that any applicant who is a primary management official, key
employee, management contractor, manufacturer or supplier of
gaming devices and/or a person providing gaming services, must
provide such information from the age of 18;

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 10(B5\(b) above;

Current business and residence telephone numbers;

A description of existing or previous business relationships with
Indian tribes, including ownership interests in those businesses,
and a description of any potential or actual conflict of interest
between the businesses and Indian tribes;

A description of any existing and previous business relationships
with the gaming industry, including, but not limited to, 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 cach 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 for which there is an ongoing prosecution
or conviction (excluding minor traffic violations) since age 18, the
charge, the date of the charge, the name and address of the court
involved, and the date and disposition, if any;

For each criminal charge (excluding minor traffic charges),
whether or not there is a conviction, if such criminal charge
occurred since age 18 and is not otherwise listed pursuant to
Section 9(B)(5)(h) or Section 9(B)(5)(i), the criminal charge, the
date of the charge, the name and address of the court involved, and
the disposition, if any;

The name and address of any licensing or regulatory agency with
which the person has filed an application for an occupational
license or permit, as an applicant, principal, primary management
official or key employee, and whether or not such license or permit
was granted;



B. Each Management Contract shall be approved by the Tribal Council and each
Management Contractor shall be licensed by the Mescalero Apache Tribal Gaming

Commission.

Before final licensure by the Mescalero Apache Tribal Gaming

Commission, the Gaming Commission shall obtain and consider, in addition to the
background information described in Section 9 above, the following information:

be

wa

Background information on the proposed Management Contractor,
including its name, its address, the names and addresses of each person or
entity having a direct financial interest. or management responsibility for
the proposed Management Contractor, and in the case of a corporation, the
names and addresses of each member of its board of directors and all
stockholders who hold directly or indirectly ten percent (10%) of its issues
or outstanding stock.

A description of any previous experience that each person listed in Section
10(B)(1) above has had with other gaming contracts, with Indian tribes, or
with the gaming industry generally, including the name and address of any
tribal government or licensing agency with which such person has had a
contract relating to gaming.

A complete financial statement of each person listed in Section 10(B)(1)
above.

The Mescalero Apache Tribal Gaming Commission shall contact each of
the tribal governments and licensing agencies in Subsection 10(B)2)

above to determine the performance history of the proposed Management
Contractor.

The Mescalero Apache Tribal Gaming Commission shall arrange to have
each proposed Management Contractor investigated to learn of his
personal attributes and to determine whether the contractor has a prior
criminal record or any pending criminal charges.

The Mescalero Apache Tribal Gaming Commission shall obtain an
independent verification of the completed financial statements of each
proposed Management Contractor.

The Mescalero Apache Tribal Gaming Commission shall undertake any
additional steps it can to determine the character and reputation of each
proposed Management Contractor.

& Any Management Contract approved by the Tribal Council shall contain at a
minimum the following:

ls

A provision requiring at least a monthly financial accounting of the
gaming enterprise’s income and expenses, with an annual financial
accounting to be prepared by an independent auditor who is acceptable to
the Tribe.



7%.

make a determination concerning whether the applicant
meets applicable eligibility requirements;

iii, Reviewing relevant financial records of the applicant for
the 3 years preceding the application; and

iv. Contacting any state, federal, or other government agency
that is referred to in the application.

v. Reviewing state, county and tribal court criminal records.

d. The Mescalero Apache Tribal Gaming Commission shall
document any information it obtains that calls into question
whether the applicant would meet the eligibility requirements
under this Ordinance. The Mescalero Apache Tribal Gaming
Commission shall then document in detail the disposition of these
problem areas, indicating the follow-up investigations performed
on the problem areas and the result of such investigations,

& The Mescalero Apache Tribal Gaming commission will review the
results of the investigation. This review will include a
determination as to the scope of the investigation and whether
sufficient information was obtained and verified. If such
information is found not sufficient, the Mescalero Apache Tribal
Gaming Commission will perform additional investigations.

In conducting a background investigation, the Mescalero Apache Tribal
Gaming Commission and its agents shall keep confidential the identity of
each person interviewed in the course of the investigation.

The Mescalero Apache Tribal Gaming Commission shall retain the right
to conduct additional background investigations of any person required to
be licensed at any time while the license is valid.

