-- . A 2 

-. 

MAR 2-7 I997 - - -. 

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- 

Honorable Maryann Martin 

Chairperson, Augustine Band of Mission Indians - 

84481 Avenue 54 

Coachella, California 92236 

Dear Chairperson Martin: - 

,.,-Jhis letter responds to your request to review and approve the tribal gaming ordinanc 

adopted on January 17, 1997, by the Augustine Band of Mission Indians (Tribe). This lea 

constitutes approval of the ordinance under the Indian Gaming Regulatory Act (IGRA). 

Under the IGRA and the regulations of the National Indian Gaming Commission (NIGC), ti 

Chair is directed to review ordinances with respect to the requirements of the IGRA zu 

the implementing regulations. Thus, the scope of the Chair's review and approval is limit1 

to the requirements of the IGRA and the NIGC regulations. Provisions other than tho 

required under the IGRA or the NIGC regulations that may be included in a tribal ordinan 

are not subject to review and approval. Also, such approval does not constitute approval 

specific games. It is important to note that the'gaming ordinance is approved for gaming on 

on Indian lands as defined in the IGRA. 

With the Chair's approval of the Tribe's gaming ordinances, the Tribe is now required 

conduct background investigations on its key employees and primary management official 

The NIGC expects to receive a completed application for each key employee and prima 

management official pursuant to 25 C.F.R. $ 556.5(a) and an investigative report on eat 

background investigation before issuing a license to a key employee or primary manageme 

official pursuant to 25 C.F.R. 8 556.5(b). 6' ip '-,% .-, -- .. -*- \ 

-..-- - - 

.<. Thank you for submitting the ordinance of the Augustine Band of Mission Indians for revie 

and approval. The NIGC staff and I look forward to working with you and the Tribe 

implementing the IGRA. 

Sincerely yours, 

Tom Foley 

Commissioner 
AUGUSTlNE BAND OF MISSION INDIANS 

8448 1 Avenue 54 Coachella, CA 92236 (6 19) 398-4722 Fax: (6 19) 398-4922 

Chairperson: Maryann Martin 

RESOLUTION NO. 

WHEREAS, The Augustine Band Mission of Indians, (hereafter "Tribe or Band", is a 

federally recognized lndian Tribe, and 

WHEREAS, the General Council of the Augustine Band is the governing body of 

the Augustine Band of Indians, and 

WHEREAS, the Tribe intends to engage in all legal forms of Class II gaming, and all 

legal forms of Class Ill gaming upon the negotiation of a tribal-state compact 

with the State of California, and 

WHEREAS, the National lndian Gaming Commission has promulgated regulations 

containing explicit requirements concerning gaming, employee licensing, 

background checks, and related matters, and 

WHEREAS, the Tribe wishes to ensure that its gaming operations comply with all 

regulations of the National lndian Gaming Commission, and 

WHEREAS, the Tribe believes that the Commissions regulations will further 

enhance the Tribe's capability and will ensure that all gaming operations are 

operated efficiently and honestly, and 

WHEREAS, the Tribe desires to designate the Augustine Police Department Background Unit to take fingerprints, and the National lndian Gaming Commission to process criminal history checks through the FBI on all key employees 

and primary management officials, and 

WHEREAS, the Tribe desires to designate its tribal attorney on gaming matters, 

Mr. Eugene Madrigal, Esq. of the LAW OFFICE OF EUGENE R. MADRIGAL, 

28581 Front Street, Ste. 208, Temecula, CA 92592, as its contact person 

and as its agent for the service of process for all official communications to 

and from the National lndian Gaming Commission; 

NOW THEREFORE BE IT RESOLVED, that the General Council of the Augustine 

Band hereby enacts the Class II Gaming Ordinance attached hereto, and 

authorizes all action necessary to obtain approval from the National lndian 

Gaming Commission of the attached Gaming Ordinance. 

CERTIFICATION 

This is to certify that the foregoing Class I1 Gaming Ordinance was duly 

adopted by the Augustine Band of Mission Indians on \/ 17 

1997, by approval of tribal chairperson Maryann Martin, ds thk sole adult tribai 

member of the Augustine Band. 

(lJv4rnm Maryann Martivchairperson Augustine Band 
AUGTJSTINE BAND OF MISSION INDIANS 

CLASS I1 GAMING ORDINANCE 

I. Purpose 

The Augustine Band of Mission Indians (hereafter "Triben ) , exercising its governmental powers as a sovereign Tribe to enact 

ordinances, hereby enacts this Ordinance in order to set the terms 

for the conduct of Class 11 gaming operations on tribal lands. 

11. Gamins Authorized 

Class I1 gaming as defined in the Indian Gaming Regulatory 

Act. P.L. 100-447, 25 U.S.C. Section 2703 (8) (nIGRA1l) 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) is hereby authorized. 

