11-26-1997 @8:S3AM FROM SCOTT CROWELL TO 13682676778 P.18

JUL-26-1985 16136 phe” Noe . To — P.013
% 5 aa yt comaction vty related to the Tribe's Hcensing determinations for
gaming eaployces, neither the or ay summary memoranda fursished by the NIGC shall
be reproduced, disseminated, or introdeced in a court of law or administrative hearing, without

the pelo writen consent of the NIGC. —
6. Employees, past of the NEGC will not bo called as witnesses to testify
wilative to CHRI’: d to the Tribe before any Tribal “cout or in any Tribal

7. Any request for access to the provided CHRI by the individual who is the subject of the
CHI shall be refexred to the NIGC for processing end sn appropriste response pursuant to the
Freedom of Information aad Privacy Acts (Tite 5, USC, Section 552 and 5520).

8 Tibal authoctes wil be promptly notified in the event thatthe NEGC deiecnines that
it ia necemary to discontinue providing CHII information to the Tribe (either in whols or in
part) due to the Txibe’s failure to comply with the conditions set forth in this memorandum.

‘The Tribe sa cme ven aon on ia ATE
day of 19/7,

lel ls

Authorized Tribal Official

TOTAL P.18


SHOALWATER BAY INDIAN TRIBE
GAMING

RULES GOVERNING BACKGROUND CHECKS
OF PRIMARY MANAGEMENT OFFICIALS AND KEY EMPLOYEES

The Shoalwater Bay Tribal Council hereby establishes and implements the following rules and
regulations governing background checks of all primary management officials and key employees in
accordance with the Shoalwater Bay Indian Tribe Class II and Class III Gaming Code.

0.

m I

The Tribal Council shall through hired staff or through contracting with qualified individuals request
from each applicant or existing employee that serves as a primary management official or key
employee, as defined by the Gaming Code, 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 five years: business and employment positions held,
ownership interests in those businesses, business and residence addresses and drivers license numbers,

c) The names and current addresses of at least three personal references, including one
personal reference who was acquainted with the applicant during each period of residence listed under
section .001(b);

(d) Current business and residence telephone numbers;

(e) A description of any existing and previous relationships with Indian Tribes, including
ownership interests in those businesses,

(f) A description of any existing and previous 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 nor such license or permit
was granted;

(h) For each felony for which there is an ongoing prosecution or conviction, the charge,
the name and address of the court involved, and the date of disposition, if any;

Page 1
Shoalwater Bay - Gaming
Rules for Background Checks


Enclosures

EXHIBIT A. Certified copy of the Shoalwater Bay Indian Tribe Class II & III Gaming Code
EXHIBIT B. Tribal Resolution #03-28-97-15 authorizing Gaming Code

EXHIBIT C. Rules Governing Background Checks of Primary Management Officials and Key Employees, formally
adopted by the Tribal Council, pursuant to Tribal Resolution #11-26-97-60.

EXHIBIT D. Memorandum of Understanding Regarding the Dissemination of Criminal History Record
Information By The National Indian Gaming.

EXHIBIT E. Rules Governing the Issuance of Tribal Licenses to Primary Management Officials and Key
Employees formally adopted by the Tribal Council, pursuant to Tribal Resolution #11-26-97-60.

EXHIBIT F. Rules Implementing Procedures for Resolving
Disputes Between the Gaming Public and The Shoalwater Bay
Indian Tribe formally adopted by the Tribal Council, pursuant to
Tribal Resolution #11-26-97-60

EXHIBIT G. Designation of Agent formally adopted by the Tribal Council, pursuant to Tribal
Resolution #1 1-26-97-60

EXHIBIT H. Tribal Resolution #1 1-26-97-60



my

MAR-28-97 17:06 FROM: SHOALWATER BAY TRIBE ID: 3602676778 PAGE

~ wee’

The disclosure of your Social Security Number (SSN) is
vohmtaty. However, failure to supply a SSN may result in
etrors in processing your application.

2 Existing loyees and primary management officials
Ball he notisot a writing teat the? shall Saher

a. Complete a new application form that contains a Privacy Act
notice; or

b. Sign a statement that contains the Privacy Act notice and
. consent to.the routine uses described in that notice. -

3. The following notice shall be placed on the application form
for a key employee or a primary 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 fring you after you begin
work. Also, you may be punished by fine or imprisonment.
(US. 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

bs Sign a statement that contains the notice regarding false
statements.

Background Investigations
L The Tribe shall request from primary management official

and from each key employee all of the following
information:

a Fall name, other names used (oral or written), social sctrity
. number(s), birth date, place of birth, citizenship, gender, all
languages (spoken or written);

SHOALWATER BAY INDIAN TRIBE
Ordinance

Pages

for Class I and Class 11] Gaming

15721


Enclosures

EXHIBIT A. Certified copy of the Shoalwater Bay Indian Tribe Class II & II] Gaming Code
EXHIBIT B. Tribal Resolution #03-28-97-15 authorizing Gaming Code

EXHIBIT C. Rules Governing Background Checks of Primary Management Officials and Key Employees, formally
adopted by the Tribal Council, pursuant to Tribal Resolution #11-26-97-60.