With respect to principals, key employees and primary management
officials, the Mescalero Apache Tribal Gaming Commission shall retain
applications for employment and reports (if any) of background
investigations for no less than 6 years from the date of termination of
employment.

Once the investigation is complete, the Mescalero Apache Tribal Gaming
Commission will decide whether the applicant meets the eligibility criteria
under this ordinance.

All background investigations and reports shall remain confidential.

Procedures for Forwarding Applications and Reports.



A current photograph;

Fingerprints shall be taken by the Commission or any other
qualified Law Enforcement Agency. Pursuant to a Memorandum
of Understanding between the Tribe and the NIGC, a designated
agency shall forward the fingerprint cards directly to the NIGC.

The fee required by the Mescalero Apache Tribal Gaming
Commission; and

Any other information that the Mescalero Apache Tribal Gaming
Commission deems relevant.

cC. Background Investigations to Determine Eligibility to Work in Gaming

Enterprises.
Fs

Upon receipt of a completed application and required fee for licensing, the
Mescalero Apache Tribal Gaming Commission shall conduct or cause to
be conducted a background investigation to ensure that the applicant. is
qualified for licensing.

Background checks of applicants will be performed pursuant to the
following procedures:

a.

The Mescalere Apache Tribal Gaming Commission will provide

applications to applicants upon request, and shall collect and
maintain the applications;

Pursuant to a Memorandum of Understanding between the Tribe
and the NIGC, the Mesealero Apache Tribal Gaming Commission
Employee Licensing Agent(s) will collect fingerprints from all
applicants and forward the fingerprint cards directly to the NIGC.
The NIGC will obtain a criminal history record from the Federal
Bureau of Investigation on each applicant and forward such
information to the Mescalero Apache Tribal Gaming Commission.

The Mescalero Apache Tribal Gaming Commission shall
investigate the information provided in the applications. This
investigation will include:

i, Contacting persons or entities identified in the application,
and verifying by written or oral communication that the
information contained in the application is accurate;

ii. Interviewing a sufficient number of knowledgeable people,
such as former employers, partners, business associates,
and others referred to in the application, to provide a basis
for the Mescalero Apache Tribal Gaming Commission to



A

decision or process relating to gaming or the government of the
Tribe.

Bs The Mescalero Apache Tribal Gaming Commission shall respond to any
request for additional information from the NIGC or the State Gaming
Representative concerning a principal, key employee or primary
management official who is the subject of an Investigative Report. Such a
request shall suspend the 30 day period under Section 9(E)(4) until the
NIGC or the State Gaming Representative receives the additional
information. However, in no event shall a request for additional
information by the State Gaming Representative extend the 30 day period
under Section 9(E){4) of this Ordinance for a total period of more than 60
days trom the date the State Gaming Representative received the
Investigative Report.

8. if, within the 30 day period described above, the NIGC or the State
Gaming Representative provides the Mescalero Apache Gaming
Commission with a statement itemizing objections to the issuance of a
license to a principal, key employee or primary management official for
whom the Mescalero Apache Tribal Gaming Commission has provided an
application and Investigative Report, the Mescalero Apache Tribal
Gaming Commission shall reconsider the application, taking into account
the objections itemized by the NIGC and/or the State Gaming
Representative, and make a final decision whether to issue a license to
such applicant.

Fees for Licensing. The fees for gaming licenses and background investigations
shall be set by the Mescalero Apache Tribal Gaming Commission from time to
time and made available at any time upon request.

Duration and Renewal of Licenses. All employee gaming licenses issued by the
Mescalero Apache Tribal Gaming Commission shall be valid for 3 years from the
date of issuance. Any employee applying for renewal of a license that has
submitted the required application and any other information required by the
Mescalero Apache Tribal Gaming Commission at least 60 days before the
expiration of the license may continue to be employed under the expired license
until the Mescalero Apache Tribal Gaming Commission or NIGC, if required by
the IGRA, takes final action on the renewal application. Any person renewing a
gaming license shall provide updated material and information as requested on the
renewal application form, but shall not be required to resubmit historical data
already provided to the Mescalero Apache Tribal Gaming Commission.

SECTION 10. Management Contract

Each Management Contract is subject to the prior approval of the National Indian

Gaming Commission.



