c.

GRGO0697[7/22/93]

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.

b.

3. The

Complete a new application form that contains
a Privacy Act notice: or

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

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 firing
you after you begin work. Also, you may be
punished by 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.

b.

Complete a new application form that contains
a notice regarding false statements; or

Sign a statement that contains the notice
regarding false statements.

Background Investigations

1. The

Tribe shall request from each primary

management official and form 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) ;

Currently and for the previous 5 years:
business and employment positions held,
ownership interests in those businesses,
business and residence addresses, and drivers
license numbers;

The names and current addresses of at least
three personal references, including one

4


kek KKK

(@RG0069717/22/93] 9


D.

E.

GRG00697{7/22/93]

n. Fingerprints consistent with procedures
adopted by the Tribe according to 25 C.F.R.
§522.2(h).

The 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.

Eligibility Determination

The Tribe shall review a persons 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.

Procedures for Forwarding Applications and Reports for

Key Employees and Primary Management Officials to the
Nati 1 Indi cami ; test

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.

The Tribe shall forward the report referred to in
subsection F of this section 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.

The gaming operation shall not employ as a key
employee or primary management official a person
who does not have a license after 90 days.

Report to the National Indian Gaming 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:

6


GRG0069717/22/83)

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 relationships 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 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;

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 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;

For each criminal charge (excluding minor
traffic charges), whether or not there is a
conviction, if such criminal charge is within
10 years of the date of the application and is
not otherwise listed pursuant to paragraph
(1) (h) or (1) (i) of this section, the criminal
charge, the name and address of the court
involved and the date and disposition;

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;

A current photograph;

Any other information the Tribe deems
relevant; and

5


VIII.

facility,

GRG00697[7/22/93]

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 decision whether to
issue a license to such applicant.

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.

The Tribe shall notify the licensee of a time and
an place for a hearing on the proposed revocation
of a license.

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 shall issue a separate license to each place,
or location on Indian lands where class II gaming is
conducted under this ordinance.

IX. Repeal/Amendment

This ordinance may be amended or repealed only by a majority
vote of the Tribe's full General Council.


Commission & loge

June Mike, Tribal Chairperson
Twenty-Nine Palms Band of Mission Indians
555 South Sunrise .

Suite 200

Palm Springs, California 92264

Dear Chairperson Mike:

This letter responds to your request to review and approve the
tribal gaming ordinance submitted on November 19, 1993, for the
Twenty-Nine Palms Band of Mission Indians (the Band). 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 under the IGRA
or the NIGC regulations that may be included in a tribal
ordinance are not subject to review and approval. Also, such
approval does not constitute approval of specific games.

It is important to note that the gaming ordinance is approved for
gaming only on Indian lands as defined in the IGRA.

With the Chairman's approval of the Band's gaming ordinance, the
Band 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 ordinance of the Twenty-Nine Palms
Band of Mission Indians for review and approval. The NIGC staff
and I look forward to working with you and the Band in
implementing the IGRA.

Sincerely yours,

Anthony J. Hone
Anthony J. Hope
Chairman

cc: Gene R. Gambale, Esq.

1850 M STREET.N.W. SUITE 250 WASHINGTON. D.C._20036 TEL: 202-632-7003 _ FAX: 202-632-7066



BACKGROUND INVESTIGATIONS

OF

KEY EMPLOYEES AND PRIMARY MANAGEMENT OFFICIALS

"DESCRIPTION OF PROCEDURES"

I. Section 522.2(b) requires

A description of procedures to conduct or cause to be
conducted background investigations on key employees and
primary management officials ...

II. Such description of procedures should include, as a minimun,
the following:

A.

GAG0068717/22/83}

A clear statement that the tribe is responsible for the
conduct of the background investigations and suitability
determinations.

An organization chart or statement showing the positions
or people responsible for --

1. conducting and causing to be conducted the
background investigations;

2. reviewing and approving the investigative work
done;

3. reporting the results of the background
investigation to the National Indian Gaming
Commission;

4. obtaining and processing fingerprints; and
5. making the suitability determinations.

An explanation of how the positions and people identified
above were selected.