EXHIBIT D. Memorandum of Understanding Regarding the Dissemination of Criminal History Record
Information By The National Indian Gaming.

EXHIBIT E. Rules Governing the Issuance of Tribal Licenses to
Primary Management Officials and Key Employees formally
adopted by the Tribal Council, pursuant to Tribal Resolution #11-
26-97-60.

EXHIBIT F. Rules Implementing Procedures for Resolving Disputes Between the Gaming Public and The
Shoalwater Bay Indian Tribe formally adopted by the Tribal Council, pursuant to Tribal Resolution #11-26-97-60

EXHIBIT G. _ Designation of Agent formally adopted by the Tribal Council, pursuant to Tribal
Resolution #11-26-97-60

EXHIBIT H. Tribal Resolution #11-26-97-60



CUSTOMER CONCERN FORM
CUSTOMER NAME: DATE:

ADDRESS: PHONE:

DEPARTMENT INVOLVED:

CONCERN/COMPLAINT:

. CORRECTIVE ACTION TAKEN:

UISTOMER WAS: SATISFIED DISSATISFIED

MPLOYEE INVOLVED (IF NECESSARY) :

SUPERVISOR INVOLVED:

ROPERTY SHIFT MANAGER:

ORIGINAL: DEPARTMENT DIRECTOR



005. Temporary Employment Licenses

The Council may issue a temporary employment license to any person or entity applying for a license
to work ina licensed gaming establishment which shall be valid pending the background investigation
of the applicant. In no event shall such temporary license be valid for greater than 180 days.

006, Parameters of Licensee

Violation of any provision of the Gaming Code, or rules promulgated pursuant or enacted to implement
the Gaming Code by a licensee, his agent, or employee shall be deemed contrary to the public health,
safety, morals, good order and yeneral welfare of the Shoalwater Bay Tribe and the inhabitants of the
Tribe's Reservation, and shall be deemed grounds for refusing to grant or renew a license, suspension
or revocation of a license, or shall be grounds for the filing of charges by the Council. Acceptance of a
gaming license or the renewal; thereof, or condition imposed thereon, by a licensee, constitutes an
agreement on the part of the licensee to be bound by all the regulations and conditions of the Council
and by the provisions of the Gaming Code as the same are now, or may hereafter be amended or
promulgated, and to cooperate fully with the Council, and its hired staff of contracted individuals. It is
the responsibility of the licensee to keep himself informed of the contents of all such rules, regulations,
amendments, provisions and conditions, and ignorance thereof will not excuse violations. The
Commission shall use reasonable efforts to notify all licensees of changes in regulations.

Page 2
Shoalwater Bay - Gaming
Rules for Background Checks


Enclosures

EXHIBIT A. Certified copy of the Shoalwater Bay Indian Tribe Class II-& III Gaming Code
EXHIBIT B. Tribal Resolution #03-28-97-15 authorizing Gaming Code

EXHIBIT C. Rules Governing Background Checks of Primary Management Officials and Key Employees, formally
adopted by the Tribal Council, pursuant to Tribal Resolution #1 1-26-97-60.

EXHIBIT D. Memorandum of Understanding Regarding the
Dissemination of Criminal History Record Information By The
National Indian Gaming.

EXHIBIT E. Rules Governing the Issuance of Tribal Licenses to Primary Management Officials and Key
Employees formally adopted by the Tribal Council, pursuant to Tribal Resolution #1 1-26-97-60.

EXHIBITF. _Rales Implementing Procedures for Resolving Disputes Between the Gaming Public and The
Shoslwater Bay Indian Tribe formally adopted by the Tribal Council, pursuant to Tribal Resolution #11-26-97-60

EXHIBIT G. _Designation of Agent formally adopted by the Tribal Council, pursuant to Tribal
Resolution #11-26-97-60

EXHIBIT H. Tribal Resolution #1 1-26-97-60



MAR-28-97 17:1@ FROM:SHOALWATER BAY TRIBE 1D: 3602678778 PAGE

val

ad -

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.
License Locations
The Tribe shail issue a separate license to each place, facility,

or location on Indian Lands where class II or clase HI gaming is conducted
under this ordinance.

Repeal

To the extent that they are inconsistent with this ordinance,
all prior gaming ordinances are hereby repealed. :

SHOALWATER BAY INDIAN TRIBE .
Gaming Ordinance for Class II and Class III Gaming

Page 9

20721


Enclosures

EXHIBIT A. Certified copy of the Shoalwater Bay Indian Tribe Class II & III Gaming Code
EXHIBIT B. Tribal Resolution #03-28-97-15 authorizing Gaming Code

EXHIBIT C. Rules Governing Background Checks of Primary Management Officials and Key Employees, formally
adopted by the Tribal Council, pursuant to Tribal Resolution #1 1-26-97-60.

EXHIBIT D. Memorandum of Understanding Regarding the Dissemination of Criminal History Record
Information By The National Indian Gaming.

EXHIBIT E. Rules Governing the Issuance of Tribal Licenses to Primary Management Officials and Key
Employees formally adopted by the Tribal Council, pursuant to Tribal Resolution #1 1-26-97-60.

