TABLE MOUNTAIN RANCHERIA

TRIBAL GOVERNMENT OFFICE

TABLE MOUNTIN RANCHERIA

TRIBAL COUNCIL RESOLUTION NO.

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

the Table Mountain Rancheria is a federally recognized Indian

Tribe with the inherent sovereignty to make its own laws and be

governed by them; and

the Table Mountain Rancheria adopted a Constitution and

Bylaws in 1980;

the Table Mountain Rancheria Constitution and Bylaws

authorizes the Tribal Council to adopt ordinances as needed; and

the Table Mountain Rancheria Tribal council desires to adopt a

Tribal Gaming Ordinance to govern tribal gaming;

the National Indian Gaming Commission has required additions

to the original draft as approved under Resolutions 2000-13 and

2000-24.

NOW, THEREFORE BE IT RESOLVED that the Tribal Council of the Table

Mountain Rancheria hereby adopts the attached revised ordinance entitled

Table Mountain Rancheria Tribal GamingOrdinance to become effective

and implemented upon the approval by the National Indian Gaming

Commission.

BE IT FURTHER RESOLVED that Resolutions 2000-13 and 2000-24 are

hereby rescinded and replaced by this Resolution.

CERTIFICATION

23736

Sky Harbour Road

Post Office

Box 410

Friant

California

93626

The foregoing resolution was adopted by a vote of j~for and ~against, at a

duly called meeting of the Tribal council, at which a quorum consisting of______

Tribal Council members were present, on this 1 7th day of October, 2000.

Leanne Walker-Grant, Chairperson

Table Mountain Rancheria

(559) 822-2587

Fax

(559) 822-2693
ORDINANCE NO.

TRIBAL CLASS II AND CLASS III GAMING ORDINANCE

CHAPTER i~ DEFINITIONS

1.1 Applicant means an individual or entity that applies for a Tribal License or State

Certification.

1.2 Association means an association of California tribal and state gaming

regulators, the membership of which comprises up to two representatives from

each tribal gaming commission of those tribes with whom the State has a gaming

compact under the Indian Gaming Regulatory Act, and up to two delegates each

from the State of California Division of Gambling Control and the State of

California Gambling Control Commission.

1.3 Class III gaming means the forms of Class III gaming defined as such in 25

U.S.C. Sec. 2703(8) and by regulations of the National Indian Gaming

Commission.

1.4 Enrolled Member means any person who is enrolled as a member in accordance

with the requirements under the Tribes Constitution, By-Laws and Ordinances

and who can be certified by the Tribe as having been an enrolled member for at

least five (5) years or is a holder of confirmation of membership issued by the

Bureau of Indian Affairs.

1.5 Financial Sources means any person extending financing, directly or indirectly,

to the Tribes Gaming Facility or Gaming Operation, with the exception of any

federally regulated or State regulated bank, savings and loan, or other federally or

State regulated lending institution; or any agency of the federal, State, or local

government; or any investor who, alone or in conjunction with others, holds less

than 10% of any outstanding indebtedness evidenced by bonds issued by the

Tribe.

1.6 Gaming Activities means the Class III gaming activities authorized under the

Tribal-State Gaming Compact.

1.7 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.

1.8 Gaming Employee means any person who (1) operates, maintains, repairs,

assists in any Class III gaming activity, or is in any way responsible for

supervising such gaming activities or persons who conduct, operate, account for,

or supervise any such gaming activity, (2) is in a category under federal or tribal

Page 1 of 17
law requiring licensing, (3) is an employee of the Tribal Gaming Commission

with access to confidential information, or (4) is a person whose employment

duties require or authorize access to areas of the Gaming Facility that are not open

:to the public.

1.9 Gaming Facility or Facility means any building in which Class III 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 record, 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 11 gaming (as defined

under the IGRA) therein.

1.10 Gaming Facility Operator means any person or entity who has management

responsibility for the gaming operation, including but not limited to the President

and General Managers of the Gaming Operation, and a Management Contractor as

defined in Section 1.16 below.

1.11 Gaming License means a license issued by the Tribal Gaming Commission

authorizing the licensee to engage in gaming activities within the Gaming

Operation. All Gaming Licenses must be renewed every two (2) years and are

subject to revocation in accordance with this ordinance and any regulations of the

Tribal Gaming Commission.

1.10 Gaming Operation means the business enterprise that offers and operates Class

III Gaming Activities, whether exclusively or otherwise.