A listing of the minimum investigative procedures to be
performed, including the following:

1. Verify by written or oral communication information
submitted by applicant.

2. Inquire into the applicant's prior activities,
criminal record, if any, and reputation, habits and
associations; interview a sufficient number of
knowledgeable people such as former employers,
personal references, and others to whom referred in
order to provide a basis for the tribe to make a

11


ADDITIONAL SUBMISSION REQUIREMENTS

In addition to an ordinance, under 25 C.F.R. §522 or 5523, a
tribe must submit the following:

GRG0069717/22/93]

1.

2.

Description of procedures for conducting background
investigations;

Description of procedures to issue tribal licenses
to primary management officials and key employees;

Description of procedures for resolving disputes
between the gaming public and the Tribe or the
management contractor (if any);

Designation of an agent for service;
Identification of a law enforcement agency that
will take finger prints and describe procedures for
conducting a criminal history check by a law
enforcement agency; and

Copies of all tribal gaming regulations.

10


G.

6RG0069717/22/93}

a. Steps taken in conducting a background
investigation;

b. Results obtained;
c. Conclusions reached; and
d. The bases for those conclusions.

The Tribe shall submit, with the report, a copy of
the eligibility determination made under subsection
D of this section.

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.

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 that three (3)
years from the date of termination of employment.

Granting a Gaming License

1.

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.

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


6RG0069717/22/93]

(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 management official means

a. The person having management responsibility
for an 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.

Application 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 with a tribe or a gaming
operation. Failure to consent to the disclosures
indicated in this notice will result in tribe's being
unable to hire you in a primary management official or
key employee position.

3


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

If the Tribe elects to make per capita payments to tribal
members, it shall authorize such payments only upon
approval of a plan submitted to the Secretary of the
Interior under 25 U.S.C. 2710 (b) (3).

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.

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 II 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 Key Employees and Primary Management 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 II gaming
enterprise operated on Indian lands:

A.

GRGO0SS7[7/22/93]

Definitions

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

1. Key employee means

a. A person who performs one or more of the
following functions:
(1) Bingo caller;
(2) Counting room supervisor
(3) Chief of security;
(4) Custodian of gaming supplies or cash;
(5) Floor manager;
(6) Pit boss;
(7) Dealer;
(8) Croupier;
(9) Approver of credit; or


TWENTY-NINE PALMS BAND OF MISSION INDIANS
CLASS II GAMING ORDINANCE

Class II Gaming Activity Ordinance, duly enacted by the
Twenty-Nine Palms Band of Mission Indians on June 25, 1991, is
hereby amended and restated in its entirety to read as follows:

I. Purpose

The General Council of the Twenty-Nine Palms Band of Mission
Indians (hereinafter "Tribe"), empowered by the Tribe's Articles of
Association to enact ordinances, hereby enacts this ordinance in
order to set the terms for class II gaming operations on tribal
lands.

II. Gaming Authorized

Class II gaming as defined in the Indian Gaming Regulatory
Act. B.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 C.F.R. 502.3 (as published in the Federal
Register at 57 FR 12382-12393, April 9, 1992) is hereby authorized.

III. Ownership of Gaming

A. The Tribe shall have the sole propriety interest in and
responsibility for the conduct of any gaming operation
authorized by this ordinance.

B. The General Council is authorized and empowered to obtain
suitable facilities, including parking facilities, within
the exterior boundaries of the Twenty-Nine Palms Indian
Reservation, to operate and maintain the Twenty-Nine
Palms Tribal class II gaming operations and for this
purpose to enter into binding leasehold agreements or
other appropriate arrangements for buildings and property
located within the boundaries of the Reservation,
provided that the respect to any land lease, the
ratification of the general membership shall be required.

c. In order to obtain persons with the necessary business
and management knowledge and experience to operate the
class II gaming operations, the General Council is
authorized to enter into a management agreement for the
maintenance, operation and management of the class II
gaming operations on such terms and under such conditions
as the General Council shall determine to be fair and
reasonable and in the best interests of the Tribe.

IV. Use of Gaming Revenue

A. Net revenues from class II 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


GAG0069717/22/S3)

finding concerning the eligibility for employment
in a gaming operation.

3. Document the disposition of all potential problem
areas noted and disqualifying information obtained.

An investigative report setting forth the following:

1. Steps taken in conducting the background
investigation;

2. Results obtained;

3. Conclusions reached; and
4. The bases for those conclusions.
12