111. Ownership of Gaminq 

The Tribe shall have the sole propriety interest in and 

responsibility for the conduct of any gaming operation authorized 

by this Ordinance. 

IV. Use of Gamina Revenue 

A. Net revenues from class I1 gaming 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 

organization; or help fund operations of local government agencies. 

B. If the Tribe elects to make per capita payments to tribal 

members, it shall authorize such payment only upon approval of a 

plan submitted to the Secretary of Interior under 25 U.S.C. 

2710 (b) (3). 

V. Audit 

A. The Tribe shall cause to be conducted annually an 

independent audit of gaming operations and shall submit the 

resulting audit reports to the National Indian Gaming commission. 

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 that is described in subsection A above. 
VI. Protection of the Environment and Public Health and Safety 

Class I1 gaming facilities shall be constructed, maintained 

and operated in a manner that adequately protects the environment 

and the public health and safety. - 

. - 

- .. 

VII. Licenses for Kev Em~lovees and Primary Manacrement Officials 

The Tribe shall ensure that the policies and procedures set 

out in this section are implemented with respect to key employees 

and primary management officials employed at- any Class I1 gaming 

enterprise operated on Indian lands: 

A. Definitions 

For the purposes of this sectdon, - - the following 

definitions apply: - . -,- -- 

1. Kev em~lovee means . - -. - 

(a) A person who performs one or more of the 

following functions: .A 

- 

.- 

(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) Approval of credit; or 

(10) Custodian of gambling devices including 

persons with access - to cash and accounting 

records within such devices; -. 

(b) If not otherwise included, any other person 

whose total cash compensation is in excess of 

$ 50,000, per year; or 

(c) If not otherwise included, the four most highly 

compensated persons in- the gaming operation. 

(2) Primary manacrement official: means - a- .. . 

(a) The person having management responsibility 

for a management contract; 

(b) Any person who has authority; 

(1) To hire and fire employees; or 

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

(c) The chief financial officer or other person who 

has financial management responsibility. 

B. A~plication Forms 

1. The following notice shall be placed on the 

application form for a key employee or a primary management 

official before that form is filled out by an applicant: 

In compliance with the Privacy Act of 1974, the following 

information is provided: Solicitation of the information on 

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

the requested information is to determine the eligibility of 

individuals to be employed in a gaming operation. The 

information will be used by National Indian Gaming Commission 

members and staff who have need for the information in the 

performance of their official duties. The information may be 

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

law enforcement and regulatory agencies when relevant to civil, 

criminal or regulatory investigations or prosecutions or when 

pursuant to a requirement by a tribe or the National Indian Gaming 

Commission in connection with the hiring or firing of an employee, 

the issuance or revocation of a gaming license, or investigations 

of activities while associated wit a tribe or gaming operation. 

Failure to consent to the disclosures indicated in this notice will 

result in a tribes's being unable to hire you in a primary 

management official or 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. Existing key employees and primary management 

officials shall be notified in writing that they shall either: 

(a) Complete a new application form that contains a 

Privacy Act Notice: or 

(b) Sign a statement that contains the Privacy Act 

notice and consent to the routine uses described in 

that notice. 

3. The following notice shall be place on the 

application form for a key employee or a primary official before 

that form is filled out by an applicant. 

A false statement on any part of 

your application may be grounds for 

not hire you, or for firing you 
after you begin work. Also, you may 

be punished for fine or imprisonment. 

(U.S. Code, Title 18, Section 1001.) 

4. The Tribe shall notify in writing existing key 

employees and primary management officials that they shall either: 

(a) Complete a new application form that contains 

a notice regarding false statements; or 

(b) Sign a statement that contains the notice 

regarding false statements. 

C. Backuround Investisations 

1. The Tribe shall request from each primary management 

official and from each key employee all of the following 

information: 

(a) Full name, other names used (oral or written), 

social security number(s), birth date, place of 

birth, citizenship, gender, all languages (spoken or 

written) ; 

(b) Currently and for the previous 5 years; business and 

employment positions held, ownership interest in 

those businesses, business and residence addresses, 

and drivers license numbers; 

(c) The names and current addresses of at least three 

personal references, including one personal 

reference who was acquainted with the applicant 

during each period of residence listed under 

paragraph (1) (b) of this section; 

(dl Current business and residence telephone numbers; 

(e) A description of any existing and previous business 

relationships with Indian tribes, including 

ownership interest in those businesses; 

(f) A description of any existing and previous business 

relationships with the gaming industry generally, 

including ownership interests in those businesses; 

(g) The name and address of 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; 

(h) For each felony for which there is an ongoing 
prosecution or a conviction, the charge, the name 

and address of the court involved, and the date and 

disposition if any; 

(i) 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; 

(j) For each criminal charge (excluding minor traffic 

charges), whether or not there is a conviction, if 

such criminal charge is within ten years of the date 

of the application and is not otherwise listed 

pursuant to paragraph (1) (h) or (1) (i) of this 

section, the criminal charge, the name and address 

of the court involved and date and disposition; 

(k) 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; 

(1) A current photograph; 

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

(n) Fingerprints consistent with procedures adopted by 

the Tribe according to 25 C.F.R. 522.2(h). 