1.11 Gaming Ordinance means a tribal ordinance or resolution duly authorizing the

conduct of Class III Gaming Activities on the Tribes Indian lands and approved

under the IGRA.

1.12 Gaming Resources means any goods or services provided or used in connection

with Class III Gaming Activities, whether exclusively or otherwise, including, but

not limited to, equipment, furniture, gambling devices and ancillary equipment,

implements of gaming activities such as playing cards and dice, furniture

designed primarily for Class III gaming activities, maintenance or security

equipment and services, and Class III gaming consulting services. Gaming

Resources does not include professional accounting and legal services.

1.13 Gaming Resource Supplier means any person or entity who, directly or

indirectly, manufactures, distributes, supplies, vends, leases, or otherwise purveys

Gaming Resources to the Gaming Operation or Gaming Facility, provided that the

Tribal Gaming Commission may exclude a purveyor of equipment or furniture

that is not specifically designed for, and is distributed generally for use other than

in connection with Gaming Activities, if the purveyor is not otherwise a Gaming

Resource Supplier and the compensation received by the purveyor is not grossly

disproportionate to the value of the goods or services provided, and the purveyor

is not otherwise a person who exercises a significant influence over the Gambling

Operation.

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1.14 IGRA means the Indian Gaming Regulatory Act of 1988 (P.L. 100-497, 18

U.S.C. Section 1166 et seq. and 25 U.S.C. Section 2701 et seq.) any amendments

thereto, and all regulations promulgated thereunder.

1.15 Key Employee means (1) a person who performs one or more of the following

functions:

(a) Bingo caller, supervisor, cashier;

(b) Counting room supervisor, personnel, and drop team personnel;

(c) Chief of security, and all security personnel;

(d) Custodian of gaming supplies or cash;

(e) Floor manager;

(f) Pit boss;

(g) Dealer;

(h) Croupier;

(i) Any cashier;

(j) Approver of credit; or

(k) Any employee engaged in finance or accounting functions;

(I) Custodian of gambling devices including persons with access to

cash and accounting records within such devices;

(2) If not otherwise included, any other person whose total cash compensation is

in excess of $50,000 per year; or

(3) If not otherwise included, the four most highly compensated persons in the

gaming operation; or

(4) If not otherwise included, any other person who is designated as a key

employee under the Tribal-State compact.

1.16 Management Contractor means any Gaming Resource Supplier with whom the

Tribe has contracted for the management of any Gaming Activity or Gaming

Facility, including, but not limited to, any person who would be regarded as a

management contractor under IGRA.

1.17 Net Win means net win as defined by the American Institute of Certified

Public Accountants.

1.18 NIGC means the National Indian Gaming Commission.

1.19 Non-Gaming Employee means any employee of the Tribal Gaming Operation

who does not otherwise fall into the definition of Gaming Employee, Key

Employee or Primary Management Official.

1.20 Permanent License means a gaming license issued by the Tribal Gaming

Commission with no conditions or restrictions, but is subject to revocation under

this ordinance and any regulations promulgated by the Tribal Gaming

Commission.

1.19 Primary Management Official means (1) the person having management

responsibility for a management contract;

(2) any person who has authority to:

(a) hire and fire employees; or

(b) set up working policy for the gaming operation; or

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(3) the Chief Financial Officer or other person who has financial management

responsibility.

1.20 State means the State of California or an authorized official or agency thereof.

1.21 State Gaming Agency means the entities authorized to investigate, approve, and

regulate gaming licenses pursuant to the Gambling Control Act (Chapter5

(commencing with Section 19800) of Division 8 of the Business and Professions

Code).

1.22 Temporary License means a gaming license issued by the Tribal Gaming

Commission for a limited term, which may be made conditional and is subject to

revocation in accordance with this ordinance or any regulations of the Tribal

Gaming Commission.

1.22 Tribal Chairperson means the person duly elected or selected under the Tribes

organic documents, customs, or traditions to serve as the primary spokesperson

for the Tribe.

1.23 Tribal Gaming Commission means the person, agency, board, committee,

commission, or council designated under tribal law, including, but not limited to,

an intertribal gaming regulatory agency approved to fulfill those functions by the

National Indian Gaming Commission, as primarily responsible for carrying out

the Tribes regulatory responsibilities under IGRA and the Tribal Gaming

Ordinance. No person employed in, or in connection with, the management,

supervision, or conduct of any gaming activity may be a member or employee of

the Tribal Gaming Commission.

1.24 Tribal-State Compact means the compact between the State of California and

the Table Mountain Rancheria, as enacted on September 10, 1999.