December 17, 2009

Carleton Naiche-Palmer, President
Mescalero Apache Tribe

P.O. Box 227

Mescalero, NM 88340

FAX: (505) 464-9191

Re: Amended Tribal Gaming Ordinance, approval
Dear President Naiche-Palmer:

On September 23, 2009, and on behalf of the Mescalero Apache Tribe (Tribe),
you requested that I review and approve amendments to the Tribe’s gaming ordinance
adopted by Tribal Council Resolution Ordinance 09-13. This amendment authorizes the
use and licensure of a management contractor at any of the Tribe’s gaming operations.

This letter constitutes approval of the amendment. Nothing therein conflicts with
IGRA’s requirements and the NIGC’s regulations.

Thank you for submitting the amended Tribal Gaming Ordinance for review and
approval. If you have any questions, please contact Staff Attorney Heather MeMillan
Nakai at (202) 632-7003.

Sincerely,
George T. Skibine
Acting Chairman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.Gov

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK


CERTIFICATION

The foregoing enactment of the Mescalero Apache Tribal Council is duly
adopted and approved on the 9th day of December 2009, at legally called
session of the Mescalero Apache Tribal Council, by a yote of 8 for and _0
against, with 4 abstaining at which quorum was present and at which a
majority of the members voted in favor thereof, This enactment is approved
by the President of the Mescalero Apache Tribe under authority of Article XII,
Section 1, of the Revised Constitution.

ZZ ‘i ie Z Me 2.
Carleton Naiche-Palmer, President

sey Fr tincden
Gregory Mendez, Secretary



A provision setting forth an absolute cap on payment of management fees
such that management fees shall not exceed thirty percent (30%) of net
revenues,

8% A defined term limit for the contract that does not exceed federal law.

4. A provision guaranteeing the Tribe a minimum guaranteed payment which
shall always take precedence over the management contractor’s payment.

3 A defined ceiling for repayment of development and contractor’s costs,
D. A Management Contract shall be of no force or effect until affirmatively approved

by the National Indian Gaming Commission and until the Management Contractor is
licensed by the Mescalero. Apache Gaming Commission.



When a key employee or primary management official begins work at a
gaming enterprise authorized by the Tribal-State Compact and this
Ordinance, the Mescalero Apache Tribal Gaming Commission shall
forward to the NIGC a completed suitability of employment report.

The Mescalero Apache Tribal Gaming Commission shall forward the
report referred to in Section 9(D)(4) to the NIGC and the State Gaming
Representative within 60 days after an employee begins work.

A key employee or primary management official who does not have a
license shall not be employed after 90 days.

The Mescalero Apache Tribal Gaming Commission shall prepare and
forward to the NIGC and the State Gaming Representative a report on
each background investigation (“Investigative Report”). An Investigative
Report shall include all of the following:

a. Steps taken in conducting the background investigation;
b. Results obtained;
c. Conclusions reached; and

d. The basis for those conclusions.

The Mescalero Apache Tribal Gaming Commission shall submit with the
report a copy of the eligibility determination made under Section 9(C)(6).

The Mescalero Apache Tribal Gaming Commission may issue a license to
any person or entity who:

a Has ‘provided a complete and accurate application and complied
fully with any and all requests by the Mescalero Apache Tribal
Gaming Commission for information concerning the background
and activities of the applicant;

b. If a natural person, has attained the age of 21 years;

& Is not a person whose prior activities, criminal record, if any,
habits, or associations pose a threat to the public interest or to the
effective regulation and control of gaming, or create or enhance the
danger 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; and

d. Has not attempted to interfere or to influence, and has not
interfered or influenced, unduly for its gain or advantage, any



tribe or the NIGC, the information is relevant to 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 the Tribe’s
being unable to hire you as a primary management official or in a key
employee position.

The disclosure of your Social Security Number (“SSN”) is voluntary.
However, failure to supply a SSN may result in errors in processing your
application.

A notice stating that any existing persons or entities shall be notified in
writing that they shall either:

a. Complete a new application that contains a new Privacy Act
Notice.
b. Sign a statement that contains the Privacy Act Notice and consent

to the routine uses of information described in that Notice.

The following notice (“False Statement Notice”) shall be placed on the
application form before that form is filled out by any applicant:

A false statement on any part of the application by any party required to be
licensed by Section 9(A) above may be grounds for not hiring you,
denying you a license or for firing you after you begin work, or revoking
any license previously issued. Also, you may be punished by fine or
imprisonment. See 18 U.S. Code §1001.