EXHIBIT F. Rules Implementing Procedures for Resolving Disputes Between the Gaming Public and The
Shoalwater Bay Indian Tribe formally adopted by the Tribal Council, pursuant to Tribal Resolution #1 1-26-97-60

EXHIBIT G. _ Designation of Agent formally adopted by the Tribal Council, pursuant to Tribal
Resolution #1 1-26-97-60

EXHIBIT H. Tribal Resolution #11-26-97-60



MAR-28-97 17:06 FROM: SHOALWATER BAY TRIBE 1D: 3602676778 PAGE

D.

— —

k. The name and address of any licensing or regulatory agency
with which the person has fled an application for 2
occupational license or permit, whether or not such a license
or permit was granted; ,

1 ~—s- A current photograph; :
m. Any other information the Tribe deems relevant; and

“Fake cording 25CER 9520)

2 The Tribe shall conduct an investigation sufficient to
make a determination under subsection D. below. In cae
condncting 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.

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

official for employment in a gaming operation. If the

Tribe determines that the employment of a 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. :

completed
em and conduct the background investigation and
the determination referred to in subsection D of this ©
section. .

SHOALWATER BAY INDIAN TRIBE
Gaming Ordinance for Class I and Class ll Gaming

Page 6

17721


MAR-28-97 17:07 FROM:SHOALWATER BAY TRIBE 1D: 3602676778

SHOALWATER BAY INDIAN

—!

PAGE
Currently and for the previous 5 years: business and

employment positions held, ownership interests in those
business and residence addresses, and drivers

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;

Current business and residence telephone numbers;

; A description of any

existing and previous business
with Indian tribes, including ownership _
interests in those businesses;

A description of any existing and previous business

relationships with the gaming industry generally, including
ownership interests in those businesses,

The name and address of any licensing or regulatory agency
swith which the person has Bled an application for « license.

or permit related to gaming, whether or not such license or
permit was granted;

For each felony for which there is an ongoing prosecution or
a conviction, the charge, the name and address of the court
involved, and the date and disposition, if any;

For each misdemeanor conviction or ongomg misdemeanor
prosecution (excluding minor traffic violations), within 10

of the date of the the name and address of
the court involved and the date and disposition;

For each criminal charge (excluding minor traffic ),
whether or not there is a conviction, if such criminal,

is within 10 years of the date of the application and is not
cfherwae ted pura 1 (2) h) oF (1) @ of
this section, the criminal charge, name and address of

INDIAN TRIBE
SHOALWATER BAY DDUAN TIE oy Gaming

‘Page 5

18721


To: FAX CALLER Fron: NIGC 11-24-97 6:08am =p. 13 of 27
JUL-26-1995 1636 FROM AIGC TO P.@12

MEMORANDUM OF UNDERSTANDING
REGARDING THE DISSEMINATION OF CRIMINAL HISTORY RECORD
INFORMATION BY THE NATIONAL INDIAN GAMING COMMISSION

In order to facilitate the undersigned tribe (Tribe) in determining the suitability of
individuals who have applied: for employment as key employees and primary management
officials in its gaming operations, the National Indian Gaming Commission (NIGC) will be
obtaining criminal history record information (CHRI) from the Federal Bureau of Investigation
(BD on these individuals and disseminating such information to the Tribe.

‘ : This memorandum sets forth the following conditions under which the NIGC will provide
CHRI to the Tribe:

*

1. The FBI has retained the right to approve the dissemination of CHRI and may at some
future date prohibit the NIGC from disseminating CHRI. It is understood by the Tribe that the
NIGC will not release any information without having received ali required prior approvals from
the FBI and will not release any information where prohibited from doing so by the FBI. It is
further understood that the FBI may impose restrictions on the release and use of the CHRI in
addition to those imposed by the NIGC and that the Tribe will be subject to all such additional

restrictions.

* 2. ‘The CHRI provided by the NIGC may be used by the Tribe solely for the purpose of
determining a particular applicant’s suitability for employment in the Tribe’s gaming

operation(s).

3. NIGC responses will only contain CHRI information on a particular applicant and will
not contain recommendations or conclusions of the NIGC, The NIGC reserves the right to
furnizh to the Tribe summary memoranda containing the results of the Information search of the
criminal history records maintained by the FBI.

4. CHRI provided to the Tribe shall be afforded proper security. The Tribe shall ensure
that access to all CHRI furnished by the NIGC, including all summary memoranda, is restricted
to personnel directly involved in licensing deliberations. The Tribe shall maintain records of
the identities of all persons receiving access to the CHRI and such records shall be furnished to

the NIGC upon request.


MAR-28-97 17:09

FROM: SHOALWATER BAY TRIBE ID: 3602676778 PAGE

ror - . . >
-' ~’

National Indian Gaming Commission or his ot her
for no less than three (3) years from the date of termination
of employment.

Granting a Gaming Li

If, within a thirty (30) day period after the National Indian
Gaming Commission receives a report, the National Indian
ing 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
management official for whom the tribe has provided an
application ahd investigative feport to the National Indian
Gaming Commission, the Tribe may issue a license to such
applicant.