1.25 Tribe means the Table Mountain Rancheria, a federally recognized Indian tribe,

or an authorized official or agency thereof.

CHAPTER 2 ORDINANCE

2.1 Purlose

The Tribal Council of the Table Mountain Rancheria (hereinafterTribe), empowered by

the Tribes constitution to enact ordinances, hereby rescinds Ordinance 9 8-03 and replaces it with

this Ordinance to provide for Class II and Class III gaming.

2.2 Gaming Authorized

All forms of Class II and Class III gaming activities as defined herein and by the IGRA,

the regulations of the National Indian Gaming Commission, and the Tribal-State Compact are

hereby authorized.

2.3 Ownership of Gaming

The Tribe shall maintain the sole propriety interest in and responsibility for the conduct

of all Class II and Class Ill gaming activities authorized by this ordinance, with the exception of

gaming machines leased or on contract for lease-purchase from a Gaming Resource Supplier.

Page4of 17
2.4 Use of Gaming Revenues

A. Net revenues from the Tribes share of Class II and Class III gaming

activities authorized herein shall be used only for the following purposes:

to fund tribal government operations and programs; provide for the general

welfare of the Tribe and its members; promote tribal economic

development; donate to charitable organizations; or help fund operations

of local government agencies; and for other purposes as required under the

Tribal-State Gaming Compact.

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

payments only pursuant to its Plan for the Allocation of Gaming Revenue,

approved by the Secretary of the Interior under § 2710(b)(3) of IGRA.

2.5 Audit

A. The Tribe shall cause to be conducted annually an independent audit of

gaming operations and shall submit the resulting audit reports to the

National Indian Gaming Commission (hereinafter, Commission).

B. All gaming related contract that result in the purchase of supplies,

services, or concessions in excess of $25,000 annually, except for contract

for professional legal and accounting services, shall be specifically

included within the scope of the audit that is described in subsection (A)

above.

2.6 Environmental Protection

The construction, maintenance and operation of Class II and Class III gaming facilities

and Class II and Class III games shall be conducted in a manner which adequately protects the

environment and the public health and safety.

2.7 Gaming License Required

A Tribal Gaming License, either temporary or permanent shall be required for the

following:

A. Gaming Employees;

B. Key Employees;

C. Primary Management Officials;

D. Gaming Facilities;

E. Gaming Resource Suppliers who, directly or indirectly, provides, has

provided, or is likely to provide at least twenty-five thousand dollars

($25,000) in Gaming Resources in any consecutive 12-month period, or

who has received at least twenty-five thousand dollars ($25,000) in any

consecutive 12 month period within the 24-month period immediately

preceding the license application.

F. Financial Sources.

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2.8 License for Class II and Class III Key Employees and Primary Management

Officials, and Gaming Employees

All gaming employees, key employees and primary management officials shall apply for

and be granted a Tribal gaming license prior to employment in the gaming operation. The Tribe

shall ensure that the policies and procedures set out in this section are implemented with respect

to anyone employed at any Class II or Class III gaming enterprise operated on Indian lands.

A. Application forms

1. The following notice shall be placed on the application form for a gaming

employee, key employee, or a primary management official before that form is

filled out by an applicant:

In compliance with the Privacy Act of 1974, the following information is

provided: Solicitation of the information on this form is authorized by 25

U.S.C. 2701 et seq. The purpose of the requested information is to

determine the eligibility of individuals to be employed in a gaming

operation. The information will be used by National Indian Gaming

Commission members and staff who have need for the information in the

performance of their official duties. The information may be disclosed to

appropriate Federal, Tribal, State, local or foreign law enforcement and

regulatory agencies when relevant to civil, criminal or regulatory

investigations or prosecutions or when pursuant to a requirement by a tribe

or the National Indian Gaming Commission in connection with the hiring

or firing of anemployee, the issuance or revocation of a gaming license, or

investigations of activities while associated with a tribe or a Gaming

operation. Failure to consent to the disclosures indicated in this notice will

result in a tribes being unable to hire you in a gaming employee, , 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 application.

2. The following notice shall be placed on the application form for a key

employee or primary management official before that form is filled out by an

applicant.

A false statement on any part of your application may be grounds

for not hiring you, or for firing you after you begin work. Also,

you may be punished by fine or imprisonment. (U.S. Code, Title

18, section 1001.)