The Mescalero Apache Tribal Gaming Commission shall notify in writing
any persons or entities required to be licensed that they shall either:

a Compiete a new application form that contains a False Statement
Notice; or
b. Sign a statement that contains the Notice.

The Mescalero Apache Tribal Gaming Commission shall request from
cach person or entity required by Section 9(A) above to be licensed 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 10 years: business and employment
positions held, ownership interests in those businesses, business
and residence addresses, and driver’s license numbers: provided,



a Gaming Enterprise. The Gaming Enterprise shall be licensed by the
Mescalero Apache Tribal Gaming Commission.

2 Gaming Facility. Each Gaming Facility shall be licensed by the
Mescalero Apache Tribal Gaming Commission.

cp Gaming Employees. All Gaming Employees shall be licensed by the
Mescalero Apache Tribal Gaming commission and subject to background
investigations.

4. Management Contractors. All Management Contractors, including their
principals, primary management officials, key employees and shareholders
having in excess of 10% ownership or interest, shall be licensed by the
Mescalero Apache Tribal Gaming Commission and subject to background
investigations.

5. Sales of Gaming Devices, Equipment or Services. Any person or entity
proposing to sell or lease any Gaming Device, Gaming Equipment, or
provide Gaming Services to a Gaming Enterprise shall be licensed by the
Mescalero Apache Tribal Gaming Commission and subject to a
background investigation before being permitted to sell or lease any
Gaming Device or Gaming Equipment or provide any Gaming Services to
any Gaming Enterprise, Gaming Facility, or Management Contractor.

B. License Application. Each applicant for a license shall file with the Mescalero
Apache Tribal Gaming Commission a written application in the form prescribed by the
Mescalero Apache Tribal Gaming commission, duly executed and verified, along with
the applicant’s fingerprint card, current photograph and any fees required by the
Mescalero Apache Tribal Gaming Commission. At a minimum, the application form
shall contain all of the following information and requests for information:

1. The following notice (“Privacy Act Notice”) shall be provided to the
applicant with the application form, with instructions to the applicant to
read and sign the Privacy Act Notice before the application is executed
and returned:

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 members and staff of the
Mescalero Apache Tribal Gaming Commission, and of the National Indian
Gaming Commission (“NIGC”) who have need for the information in
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



MESCALERO APACHE TRIBE
MESCALERO, NEW MEXICO

ORDINANCE 09-13

WHEREAS, the Mescalero Apache Tribe, an Indian tribe organized under the Indian
Reorganization Act of June 18, 1934 (25 U.S.C. §476), and under its Revised
Constitution has full power and authority to act for the Tribe; and

WHEREAS, pursuant to Article XI, Section 1(i) of the Revised Constitution of the
Mescalero Apache Tribe, the Mescalero Apache Tribal Council has the power to
represent the Tribe and act in all matters that concern the welfare of the Tribe; and

WHEREAS, pursuant to Article XI, Section 1(d) of the Revised Constitution of the
Mescalero Apache Tribe, the Mescalero Apache Tribal Council has the power to adopt
and approve plans of operation to govern the conduct of any business or industry that will
further the economic well-being of the members of the Tribe; and

WHEREAS, pursuant to Article XIII, Section 2 of the Revised Constitution of the
Mesealero Apache Tribe, the Mescalero Apache Tribal Council shall, by ordinance,

establish the principles and policies governing the operation and control of all enterprises
of the Tribe; and

WHEREAS, the Mescalero Apache Tribal Council previously adopted Ordinance 03-08

which governs the conduct of gaming activities on the Mescalero Apache Reservation;
and

WHEREAS, the Mescalero Apache Tribal Council wishes to amend Ordinance 03-08 to
more extensively deal with licensing and to provide for and govern any and all
management contracts that the Tribe wishes to enter into with management contractors
for gaming operations; and

WHEREAS, the Mescalero Apache Tribal Council previously amended Section 10 of
Ordinance 03-08 with Ordinance 09-08; and

WHEREAS, specifically, the Tribal Council wishes to replace Sections 9 and 10 of
Ordinance 03-08, as amended by Ordinance 09-09, with the provisions contained herein.

NOW, THEREFORE, BE IT ORDAINED that Sections 9 and 10 of Ordinance 03-08
as amended by Ordinance 09-09, as each currently exists, be and hereby are repealed and
replaced with the following provisions:

SECTION 9. Licenses for Operating and Conducting Games of Chance

A. Licenses Required.