The Tribe shall respond to a request for additional
information from the Chairman of the National Indian
Gaming Commission conceming 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

G. 1. of this section until the Chairman of the
National indian Gaming Commission receives the
additional information.

If, within the thirty (50) day period described above, the
National indian Gaming Commission provides the Tribe
with a statement itemizing objections to the issuance of a

application,
taking into account the objections itemized by the National
Indian Gaming Conunission. The Tribe shall make the final
decision whether to issue a license to such applicant.

‘License Suspension

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.

SHOALWATER BAY INDIAN TRIBE
Gaming Ordinance for Class TI and Class II Gaming

Page 8

19/721


SHOALWATER BAY INDIAN TRIBE
GAMING

RULES IMPLEMENTING PROCEDURES FOR RESOLVING DISPUTES BETWEEN
THE GAMING PUBLIC AND THE SHOALWATER BAY INDIAN TRIBE

The Shoalwater Bay Tribal Council hereby establishes and implements the following rules
implementing procedures for the resolution of disputes between the gaming public and tribal gaming,
operations, in accordance with the Shoalwater Bay Indian Tribe Class II and Class III Gaming Code.

1. Ref Shift Si .

When a patron brings a dispute to an employee, the employee shall refer the patron to the Shift
Supervisor. The Shift Supervisor shall make all reasonable efforts to resolve promptly, the dispute to
the satisfaction of the patron.

002. Provide P With Written Notice of Proced

Tf the patron is not satisfied with the decisions of the Shift Supervisor, the patron shall be provided with
a written “Customer Concem Form,” a copy of which is attached. Further, the Customer shall be
provided a card that is 2.5" x 3.5" which states:

Any customer may request a determination of a dispute involving the conduct
of a game or any other matter involving gaming on Indian lands of the
Shoalwater Bay Indian Tribe by submitting in writing, the details of your
dispute to the Casino Manager. If the determination is still not satisfactory after
review and action taken by the Casino Manager, a written statement of the
dispute may be forwarded to the Shoalwater Bay Tribal Council, or its
designated subcommittee at the following address:

P.O. Box 130
Tokeland, Washington 98590

Please mark your mailing “Gaming Dispute”
The decision of the Tribal Council will be final.
003 Action by Casino M:
The Customer Concern Form shall be submitted to the Casino Manager, who shall review it and take

whatever corrective action he/she deems appropriate, and if reasonably possible, the Casino
Manager shall notify the customer of the action taken, and record whether the customer is satisfied

Page 1
Shoalwater Bay - Gaming
Procedures for Gaming Disputes


INDIAN
P GAMING
2 COMMISSION

Frc

FEB 6 1999

Honorable Herbert Mark Whitish .
Chairman, Shoalwater Bay Indian Tribe
P.O. Box 130

Tokeland, Washington 98590

Dear Chairman Whitish:

This letter responds to your request to review and approve the Shoalwater Bay Indian Tribe
Gaming Code, adopted on March 28, 1997, by the Shoalwater Bay Indian Tribe (Tribe).
This letter constitutes such approval under the Indian Gaming Regulatory Act (IGRA).

Under the IGRA and the regulations of the National Indian Gaming Commission (NIGC),
the Chairman is directed to review ordinances with respect to the requirements of the IGRA
and the implementing regulations. Thus, the scope of the Chairman’s review and approval
is limited to the requirements of the IGRA and the NIGC regulations. Provisions other than
those required tribal ordinance are not subject to review and approval. Also such approval
does not constitute approval of specific games. It is important to not that the gaming
ordinance is approved for gaming only on Indian lands as defined in the IGRA.

With the Chairman’s approval of the Tribe’s gaming ordinance, the Tribe is now required to
conduct background investigations on its key employees and primary management officials.
The NIGC expects to receive a completed application for each key employee and primary
management official pursuant to 25 C.F.R. §556.5(a) and an investigative report on each
background investigation before issuing a license to a key employee or primary management
official pursuant to 25 C.F.R. §556.5(b).

Thank you for submitting the Gaming Code of the Shoalwater Bay Indian Tribe for review
and approval. The NIGC staff and I look forward to working with you and the Tribe in
implementing the IGRA.

Sincerely yours,

MA pho

Tadd M. Johnson
Chairman

1441 L STREET, N.W. STHFLOOR WASHINGTON, D.C. 20005 TEL: 202-632-7003 __ FAX: 202-632-7068



MAR-26-97 17:04 FROM: SHOALWATER BAY TRIBE 1D: 3602676778 PAGE
11721

—

—
SHOALWATER BAY INDIAN TRIBE

P.O. Box 130 © Tokeland, Washington 98590
Telephone (360) 267-6766 * FAX (360) 267-6778

SHOALWATER BAY INDIAN TRIBE
RESOLUTION #03-28-97-15

NIGC MODEL GAMING CODE

WHEREAS, The Shoalwater Bay Indian Tribe is a Federally Recognized Tribe headquartered on.
the Shoatwater Bay Indian Reservation in the State of Washington; and

WHEREAS, The Shoalwater Bay Tribal Council is the governing body of the Shoatwater Bay
Indian Tribe in accordance with their Constitution and By-Laws; and

WHEREAS, The Shoalwater Bay Tribal Council bas been charged with the responsibility of
promoting the social, health, and economic well-being of the Shoalwater Bay People; and

WHEREAS, The Shoalwater Bay Inctian Tribe, ,pursuant to its sovercign rights, has chosen to
pursuc gaming activities as a viable means to generate badly needed revenues to fund tribal

programs and projects and to provide meaningful employment opportunities for the membership;
WHEREAS, The National Indian Gaming Commission has provided a Model Gaming Ordinance
that it suggests Tribes adopt, and. .