3. Existing gaming employees, key employees and primary management

officials who have not filled out applications with the privacy act notice or false

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statement notice as described in section 2.8(A) 1 and 2 above shall be notified in

writing that they shall either:

(a) Complete a new application which contains the appropriate privacy act

notice and/or false statement notice; or

(b) Sign a statement that contains the privacy act and/or false statement

notice.

B. Background Investigation No license shall be granted to any person or entity who has

been determined to be a person or entity whose prior activities, criminal record, if any, or

reputation, habits, and associations pose a threat to the public interest or to the effective

regulation and control of gaming, or create or enhance the dangers of unsuitable, unfair,

or illegal practices, methods, and activities in the conduct of gaming or by the carrying on

of the business and financial arrangements incidental thereto.

1. License Application Minimum Requirements

(a) the Tribe shall request from each license applicant all of the following

information:

(i) Full name, other names used (oral or written), social security

number (s), birth date, place of birth, citizenship, gender, all

languages (spoken or written);

(ii) Currently and for the previous 10 years; business and

employment positions held, ownership interests in those

businesses, business and residence addresses, and drivers license

numbers;

(iii) The names and current address of at least three personal

references, including one personal reference who was acquainted

with the applicant during each period of residence listed under

paragraph (a)(2) of this section;

(iv) Current business and residence telephone numbers;

(v) A description of any existing and previous business

relationships with Indian Tribes, including ownership interests in

those business;

(vi) A description of any existing and previous business

relationships with the gaming industry generally, including

ownership interest in those business;

(vii) 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;

(viii) For each felony for which there is an ongoing prosecution or

a conviction, the charge, the name and address of the court

involved, and the date and disposition if any;

(ix) For each misdemeanor conviction or ongoing misdemeanor

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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;

(x) For each criminal charge (excluding minor traffic charges),

whether or not there is conviction, if such criminal charge is within

10 years of the date of the application and is not otherwise listed

pursuant to paragraph (A)(viii) or (A)(ix) of this section, the

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

the date and disposition;

(xi) 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;

(xii) A current photograph;

(xiii) Any other information the Tribe deems relevant; and

(xiv) Fingerprints consistent with procedures adopted by the Tribe

according to 25 C.F.R. §522.2(h). Fingerprints shall be required for

employees defined as key employees and primary management

officials only unless otherwise requested by the Tribal gaming

commission.

C. Application of California Penal Code Regarding Confidential Information

The Tribe hereby adopts Article 6 (commencing with section 11140) of Chapter 1 of Title

1 of Part 4 of the California Penal Code and confirms its applicability to its members,

investigators, and staff of the Tribal Gaming Commission in regards to the use and/or release of

confidential information.

2.9 Background Investigation of License Applicants Pursuant to Section 522.2(b~ of

the Rules and Regulations of the National Indian Gaming Commission

The Tribe shall conduct an investigation sufficient to make a determination under Section

2.11 below. In conducting a background investigation, the Tribe or its agent shall promise

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

investigation.

A. Pursuant to any approved compact between the Tribe and the State of California any

applicable procedures for Tribal licensing and/or State licensing or certification of all

gaming employees for the conduct of Class III gaming are hereby adopted and

incorporated by reference.

B. The minimum procedures for conducting background investigations on license

applicants are:

1. Criminal history check, including a finger print check and check of criminal

history records information maintained by the Federal Bureau of Investigation;

2. Civil history check;

3. Financial and credit check;

Page8of 17
4. Reference check;

5. Previous business and employment check;

6. Relative check;

7. Business and personal associates check;

8. Educational verification;

9. Document the disposition of all potential problem areas noted and disqualifying

information needed.

10. Any other investigation deemed necessary or appropriate by the Tribal

Gaming Office.

C. The Tribal Gaming Commission is primarily responsible for the conduct of the

background investigations and suitability determinations in consultation with the

National Indian Gaming Commission;

D. The Tribal Gaming Commission shall be responsible for conducting, reviewing and

either approving or disapproving the investigative work;

E. The Tribal Gaming Commissioner is responsible for reporting the results of the

background investigations to the National Indian Gaming Commission for key employees

and primary management officials only.

F. For the purposes of obtaining necessary fingerprints for processing, the Tribal

Gaming Commission and designated agents shall have Tribal law enforcement authority.

G. Suitability determination and selection of the Tribal Gaming Commission is more

specifically set forth later in this ordinance.

