved by the supervisor of the employee involved in such manner that will

prevent violence and eliminate or reduce bad publicity for the enterprise, provided such

resolution does not risk unnecessarily the resources of the enterprise. If the supervisor is unable

to resolve the matter immediately to the satisfaction of the gaming patron in compliance with this

section, the matter shall be referred to the gaming manager for resolution.

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b. Any dispute~ between a member of the gaming public that is not resolved pursuant

to subsection (a) or any dispute involving the gaming manager that is not clearly a violation of

Tribal law arising on the gaming premises of the Tribe shall be referred to the Tribal Council.

The Council shall provide an opportunity, at the convenience of the parties, for all parties to the

dispute to be heard and to confront any witness against them. The Council shall resolve all

disputes based on the record in a fair and equitable manner.

c. Any dispute involving violation of Tribal law shall result in expulsion of a gaming

patron from the gaming premises. Such person shall have the right to request a hearing before

the Tribal Council, which shall be granted if the issue presented involves a question of the loss of

money or property by the gaming patron. A hearing for any other reason shall be granted at the

discretion of the Council.

d. All hearings granted under this section shall be conducted in compliance with the

Indian Civil Rights Act.

96-14-19 NOTICE TO TRIBAL CHAIRPERSON All notices required under law or

regulations with respect to gaming activities shall be sent to the following address:

Tribal Chairperson

Mooretown Rancheria

Post Office Box 1842

Oroville, California 95966

96-14-20 REPEAL

To the extent that they are inconsistent with this Ordinance, all prior gaming ordinances

are hereby repealed.

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We, the undersigned duly elected officials of the Mooretown Rancheria, do hereby

certify under penalty of perjury that on May 8, 1996, the foregoing Ordinance was

adopted at a duly called meeting of the Tribal Council with a quorum present by a

vote of: 6 for, 0 against, I abstaining.

~

CERTIFICATION

ORDINANCE 96-14

ATTESTED BY:

~4~L

Violet Hofeldt, Secretq~ Date

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