2. ThB Tribe shall conduct an investigation sufficient 

to make a determination under subsection D 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. 

D. Elisibility Determination 

The Tribe shall review a person's prior activities, criminal 

record, if any, and reputation, habits and associations to make a 

finding concerning the eligibility of a key employee or primary 

management official for employment in a gaming operation. If the 

Tribe determines that employment of the person poses a threat to 

the public interest or to the effective regulation of gaming, or 

creates or enhances dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of gaming, a 

tribal gaming operation shall not employ that person in a key 

employee or primary management official position. 

E. Procedures for Forwardins A~plications and Reports for 

Key Employees and Primary Manasement Officials to the 

National Indian Gamins Commission 
1. When a key employee or primary management official 

begins work at a gaming operation authorized by this Ordinance, the 

Tribe shall forward to the National Indian Gaming Commission a 

completed application for employment and conduct the background 

investigation and make the determination referred to in subsection 

D of this section. 

2. The Tribe shall forward the report referred to in 

subsection F of this section to the National Indian Gaming 

Commission within sixty days after an employee begins work or 

within sixty days of the approval of this ordinance by the Chairman 

of the National Indian Gaming Commission. 

3. The gaming operation shall not employ as key 

employee or primary management official ap person who does not have 

a license after ninety days. 

F. Report to the National Indian Gamins Commission 

1. Pursuant to the procedures set out in subsection E 

of this section, the Tribe shall prepare and forward to the 

National Indian Gaming commission an investigative report on each 

background investigation. An investigative report shall include 

all of the following: 

(a) Steps taken in conducting a background 

investigation; 

(b) Results obtained; 

(c) Conclusions reached; and 

(d) The basis for those conclusions. 

2. The Tribe shall submit, with the report, a copy of 

the eligibility determination made under subsection D of this 

section. 

3. If a license is not issued to an applicant, the 

Tribe; 

(a) Shall notify the National Indian Gaming 

Commission; and 

(b) May forward copies of its eligibility 

determination and investigative report (if any) 

to the National Indian Gaming Commission for 

inclusion in the Indian Gaming Individuals 

Records System. 

4. With respect to key employees and primary management 

officials, the Tribe 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 years from the date of termination 

of employment. 
G. Grantins a Gamins License 

1. If, within a thirty day period after the National 

Indian Gaming Commission received 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 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. 

2. The Tribe shall respond to a request for additional 

information from the Chairman of the National Indian Gaming 

Comission concerning a key employee or a primary management 

official who is the subject of a report. Such a request shall 

suspend the thirty day period under paragraph GI, of this section 

until the Chairman of the National Indian Gaming receives the 

additional information. 

3. If, within the thirty 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 

decision whether to issue a license to such applicant. 

H. License Suspension 

1. If, after the issuance of a gaming license, the 

Tribe receives from the National Indian Gaming Commission reliable 

information indicating that a key employee or a primary management 

official is not eligible for employment under Subsection D above, 

the Tribe shall suspend such license and shall notify in writing 

the licensee of the suspension and the proposed revocation. 

2. The Tribe shall notify the licensee of a time and a 

place for a hearing on the proposed revocation of a license. 

3. After a revocation hearing, the Tribe shall decide 

to revoke or to reinstate a gaming license. The Tribe shall notify 

the National Indian Gaming Commission of its decision. 

VIII. License Locations 

The Tribe shall issue a separate license to each place, 

facility, or location on Indian lands where Class I1 gaming is 

conducted under this Ordinance. 
IX. Backsround Investisation/Patron Dispute Procedures 

Background investigations of key employees and primary 

management officials shall be conducted in accordance with the 

procedures contained in Attachment No. 1. Resolution of patron 

disputes shall be handled in accordance with the procedures 

contained in Attachement No. 2. 

X. Reveal 

All prior gaming Ordinances are hereby repealed. 

XI. Effective Date, Amendment, Reveal 

This Ordinance shall be adopted by a majority vote of the 

Augustine Tribe. This Ordinance shall be amended or repealed in the 

same manner. This Ordinance shall be effective upon approval by the 

National Indian Gaming Commission. 