H. The investigative reports shall set forth, in detail, the:

I. Steps taken in conducting the background investigation;

2. Results obtained;

3. Conclusions reached;

4. The basis for those conclusions.

2.10 Application Fee

The Tribal Gaming Commission shall set a fee for applications, background

investigations and licenses. All such fees shall be made payable to the Tribe and delivered to the

Tribal Treasurer.

2.11 Licensing Standard and Eligibility Determination

In reviewing an application for a gaming license the Tribal Gaming Commission shall

consider whether issuance of the license if inimical to public health, safety, or welfare, and

whether issuance of the license will undermine public trust that the Tribes Gaming Operations,

or tribal government gaming generally, are free from criminal and dishonest elements and would

be conducted honestly.

A license may not be issued unless, based on all information and documents submitted,

the Tribal Gaming Commission is satisfied that the applicant meets the following suitability

standard and is:

A. A person of good character, honesty and integrity; and

B. A person whose prior activities, criminal record (if any), reputation, habits, and

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associations do not pose a threat to the public interest or to the effective regulation and control of

gambling, or create or enhance the dangers of unsuitable, unfair, or illegal practices, methods, or

activities in the conduct of gambling, or in the carrying on of the business and financial

arrangements incidental thereto; and

C. A person who is in all other respects qualified to be licensed as provided in the

Tribal-State Gaming Compact, and the IGRA.

2.12 Procedures, for Forwarding Applications and Reports on Key Employees and

Primary Management Officials to the National Indian Gaming Commission

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

operation authorized by this ordinance, the Tribal Gaming Commission shall forward to

the National Indian Gaming Commission a completed application for a gaming license

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

Section 2.10.

B. The Tribal Gaming Commission shall forward the report referred to in Section 2.12

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 a person who does not have a license.

2.13 Report to the National Indian Gaming Commission

A. Pursuant to the procedures set out in Section 2.8, the Tribal Gaming Commission

shall prepare and forward to the National Indian Gaming Commission an investigative

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

following:

1. Steps taken in conducting a background investigation;

2. Results obtained;

3. Conclusions reached; and

4. The bases for those conclusions.

B. The Tribal Gaming Commission shall submit, with the report, a copy of the

eligibility determination made under Section 2.10.

C. If a license is not issued to an applicant, the Tribal Gaming Commission:

1. Shall notify the National Indian Gaming Commission;

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.

D. With respect to license applicants, the Tribal Gaming Commission shall retain

applications for licensing and 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

denial or revocation of a license, or termination of employment, whichever is later.

Page lOof 17
2.14 Procedures for Forwarding Gaming License Applications to the State Gaming

Agency

A. The Tribal Gaming Commission shall forward all applications for a gaming

license to the State Gaming Agency for a determination of suitability within sixty

(60) days of the date of the application or within sixty (60) days of the approval of

this ordinance by the Chairman of the National Indian Gaming Commission.

B. The Tribe will not employ or continue to employ, any person whose application to

the State Gaming Agency for a determination of suitability, or for a renewal of

such a determination, has been denied or has expired without renewal. However,

the Tribe may continue to employ a person whose application has been denied by

the State Gaming Agency if:

1. The person holds a valid and current license issued by the Tribal

Gaming Commission that must be renewed at least biennially;

2. The denial of the application by the State Gaming Agency is based

solely on activities, conduct, or associations that antedate the filing

of the persons initial application to the State Gaming Agency for a

determination of suitability;

3. The person is not an employee or agent of any other gaming

operation; and

4. The person has been in the continuous employ of the Tribe for at

least three years prior to the effective date of the Tribal-State

Compact; or

5. The person is an Enrolled Member of the Tribe.

2.15 Granting a Gaming License

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

receives a report, the National Indian Gaming Commission notifies the Tribe that it has

no objection to the issuance of a license pursuant to a license application filed by a key

employee or a primary management official for whom the Tribe has provided an

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

Tribe may issue a license to such applicant.

B. The Tribe shall respond to a request for additional information from the Chairman

of the National Indian Gaming Commission concerning a key employee or a primary

management official who is the subject of a report. Such a request shall suspend the 30-

day period under paragraph A of this section until the Chairman of the National Indian

Gaming Commission receives the additional information.

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

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

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

provided an application and investigative report to the National Indian Gaming

Commission, the Tribe shall reconsider the application, taking into account the objections

itemized by the National Indian Gaming Commission. The Tribe shall make the final

Page ilof 17
decision whether to issue a license to such applicant.