WHEREAS, it is in the best interest of the Tribe to amend this Gaming Ordinance to conform

NOW THEREFORE BE IT RESOLVED, That the Shoalwater Bay Tribe hereby amends its
gaining ordinance to incinde the attached SHOALWATER BAY INDIAN TRIBE CLASS Il &
CLASS I GAMING CODE which is incorporated into this Resolution by this reference.

CERTIFICATION
This Resolution was passed at a Special Tribal Council Meeting held March 28, 1997 at the

Shoalwater Bay Tribal Center at which a quorum was prescat. 5 FOR _© AGAINST AND
2 ABSTAIN.

Shoalwater Bay Tribal Council Bay Tribal Council


Enclosures
EXHIBIT A. Certified copy of the Shoalwater Bay Indian Tribe Class II & III Gaming Code
EXHIBIT B. Tribal Resolution #03-28-97-15 authorizing Gaming
Code

EXHIBIT C. Rules Governing Background Checks of Primary Management Officials and Key Employees, formally
adopted by the Tribal Council, pursuant to Tribal Resolution #1 1-26-97-60.

EXHIBIT D. Memorandum of Understanding Regarding the Dissemination of Criminal History Record
Information By The National Indian Gaming.

EXHIBITE. —_ Rules Governing the Issuance of Tribal Licenses to Primary Management Officials and Key
Employees formally adopted by the Tribal Council, pursuant to Tribal Resolution #1 1-26-97-60.

EXHIBITF. _ Rules Implementing Procedures for Resolving Disputes Between the Gaming Public and The
Shoalwater Bay Indian Tribe formally adopted by the Tribal Council, pursuant to Tribal Resolution #11-26-97-60

EXHIBIT.G. Designation of Agent formally adopted by the Tribal Council, pursuant to Tribal
Resolution #11-26-97-60

EXHIBIT H. Tribal Resolution #1 1-26-97-60



_ :
FURTHER BE IT RESOLVED, that the Council hereby designates Chairman Herbert Mark
Whitish as the Designated Agent for Service of Process for commanications with the National

Cae nn Comrninscn, ae thorns that ho stashed “Designation” be executed and
forwarded to the National Indian Gaming Commission. And

FINALLY BE IT RESOLVED, that Chairman Whitish canse these materials to be forwarded to the
National indian Gaming Commission, together with the Gaming Code and a copy of its authorizing
Resolution, certified as authentic, all together with a coves letter noting that these materials comprise
a complete submission of those required for the NIGC to formally approve the Tribe's Gaming
Code.

CERTIFICATION

1
‘This Resolution was passed at a Tribal Council Mocting held November 26, 1997 at the Shoalwater
Bay Tribal Center at which a quorum was present _7- FOR __O AGAINST AND _O_ABSTAIN.

Shoalvater Bay Tribal Council Shoalyelter Bay Tribal Council

TOTAL P.@2


—

SHOALWATER BAY. INDIAN TRIBE

P.O. Box 130 © Tokeland, Washington 98590
Telephone (360) 267-6766 © FAX (360) 267-6778

SHOALWATER BAY INDIAN TRIBE
RESOLUTION A11-26-97-_(20

WHEREAS, the Shoalwater Bay Indian Tribe is a Federally Recognized Tribe headquartered on the
Shoalwater Bay Indian Reservation in the State of Washington; and

‘WHEREAS, the Shoalwater Bay Tribal Council is the governing body of the Shoalwater Bay
Indian Tribe in accordance with their Constitution and By-laws; and

WHEREAS, the Shoalwater Bay Tribal Council has been charged with the responsibility of
promoting the social, health, and economic well-being of the Shoalwater Bay people; and

‘WHEREAS, The Shoalwater Bay Indian Tribe has pursuant to Tribal Resolution #03-28-97-15 has
enacted and adopted the Shoalwater Bay Indian Tribe Class II and il Gaming Code; and

WHEREAS, the fulfillment of the obligations under that Ordinance and the regulations promulgated
by the National Indian Gaming Commission requires that this Council take cortain actions; snd
‘WHEREAS, the actions taken below are in the best interests of the Tribe and its members;

NOW THEREFORE BE IT RESOLVED, That the Shoalwater Bay Tribe does hereby enact, adopt
and implement the following, fall copies of which are attached and incorporated herein:

L Rules Goveming the Issuance of Tribal Licenses to Primary Management Officials and Key
Employees

T. Rules Goveming Background Checks of Primary Management Officials and Key
Employees

TH. ~—_ Rules implementing Procedures for Resolving disputes between the gaming public and The
Shoalwates Bay Indian Tribe

FURTHER BE IT RESOLVED, that the Council bereby agrees to the terms of, and authorizes and
directs Chairman Whitish to execute, the Memorandum of Understanding Regarding the
Dissemination of Criminal History Record Information By The National Indian Gaming , a copy of
which is attached and incorporated herein.


