2. Primary Management Official.

(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.

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
a tribe’s being unable to hire you in a primary
management official or key employee position.

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

2. Existing key employees and primary management

officials shall be notified in writing that they shall either:


4. After a revocation hearing, the Tribe shall decide
to revoke or to reinstate a gaming license. The Tribe shall
notify the Commission of its decision.

VIII.Customer Dispute Resolution Procedure

The general manager of the tribal gaming operation shall
attempt to resolve on an informal basis any customer complaints
relating to payment of prizes or services and report any such
resolution to the governing body of the enterprise. If the
complaint cannot be resolved at the general manager level, the
customer shall be informed that he/she has the right to present his
or her complaint to the governing body of the gaming enterprise,
whose decision shall be final.

IX. IGRA Compliance

The Tribe shall ensure enforcement of rules and regulations
for all games played to ensure that they conform to the Indian
Gaming Regulatory Act and that the games are honest and fair.

xX. License Locations
The Tribe shall issue a separate license to each place,

facility or location on tribal lands where Class II gaming is
conducted under this ordinance.

XI. Repeal

All prior gaming ordinances are hereby repealed.

CERTIFICATION

The foregoing resolution was adopted by a vote of 4 for,
and _ against and _Q abstentions, at a duly called meeting of

the TRB aAL Cones t , at which a quorum was
present, on this _[% day of Buvtou + 1 1993

- title: faunal
Chairman Secretary

J: \TABLEMTN\CLASSII .ORD


£. 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 10 years of the date
of the application and is not otherwise listed
pursuant to paragraphs (i) (h) and (i) (i) of this
section, the criminal charge, the name and address
of the court involved and the 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 photograph;

m. Any other information a tribe deems relevant; and
n. Fingerprints consistent with procedures adopted by
a tribe according to 25 C.F.R. § 522.2(h).
2. The Tribe shall conduct an investigation sufficient
to make a determination under subsection (c) below. In

conducting a background investigation, the Tribe shall promise
to keep confidential the identity of each person interviewed
in the course of the investigation.

D. Eligibility Determination

1. The Tribal Council of 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 a primary

-5-


3.

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 uses described in
that notice.

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:

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. Complete a new application form that contains a

notice regarding false statements; or

b. Sign a statement that contains the notice regarding

false statements.

Cc. Background Investigations

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) ;

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 personal
reference who was acquainted with the applicant
during each period of residence listed under
paragraph (i) (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;

-4-


2. If a license is not issued to an applicant:
a. The Tribe shall notify the Commission; and

b. Forward copies of its eligibility determination and
investigative report (if any) to the Commission for
inclusion in the Indian Gaming Individuals Records
System.

3. The Tribe shall retain applications for employment
and reports (if any) of background investigations for
inspection by the Chairman of the Commission or his or her
designee for no less than three (3) years from the date of
termination of employment.

G. Granting a Gaming License

1. If, within a thirty (30) day period after the
Commission receives a report, the 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 Commission, the
Tribe may go forward and issue a license to such applicant.

2. If, within the thirty (30) day period described
above, the 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 Commission, the Tribe shall reconsider the application,
taking into account the objections itemized by the 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
Commission receives reliable information indicating that a key
employee or a primary management official is not eligible for
employment under subsection C above, the Commission shall
notify the Tribe that issued a gaming license.

2. Upon receipt of such notification under paragraph
(1) above, the Tribe shall suspend such license and shall
notify in writing the licensee of the suspension and the
proposed revocation.

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


NATIONAL
INDIAN
GAMING
COMMISSION

JAN - 3 1994

Howard Dickstein -
Dickstein & Merin

2001 P Street

Suite 100

Sacramento, California 95814

Dear Mr. Dickstein:

This letter responds to your request to review and approve the
tribal gaming ordinance submitted on November 8, 1993, for the
Table Mountain Rancheria of California (the 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 ana 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 while we have approved the Tribe's
gaming ordinance, the Tribe must still modify the description of
procedures for conducting background investigations on key
employees and primary management as discussed with the NIGC
staff. Specifically, the description of procedures designates
the Joint Management Committee of the Table Mountain Bingo and
Casino to conduct background investigations and make suitability
determinations on key employees and primary management officials.
Because conducting background investigations and making
suitability determinations is a governmental responsibility, it
is inappropriate for the Joint Management Committee of the Table
Mountain Bingo and Casino to perform these duties. Also, 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).

1850 M STREET.N.W.. SUITE 250 WASHINGTON. DC. 20036 __ TEL 202-632-7003 _ FAX: 202-632-7066



management official for employment in a gaming operation. If
the Tribal Council 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.

2. The Tribe’s gaming operation shall not employ in a
key employee or primary management official position a person
who has supplied materially false or misleading information
with respect to the required information for that person’s
background investigation under subsection B above.

E. Procedures for Forwarding Applications and Reports for
Key Employees and Primary Management Officials to the Commission

1. When a key employee or primary management official
begins work, the Tribe shall forward to the Commission a
completed application for employment and conduct’ the
background investigation and determination referred to in
subsections A, B, C and D of this section.

2. Upon completion, the Tribe shall forward the report
referred to in subsection F of this section to the Commission
within 60 days after an employee begins work or within 60 days
of the Chairman’s approval of this ordinance.

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

E. Report to Commission

1. Pursuant to the procedures set out in subsection E
of this section, the Tribe shall prepare and forward to the
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 bases for those conclusions.

e. The Tribe shall include in its report a copy of the
eligibility determination made under section D of this
section.

-6-


VI. Environmental Protection
The construction, maintenance and operation of Class II gaming
facilities and Class II games shall be conducted in a manner which

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 tribal lands:

A. Definitions

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

1. Key employee.

(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

(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-


ORDINANCE NO. § 1693

TRIBAL CLASS II GAMING ORDINANCE

I. Purpose

The Tribal Council of the Table Mountain Rancheria of
California (hereinafter "Tribe"), empowered by the Tribe's
Constitution to enact ordinances, hereby enacts this ordinance in
order to set the terms for Class II gaming activities on tribal
lands.

II. Gaming Authorized

All forms of Class II gaming as defined in the Indian Gaming
Regulatory Act, P.L. 100-447, 25 U.S.C. Section 2703(7) (A) ("IGRA")
are hereby authorized, including but not limited to bingo,
pulltabs, and non-banking card games.

III. Ownership of Gaming

The Tribe shall maintain the sole propriety interest in and
responsibility for the conduct of all Class II gaming activities
authorized by this ordinance.

IV. Use of Gaming Revenue

A. Net revenues from the Tribe’s share of Class II gaming
activities authorized herein shall be used only for the following
purposes: to fund tribal government operations and programs;
provide for general welfare of the Tribe 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, it shall
authorize such payments only upon approval of a plan submitted to
the Secretary of Interior under § 2710(b) (3) of IGRA.

Vv. Audit

An annual independent audit of all gaming activities,
including all contracts for supplies, services or concessions in
excess of $25,000.00 annually, except contracts for professional
legal and accounting services, shall be conducted and provided to
the National Indian Gaming Commission (hereinafter "Commission")
annually.


Thank you for submitting the ordinance of the Table Mountain
Rancheria of California for review and approval. The NIGC staff

and I look forward to working with you and the Tribe in
implementing the IGRA.

Sincerely yours,

Anthony J. Hops,

Anthony J. Hope
Chairman

cc: Vern Castro, Chairman