2.16 Denial, Suspension and Revocation of Gaming License

A. If, after the issuance of a gaming license, the Tribe receives from .the National

Indian Gaming Commission or other source, reliable information indicating that a

key employee or a primary management official is not eligible for employment

under subsection C above, the Tribal Gaming Commission shall suspend such

license and shall notify in writing the licensee of the suspension and the proposed

revocation.

B. If, after the issuance of a gaming license, the Tribe receives from the State Gaming

Agency notice that an application for a determination of suitability or for a renewal

of such a determination, by the State has been denied, the Tribal Gaming

Commission shall suspend such license and shall notify in writing the licensee of

the suspension and the proposed revocation.

C. The Tribal Gaming Commission shall notify the licensee of a time and place for a

hearing on the proposed revocation of a license.

D. After a revocation hearing, the Tribal Gaming Commission shall decide to revoke or

to reinstate a gaming license. The Tribal Gaming Commission shall notify the

National Indian Gaming Commission and the State Gaming Agency of its decision.

CHAPTER 3 ADMINISTRATION AND ENFORCEMENT

3.1 Establishment and Authority of the Tribal Gaming Commission

The Tribal Gaming Commission is hereby established. The Tribal Gaming Commission

shall exercise all powers necessary to effectuate the purposes of this Ordinance. The Tribal

Gaming Commission may exercise any proper power and authority necessary to perform the

duties assigned to it by this Ordinance, and is not limited by the enumeration of powers in this

chapter. The Tribal Gaming Commission shall promulgate rules and regulations for the

operation of any Gaming Facility and shall hear and resolve all disputes regarding any provision

of the Ordinance. In all decisions, the Tribal Gaming Commission shall act to promote and

ensure integrity, security, honesty, and fairness of the operation and administration of gaming

and ancillary activities of the Gaming Operation.

3.2 Relationship to Tribal Government

The authority to establish a Tribal Gaming Commission comes from the sovereign

powers of the Tribal Government. An effective regulatory scheme should work to ensure that all

gaming within the Tribes jurisdiction is operated in accordance with tribal laws and regulations.

The Tribal Gaming Commission shall be deemed to be an agency of the Tribal Government,

established for the exclusive purpose of regulating and monitoring gaming on behalf of the Tribe.

As an arm of the Tribal Government, the Tribal Gaming Commission shall be subject to

personnel and other Tribal governmental administrative policies. The administration of all such

policies shall be under the supervision of the Tribal Council. In the absence of applicable Tribal

personnel or other administrative policies, the Tribal Gaming Commission shall promulgate its

Page 12 of 17
own policies, subject to approval of the Tribal Council.

3.3 Relationship to Gaming Facilities

This Ordinance provides for the Tribal Gaming Commissions autonomous authority.

This authority includes, among other things, unrestricted access to any area of the Gaming

Operation, including the books and records of the operation. Notwithstanding the fact that the

Tribal Gaming Commission is an agency of Tribal Government, the decisions of the Tribal

Gaming Commission regarding licensing, suitability, compliance with applicable law and other

regulatory matters shall be within the exclusive province of the Tribal Gaming Commission and

shall be subject to appeal only to the Tribal Council or as set forth in this Ordinance or by the

Tribal Gaming Commissions regulations.

3.4 Method of Funding

All funding of the Tribal Gaming Commission shall be pursuant to an annual budget to

be proposed to the Tribal Council ninety (90) days prior to the close of the Tribes fiscal year and

modified, if necessary, and approved and funded in accordance with the Tribes procedures. In

preparing the annual budget, all actual and anticipated surplus funds of the Tribal Gaming

Commission shall be taken into account. Expenditures by the Tribal Gaming Commission shall

be in accordance with the approved annual budget. Changes in the approved annual budget and

requests for additional funds shall be by petition to the Tribal Council.

3.5 Responsibilities and Duties

The Tribal Gaming Commission shall have the responsibility and duty to:

(a) Develop licensing procedure for all employees of the gaming operation

pursuant to 25 C.F.R. § 558.1(b).

(2) Issue, suspend, revoke, and renew licenses of primary management

officials and key employees upon completion of background

investigations and after following the procedures contained in 25 C.F.R.

parts 556 and 558.

(3) Conduct background investigations on primary management officials and

key employees according to requirements that are at least as stringent as

those in 25 C.F.R. parts 556 and 558 pursuant to C.F.R. § 556.2 and 556.3.

(4) Forward completed employment applications for primary management and

key employees to the NIGC pursuant to 25 C.F.R. § 558.3. These

applications must include the Privacy Act notice and the notice regarding

false statements contained in 25 C.F.R. § 556.2 and 556.3.