MAR-28-97 17:08 FROM:SHOALWATER BAY TRIBE 1D: 3602676778 PAGE 186/21

-_ ~~’

2 The Tribe shall forward the report referred to in subsection
F of this section to the National Indian. i
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.

3. pind ae he smite Hehehe fot head oes Aa, nt ol
or primary management official a person wha does not
a License after 90 days.

E. R National I di G ing C ry .

L Pursuant to the procedures set out in subsection E of this
” section, the Tribe shall prepare and forward to the National
Indian Gaming Comumnission an investigative report on each
background investigation. An investigative report shall
include all of the following:

a Steps taken in conducting a background investigation;
bs Results obtained;

« Conclusions reached; and

d& =‘ The bases 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
Comanission; and

b ~— May forward copies of its eligibility determination and
to the National Indian
investigative reports Git any) Nee
Gaming Individuals Records System.

4 Wid oe employees and primary management
exployment sod reports Gf any) of background

SHOALWATER BAY INDIAN TRIBE
Gaming Ordinance for Class II and Class I Gaming
Page7


— —

SHOALWATER BAY INDIAN TRIBE
GAMING

RULES GOVERNING THE ISSUANCE OF TRIBAL LICENSES TO PRIMARY
MANAGEMENT OFFICIALS & KEY EMPLOYEES

The Shoalwater Bay Tribal Council hereby establishes and implements the following rules and
regulations goveming the issuance of licenses to primary management officials and key employees in
accordance with the Shoalwater Bay Indian Tribe Class Il and Class If] Gaming Code.

001, Granting of a Li “Majority V:

To approve of any license issued pursuant to the Gaming Code, a quorum of the Council must be
present with a majority vote of approval by said quorum required. A license will not be issued to a
person whose license has previously been revoked pursuant to this Code, or to whom the issuance of
renewal of a license has been denied, except with majority approval of the Council members.

002 lication F

The Commission shall set a fee for applications, background investigations, and licenses, All such fees
shall be made payable to the Shoalwater Bay Indian Tribe and delivered to the Tribe’s accounting
office.

003 Back 1 Investigati

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, 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 the carrying on of the business
and financial arrangements incidental thereto. The background investigation shall be at least as stringent
as the regulations of the National Indian Gaming Commission published as 25 CFR § 556 in the
Federal Register, volume 58, no. 13, on Friday, January 22, 1993.

004. Failure of Applicant To Disclose Material Inf

An applicant for licensing shall make true and full disclosure of all information to the Council as
necessary or appropriate in the public interest or as required in order to carry out the policies of this
Tribe relating to licensing and control of the gaming industry. It is the duty of the applicant to disclose
all information material to whether his involvement with gaming would jeopardize or compromise the
Tribal interest, whether or not the applicant has been specifically requested to provide that information.
It shall be deemed a violation of tribal law, including the Gaming Code, to fail to disclose, to mislead
or to misstate any such material information to the Council, or to any licensee’s employer.

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Shoalwater Bay - Gaming
Rules for Background Checks


Enclosures

EXHIBIT A. Certified copy of the Shoalwater Bay Indian Tribe Class II & III Gaming Code
EXHIBIT B. Tribal Resolution #03-28-97-15 authorizing Gaming Code

EXHIBIT C. Rules Governing Background Checks of Primary Management Officials and Key Employees, formally
adopted by the Tribal Council, pursuant to Tribal Resolution #1 1-26-97-60.

EXHIBIT D. Memorandum of Understanding Regarding the Dissemination of Criminal History Record
Information By The National Indian Gaming.

EXHIBITE. _ Rules Governing the Issuance of Tribal Licenses to Primary Management Officials and Key
Employees formally adopted by the Tribal Council, pursuant to Tribal Resolution #1 1-26-97-60.

EXHIBIT F. Rules Implementing Procedures for Resolving Disputes Between the Gaming Public and The
Shoalwater Bay Indian Tribe formally adopted by the Tribal Council, pursuant to Tribal Resolution #1 1-26-97-60

EXHIBIT G. Designation of Agent formally adopted by the Tribal
Council, pursuant to Tribal
Resolution #11-26-97-60

EXHIBIT H. Tribal Resolution #11-26-97-60


MAR-28-97 17:06 FROM: SHOALWATER BAY TRIBE 1D: 3602676778

” _-

{c} If not otherwise included, the four most
highly compensated penons inthe gaming

2 =‘ Psimary management official means

{a) The person having management
responsibility for a management contract ;

(b) Any person who has authority :
- (1) To hire and fire employees ; or

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

(‘The chief fmancial officer or other
person who has financial management
responsibility.

B. Application Forms

PAGE

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
; Solicitation of the information

on this form & suthoxized by 25 USC. § 2701 et seq. ‘The
se of the requested information is to determine the

Riis een oa cea
regulatory investigations or prosecutions or wl pursuant

‘0 a requirement by a tribe or the National Indian Gaming

Comet comeion with ng o fing of an
employee, the issuance or revocation of a or
investigations of activities while with a tribe or a
gaming, operation. Failure to consent to 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.