CERTIFICATION 

This is to certify that the foregoing Class I1 Gaming 

Ordinance was duly adopted by the Augustine Band of Mission Indians 

on 1/17 , 1997, by approval of Tribal 

chairperdon Mary Ann Martin, as the sole adult tribal member of the 

Augustine Band. 

rnd-lJm**k 

MARY ANN MARfiN, Chairperson 

Augustine ~afd of ~ission Indians 
ATTACHMENT NO. 1 z9 

CLASS I1 GAMING ORDINANCE iw 

PROCEDURES FOR BACKGROUND INVESTIGATIONS 

OF KEY EMPLOYEES AND PRIMARY MANAGEMENT OFFICIALS 

OF THE AUGUSTINE TRIBAL GAMING FACILITY 

1. Res~onsibility for the Investigations. The Augustine Band of Mission Indians 

(hereafter Band or Tribe), through the Augustine Gaming Commission, appointed by the 

Augustine Tribe, shall be responsible for ensuring that background investigations are 

conducted concerning all key employees and primary management officials, as defined in 

section 7(A) of the Tribe's Class I1 Gaming Ordinance, of its tribal gaming facility, as 

required by 25 C.F.R. section 522.2(b). 

2. Conduct of the Background Investigations. The Tribe designates the Augustine 

Gaming Commission to conduct said background investigations. 

3. Procedures for the Background Investi~ations. In order to provide a basis for the 

Tribe, through its appointed gaming commission, to make a finding concerning the eligibility 

for employment in a gaming operation, said background investigations shall include: 

a. Verification by written or oral communication of the information submitted 

by the applicant; 

b. An inquiry into the applicant's prior activities, criminal record, if any, and 

reputation, habits and associations; 

c. Interviews with a sufficient number of people such as former employers, 

personal references, and others with sufficient knowledge of said applicant; 

d. Documentation setting forth the disposition of all potential problem areas and 

disqualifying information which is obtained; 

e. The obtaining and processing of fingerprints from each applicant. The Tribe 

has created the Augustine Police Department, Background's Unit, to assist the Gaming 

Commission, and designates that agency to obtain said fingerprinting, and designates the 

National Indian Gaming Commission to process said fingerprint cards through the Federal 

Bureau of Investigation. 
4. Reports Regarding: the Background Investigations. Reports regarding all background 

investigations shall be reviewed and approved by the Augustine Gaming Commission. Said 

reports shall set forth the following: 

a. The steps taken in conducting the background investigations; 

b. The results obtained. 

c. The conclusions reached; and 

d. The bases for those conclusions. 

5. Submission of Re~orts to Commission. The members of the Augustine Gaming 

Commission, appointed by the Augustine Tribe, shall be responsible for submitting the reports 

referred to above to the National Indian Gaming Commission. 
ATTACHMENT NO. 2 

CLASS I1 GAMING ORDINANCE 

RESOLUTION OF PATRON DISPUTES 

1. Dispute Resolution Procedures. 

(a) Whenever a patron of the gaming facility disputes 

the resolution of a con£ lict by the General Manager (GM) of the 

gaming facility or its employee(s), whether such dispute concerns 

payment of alleged winnings to a patron or other matters, and the 

GM and the patron are unable to resolve the dispute to the 

satisfaction of the patron, the GM shall inform the patron of 

his/her right to request that the Augustine Gaming Commission 

conduct an investigation. The Augustine Gaming Commission shall 

conduct whatever investigation it deems necessary and shall 

determine what resolution of the dispute shall be made. 

(b) Notice to Patrons. Within thirty (30) days after 

the date that the Augustine Gaming Commission first receives 

notification from the GM of a request to conduct an investigation, 

or a request directly from a patron, the Augustine Gaming 

Commission shall mail written notice by certified mail, return 

receipt requested, to the GM and to the patron setting forth the 

decision resolving the dispute. 

(c) Effective Date of Decision. The decision of the 

Commission shall be effective on the date it is received by the 

patron, as reflected on the return receipt. 
(d) Request For Hearing. Within 10 days after the date 

of receipt of the written decision of the Commission, the aggrieved 

patron may file a written request with the Augustine Gaming 

Commission asking for a hearing concerning the decision. The 

Augustine Gaming Commission shall then set a hearing on the matter 

to be held within 14 days of the receipt of such written request. 

Any written documentation, or names of witnesses to be called, must 

be provided to the Commission at least 7 days prior to the hearing 

date. The Commission shall then issue a written decision within 

seven days of the hearing, and shall mail a copy to the patron. 

The decision of the Augustine Gaming Commission shall then be final 

and binding upon the patron and the gaming facility, and shall NOT 

be subject to judicial review or to other legal action in any 

forum, including, federal, state or tribal court.