(5) Forward completed investigative reports on each background investigation

for each primary management official or key employee to the NIGC prior

to issuing a license pursuant to 25 C.F.R. § 556.3.

(6) Review a persons prior activities, criminal record, if any, reputation,

habits and associations to make a finding concerning the eligibility of a

key employee or primary management official for employment in a

gaming operation pursuant to 25 C.F.R. § 558.2.

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(7) Notify the NIGC if, after conducting a background investigation on a

primary management official or key employee the Tribe does not license

the individual pursuant to 25 C.F.R. § 556.5(d)(l).

(8) Retain applications and reports of background investigations of primary

management officials and key employees for no less than three (3) years

from termination of employment pursuant to 25 C.F.R. § 558.1(c).

(9) Issue separate licenses to each place, facility, or location on Indian lands

where a Tribe elects to allow gaming pursuant to 25 C.F.R. § 522.4(b)(6).

(10) Ensure that gaming facilities are constructed, maintained and operated in a

manner that adequately protects the environment and the public health and

safety pursuant to 25 C.F.R. § 522.4(b)(7).

(11) Obtain annual independent outside audits and submit these audits to the

NIGC pursuant to 25 C.F.R. § 522.4(h)(3). The scope of these audits

should include all gaming related contracts that result in purchases of

supplies, services or concessions for more than $25,000 in any year

pursuant to 25 C.F.R. § 522.4(b)(4).

(12) Ensure that net revenues from any gaming activities are used for the

limited purposes set forth in this Ordinance pursuant to 25 C.F.R.

522.4(b)(2).

(13) If the Tribe authorizes individually owned gaming, issue licenses

according to the requirements contained in this Ordinance pursuant to 25

C.F.R. § 522.10 and 522.11.

(14) Promulgate Tribal Gaming Regulations pursuant to tribal law.

(15) Monitor gaming activities to ensure compliance with tribal law and

regulations.

(16) Interact with other regulatory and law enforcement agencies regarding the

regulation of gaming.

(17) Conduct investigations of possible violations and take appropriate

enforcement action with respect to tribal law and regulations.

(18) Provide independent information to the Tribe on the status of the Tribes

gaming activities.

(19) Take testimony and conduct hearings on regulatory matters, including

matters related to the revocation of primary management officials and key

employee licenses.

(20) Establish and approve minimum internal control standards or procedures

for the gaming operation, including the operations credit policies and

procedures for acquiring supplies and equipment.

(21) Establish any supplementary criteria for the licensing of primary

management officials, key employees and other employees that he Tribe

deems necessary.

(22) Establish standards for and issue licenses or permits to persons and entities

who deal with the gaming operation such as manufacturers and suppliers

of machines, equipment and supplies.

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(23) Maintain records on licenses and on persons denied licenses including

persons otherwise prohibited from engaging in gaming activities within

the Tribes jurisdiction.

~(24) Perform audits of business transactions to ensure compliance with

regulations and/or policy.

(25) Establish or approve rules of various games, and inspect games, tables,

equipment, machines, cards, dice, and chips or tokens used in the, gaming

operation. Establish or approve video surveillance standards. Establish

standards/criteria for gaming machines and facilitate the testing of

machines for compliance.

3.6 Reporting On or before the last day of the month following the end of the first

three fiscal quarters, the Tribal Gaming Commission shall provide to the Tribal

..Council a Quarterly Report summarizing its activities during the prior quarter and

accounting for all receipts and disbursements. On or before the last day of the

third month after the close of the Tribes fiscal year, the Tribal Gaming

Commission shall provide to the Tribal Council an Annual report summarizing its

activities during the prior fiscal year, and accounting for all receipts and

disbursements.

3.7 Powers and Enforcement Authority The Tribal Gaming Commission shall

exercise all powers necessary to effectuate the purposes of the Tribal Gaming

Ordinance. The Tribal Gaming Commission may exercise any proper power and

authority necessary to perform the duties assigned to it by the Tribal Gaming

Ordinance andlor the Tribal Council, and is not limited by the enumeration of

powers in this Ordinance.

The Tribal Gaming Commission may suspend, revoke, limit or condition the

license or fmding of suitability of any person or enterprise, or may order the

suspension or termination of any gaming employee, vendor, or any other business

relationship found to have violated the provisions of the Tribal Gaming Ordinance

or tribal gaming regulations. The Commission may impose a civil fine of not

more than $10,000 for each separate violation. All fines must be paid to the Tribe

within fifteen (15) days after the decision is issued imposing the fine unless

otherwise ordered by the Tribal Gaming Commission.