SHOALWATER BAY INDIAN TRIBE
Gaming

Page 3

Ondinance for Class II and Class IE Gaming

14721


@) For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding
minor traffic violations), within ten years of the date of the application, the name and address of the
court involved and the date of disposition;

Gg) For each criminal charge (excluding minor traffic violations), whether or not there was
a conviction, if such criminal charge was within ten years of the date of the application and is not
otherwise listed pursuant to §§ .001(h) or .001(I), the criminal charge, the name and address of the
court involved and the date of 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;

(3) A current photograph;
{m) Any other information that the Tribal Council deems relevant; and

(n) _ Fingerprints to be taken by Pacific County Sheriff's Department, consistent with any
Memorandum of Understanding, which the Tribe shall execute with the NIGC.

002 Notice of Privacy Rigt

The Application shall set forth the full notice of privacy rights as required by the NIGC in 25 CFR
§556.2(a) as may be amended from time to time.

003 P ing of Applicati

The Council shall through hired staff or through contracting with law enforcement agencies or other
appropriate entities, or any appropriate combination thereof, cause the following to occur:

(a) Verify the applicant’s name, place of birth, date of birth and citizenship by requiring
the applicant to provide appropriate items such as a birth certificate, social security card and/or
passport,

(b) | Confirm the applicant’s business and employment positions held and ownership
interests in those businesses currently and for the past five years by attempting to contact through
written letter, telephone calls or personal visits to past employers listed on the application and
through ownership documentation such copies of partnership agreements, stock certificates, or IRS
tax returns;

c) Obtain the applicant’s driving record by using the applicant’s drivers license number
to contact appropriate state governmental departments;

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Shoalwater Bay - Gaming
Rules for Background Checks


(b) The Tribal Council shall reconsider any application that the NIGC reports to the Tribe
as recommended to be not suitable pursuant to tribal and/or federal law.

MMT

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MAR-26-97 17:05 FROM: SHOALWATER BAY TRIBE 1D: 3602676778

PAGE

ed

B. All gaming related contracts that result in the purchase of supplies,
services,, or concessions in excess of $25,000.° annually, except contracts for
professional legal ard accounting services, shall he specifically included within the
scope of the audit that is described in section A, above.

and operated in a manner that adequately protects the environment and the public
health and safety.

The Tribe shall ensure that the policies and procedures set out in this section
are implemented with respect to taming carpise Speraicl on Indian nde
emptoyed at any class II or class UI gaming enterprise

A. Definitions

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

1. Keyemployee means
A person who performs one or more of the
@ following functions :
(1) ~——- Bingo caller ;
@) Counting room supervisor ;

@) Chief of security ; .
() Custodian of gaming supplies or cash ;
©)

Floor mangers ;
(6)  Pitboss;
(7) ~=—- Dealer;
(8) Croupier ;

©) ‘If not otherwise included, any other person

SHOALWATER BAY INDIAN TRIBE,
PaRDIgE Ondioance for Clase T and Cass Hil Gesning

13721


or dissatisfied with the decision.
004 Submissi he Tribal C il or its Desi 1 Sut :

Tf the customer is dissatisfied with the decision of the Casino Manager, a written statement of the
dispute may be forwarded to the Tribal Council, or its designated subcommittee. The Council, or its
designated subcommittee shall review and if a majority of the Council, or its designated
subcommittee believes that the decision of the Casino Manager was not reasonable, the Council or
its designated subcommittee shall take corrective action as it deems appropriate, so long as such
action is otherwise in compliance with the Gaming Code. Unless the customer is entitled to or seeks
a hearing pursuant to rule 005, below, the decision of the Council is final.

005. Hearing Available if C lleges Deprivation of Winni

If the customer is not satisfied with the initial decision of the Council, or its designated subcommittee,
and the customer alleges that he/she has been deprived of winnings that belong to him or her, the
customer may seek a full hearing before the Tribal Council and present any facts or arguments he/she
wishes to offer to the Council. The Casino Manager shall cooperate in making any relevant tapes or
documents available to the Council. The Council may, in its discretion, determine that such tapes or
documents be reviewed in camera. The decision of the Tribal Council is final.

006. Records of “Customer Concer Forms”

All “Customer Concem Forms” shall be recorded and maintained by the gaming operation for period
not less than three years.

907. i i Wi

Nothing herein shall be interpreted to enable any gaming employee, or agent of the Tribe to take any
corrective action that contravenes tribal or federal law.

TEEN

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Shoalwater Bay - Gaming
Procedures for Gaming Disputes


MAR-28-97 17:05 FROM:SHOALWATER BAY TRIBE 1D: 3602676778 PAGE 12/721

— —

SHOALWATER BAY INDIAN TRIBE ,_
CLASS Il & HIGAMING CODE <0 |

2.
Ls Purpose

The Tribal Council empowered by the Tribe's Constitution or other
governing body to enact ordinances hereby enacts this ordinance im order to set the
ternts for class II and class I gaming operations on tribal lands.

IL Gaming Authorized

A. Clase I gaming as defined in the Indian Gaming Regulatory Act, P.L.

100-447, 25 U.S.C. Section. 2703 (7) (A) (“IGRA”) and by the regulations
Promulgated by the National Indian Gaming Commission at 25 CFR. § 5023 (as
Published in the Federal Register at 57 FR 12382-12393, April 9, 1992) is hereby

B. Class I gaming as defined in the IGRA, PL. 100-447, 25 U.S.C. Section
203 (8) and by the regulations promulgated by the National Indian Gaming
Commission at 25 CFR § 5023 (as published in the Federal Register at 57 FR 12382-
12393, April 9, 1992) is hereby authorized.

TL Ownership of Gaming

The Tribe shall have the sole interest in and responsibility for the
conduct of any gaming operation authori this ordinance.

TV. Useof Gaming Revenue

A. — Net revenues from class II and class Il gaming shall be used only for

the following purposes: to fund tribal operations and programs;

Provide for the general welfare of the and its members; promote tribal

economic development; donate to charitable organizations; or help fund operations
of local government agencies.

B. If the Tribe elects to make per capita payments to tribal members, it
shall authorize such payments only upon POR. | Pan Tbmitied to the
Secretary of the Interior unde 25 US.C. §2710

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

gaming operations and shall submit the resulting andit reporte to the National
Pilar’ Gaming Commission.


ad ..
~~

SHOALWATER BAY INDIAN TRIBE
GAMING

DESIGNATION OF AGENT FOR SERVICE OF PROCESS

The designated agent for the Shoalwater Bay Indian Tribe for service of process in matters relating to
the National Indian Gaming Commission, as required for in 25 CFR §522.2(g), and referenced in 25
CFR § 519.1, of the regulations promulgated by the National Indian Gaming Commission, is

Herbert Mark Whitish, Chairman
Shoalwater Bay Indian Tribe
2373 Old Tokeland Highway
P.O. Box 130
Tokeland, Washington 98590

Tf verbal or fax communication is required, Mr. Whitish can be reached by phone at 360 267 6766 or
by fax transmission at 360 267 6778. If the matter is an emergency and Mr. Whitish cannot be
reached, please contact Carol Johnson at these same numbers of contact the Tribe’s legal counsel of
gaming issues, Crowell Law Offices at 425 828 9070.


Enclosures

EXHIBIT A. Cestified copy of the Shoalwater Bay Indian Tribe Class II & I Gaming Code
EXHIBIT B. _Tribal Resolution 403-28-97-15 authorizing Gaming Code
EXHIBIT C. Rules Governing Background Checks of Primary

Management Officials and Key Employees, formally adopted by the
Tribal Council, pursuant to Tribal Resolution #11-26-97-60.

EXHIBITD. — Memorandum of Understanding Regarding the Dissemination of Criminal History Record
Information By The National Indian Gaming.

EXHIBITE. _ Rules Governing the Issuance of Tribal Licenses to Primary Management Officials and Key
Employees formally adopted by the Tribal Council, pursuant to Tribal Resolution #11-26-97-60.

EXHIBITF. Rules Implementing Procedures for Resolving Disputes Between the Gaming Public and The
Shoslwater Bay Indian Tribe formally adopted by the Tribal Council, pursuant to Tribal Resolution #11-26-97-60

EXHIBIT G. Designation of Agent formally adopted by the Tribal Council, pursuant to Tribal
Resolution #1 1-26-97-60

EXHIBIT H. Tribal Resolution #11-26-97-60



— ~—?

(d) _ Ascertain character information about the applicant by contacting the personal
references identified in the application,

(e) Inquire into existing or previous business relationships the applicant has had with
Indian tribes, including the scope of those relationships, by contacting those entities identified in the
application if such contact would not jeopardize the applicant’s current employment. Other state,
federal and tribal entities should also be contacted where appropriate;

(f) Inquire into existing or previous business relationships the applicant has had in the
gaming industry, including the scope of those relationships, by contacting those entities identified
in the application if such contact would not jeopardize the applicant’s current employment. Other
state, federal and tribal entities should also be contacted where appropriate;

{g) Verify the applicant’s history and status with any licensing agency identified by the
applicant;

(h) Obtain information regarding any past felonies, misdemeanors, or criminal charges in
the last ten years by contacting appropriate courts and law enforcement agencies in the applicant’s
area of residence; and

q@ Obtain any other information that the Tribal Council deems relevant to complete a
thorough background investigation.

004,_P ion of Investigative R

(a) The Tribal Council shall through hired staff or through contracting with qualified
individuals document the disposition of all potential problem areas noted and disqualifying
information obtained, as to each applicant.

(b) The Tribal Council shall through hired staff or through contracting with qualified
individuals shall cause an Investigative Report be prepared as to each applicant setting forth, at a
minimum: (I) steps taken in conducting the background investigation, (ii) results obtained, (iii)
conclusions reached; and (iv) the basis for those conclusions.

005, Reporting to the NIGC

(a) The Tribal Council shall through hired staff or through contracting with qualified
individuals report the results of each background investigation to the National Indian Gaming
Commission, in compliance with its regulations and procedures as they may be amended from time
to time.

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