3.8 Personnel The Tribal Gaming Commission shall hire personnel necessary to

ensure the proper enforcement of the provisions of the Tribal Gaming Ordinance

or any other Gaming Ordinance.

3.9 Number of Commissioners and Selection The Tribal Gaming Commission shall

be composed of three (3) persons, all of whom shall be appointed by the majority

yote of Tribal Council.

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3.10 Officers and Duties The Tribal Council shall appoint, by majority vote, which of

the Tribal Gaming Commissioners shall serve as Chairman, Vice-Chairman and

Secretary/Treasurer. The Chairman shall preside over meeting of the Tribal

Gaming Commission and the Vice-Chairman shall preside in absence of the

Chairman. The Secretary/Treasurer shall monitor all funds designated to the

Tribal Gaming Commission by way of appropriations, fee, and/or fines, etc.,

and shall be responsible for administration of the Annual Budget.

3.11 Qualifications The Tribal Gaming Commissioners shall be a member of the

Tribe or a person with adequate experience in gaming operations, the practice of

gaming law, gaming control or regulation, law enforcement, business

administration, or accounting.

3.12 Disciualifications

The following persons may not serve as Commissioners:

(a) Employees of any gaming enterprise on the Rancheria;

(b) Persons related to any gaming contractor (including any principal thereof or

closely associated independent contractor);

(c) Persons having any interest in or responsibility for, either directly or

indirectly, any gaming related contract with Tribe or any gaming enterprise on

the Rancheria.

3.13 Restrictions on Commissioners

Commissioners may not gamble in the Gaming Facility nor may they have any

personal financial interest in any gambling by any patron of the Gaming Facility.

3.14 Terms of Office

The Commissioners shall serve four (4) year terms, except that immediately after

the enactment of this Ordinance, one (1) of the Commissioners shall serve for two (2)

years, one for three (3) years, and one of the Commissioners shall serve for four (4) years.

The respective term for each Commissioner shall be designated in their appointment.

Commissioners may serve for more than one term.

3.15 Compensation, Fringe Benefits, Reimbursement of Expenses

Commissioners shall be compensated for serving on the Commission at rates to be

set by the Tribal Council. Commissioners shall be paid equally. Increases may be

allowed based on length of service. Commissioners shall be eligible for fringe benefits

which are available to other employees of the Tribal Government in accordance with

current policy. Commissioners shall be reimbursed for expenses incurred in connection

with the performance of their Commission duties including necessary and reasonable

travel expenses.

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3.16 Method of Removal

Commissioners may only be removed from office before the expiration of their

terms by the Tribal Council for neglect of duty, malfeasance or other good cause shown,

as determined by the Tribal Council on a case by case basis.

3.17 Procedures for Conducting Business

A. Quorum. Two (2) members of the Tribal Gaming Commission shall

constitute a quorum.

B. Voting. All actions of the Tribal Gaming Commission shall be taken by

majority vote. The Commission Chairman may vote on any issue.

C. Meetings. Commissioners shall meet together on a regular basis.

3.18 Regulations

The Tribal Gaming Commission is empowered to adopt, amend, and repeal

regulations, subject to final approval by the Tribal Council, to effectuate the provisions of

the Tribal Gaming Ordinance and the Tribes gaming policy.

3.19 Dispute Resolution

Patrons who have complaints against the gaming establishment, the

Gaming Facility Operator, or a gaming employee shall have as their sole remedy the right

to file a petition for relief with the Tribal Gaming Commission. Complaints shall be

submitted in writing, and at the discretion of the Commission, the petitioner may be

allowed to present evidence. The Tribal Gaming Commission shall hold a hearing within

30 days of receipt of petitioners complaint. Petitioner may have counsel present at such

hearing. The Commission shall render a decision in a timely fashion and all such

decisions will be fmal when issued. Any patron complaint must be submitted to the

Tribal Gaming Commission within thirty (30) days of the incident giving rise to the

complaint. All claims by patrons shall be limited to a maximum recovery of five million

dollars ($5,000,000.00) per occurrence, and a cumulative limit of five million dollars

($5,000,000.00) per patron in any twelve (12) month period.

3.20 Designation of Registered Agent

The designated agent for notice of any official determination, order, or notice of

violation by the NIGC as required by 25 C.F.R. § 519.1 is the Chairperson of the Table

Mountain Rancheria.

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