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c~ i~iZ~nd~1~ Jn~&in~

P.O. Box 365 Valley Center, CA 92082

Tel: (k~749-3200 Fax: (619) 749-3876

RESOLUTION NO. SF~ 1I~2..t~C~9~

Resolution Approving Tribal Gaining Ordinance

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

NOW, THE

the San Pasqual Band of Mission Indians (the

Tribe) is a Federally Recognized Tribe possessing

full sovereign powers over the affairs of the

Tribe including the authority to enact

ordinances, and

the Tribe is now considering the possibility o~

gaming as part of its economic development plan

for the Reservation, and

the Indian Gaming Regulatory Act, 25 U.S.C. §

2701 et seq., requires that the Tribe have a

tribal gaming ordinance in effect before it can

conduct gaming activities on the Reservation; and

the Tribe, in the exercise of its sovereign

governmental authority, has chosen to enact an

ordinance for that purpose; and

the proposed Indian Gaming Regulatory Act

Compliance Ordinance was presented to the

General Council of the Tribe at a Special General

Council meeting held on November 21, 1998.

REFORE BE IT RESOLVED that the San Pasqual General

Council hereby approves the Indian Gaming

Regulatory Act Compliance Ordinance, and

BE IT FURTHER RESOLVED that the San Pasqual Tribal

Spokesman and Tribal Attorney shall submit the

Ordinance to the Chairman of the National Indian

Gaming Commission for approval.
CERTIFICATION

We the undersigned, the duly elected officers of the San

Pasqual Band of Mission Indians do hereby certify that the

foregoing resolution was duly adopted by the General

Membership on the 21st day of November, 1998, at a Special

General Council meeting by a vote of ~g for, _____

opposed, and p abstaining, and that said Resolution

has not been rescinded or amended in any way.

PHX:392446. 1

Cheryl ~alac

Vice-Spokesman

Rudolph Contreras

Delegate

Tilda Green

Recording Se

e

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f

SAN PASQUAL BAND OF MISSION INDIANS

TRIBAL ORDINANCE

INDIAN GAMING REGULATORY ACT COMPLIANCE

I. Purpose

The San Pasqual Band of Mission Indians (hereinafter

Tribe), empowered by the Tribes Constitution to enact

ordinances, and in the exercise of its governmental authority as a

sovereign Indian tribe, hereby enacts this ordinance in order to

ensure that Class II and Class III gaming operations on tribal

lands are conducted in accordance with the Indian Gaming

Regulatory Act.

II. Gaming Authorized

Class II gaming as defined in the Indian Gaming Regulatory

Act, P.L. 100447, 25 U.S.C. Section 2703(7) (A) (IGRA) and Class

III gaming as defined in Section 2703(8) of IGRA and by the

regulations promulgated by the National Indian Gaming Commission

at 25 C.F.R. § 502.1 (as published in the Federal Register at 57

FR 1238212393, April 9, 1992) are hereby authorized.

III. Ownership of Gaming

The Tribe shall have the sole propriety interest in and

responsibility for the conduct of any gaming operation authorized

by this ordinance.

IV. Use of Gaming Revenue

A. Net revenues from Class II and Class III gaming shall be

used only for the following purposes: to fund tribal government

operations and programs; provide for the general welfare of the

Tribe and its members; promote tribal economic development; donate

to charitable organizations; or help fund operations of local

government agencies, subject to the approval of the tribal general

council.

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

tribal members from gaming revenues, 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).

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V. Audit

A. The Tribe shall cause to be conducted annually an

independent audit of gaming operations and shall submit the

resulting audit reports to the National Indian Gaming Commission.

B. All gaming related contracts that result in the purchase

of supplies, services, or concessions in excess of $25,000.00

annually, except contracts for professional legal and accounting

services, shall be specifically included within the scope of the

audit that is described in subsection A. above.

VI. Protection of the Environment and Public Health and Safety

Class II and Class III 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 or Class

III gaming enterprise operated on Indian lands:

A. 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;

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(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. Primary 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

(2) To set up working policy for the gaming

operation; or

c. The chief financial officer or other person

who has financial management responsibility.

B. 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

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. .

when relevant to civil, criminal or regulatory

investigatior~s 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 tribes 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:

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 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

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b. Sign a statement that contains the notice

regarding false statements.

C. 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) ;

b. 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;

c. The names and current addresses of at least

three personal references, including one

personal reference who was acquainted with

the applicant during each period of residence

listed under paragraph (1) (b) of this

section;

d. Current business and residence telephone

numbers;

e. A description of any existing and previous

business relationships with Indian tribes,

including ownership interests in those

businesses;

f. A description of any existing and previous

business relationships with the gaming

industry generally, including ownership

interests in those businesses;

g. The name and address of any licensing or

regulatory agency with which the person has

filed an application for a license or permit

related to gaming, whether or not such

license or permit was granted;

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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

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;

k. The name and address of any licensing or

regulatory agency with which the person has

filed an application for an occupational

license or permit, whether or not such

license or permit was granted;

1. A current photograph;

m. Any other information the Tribe deems

relevant; and

n. Fingerprints consistent with procedures

adopted by the Tribe according to 25 C.F.R.

§ 522.2(h).

2. The Tribe shall conduct or cause to be conducted 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.

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. .

D. Eligibility Determination

The Tribe shall review a personts prior activities, criminal

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

finding concerning the eligibility of a key employee or primary

management official for employment in a gaming operation. If the

Tribe determines that employment of the person poses a threat to

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

creates or enhances dangers of unsuitable, unfair, or illegal

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

tribal gaming operation shall not employ that person in a key

employee or primary management official position.

E. Procedures for Forwarding Applications and Reports for

Key Employees and Primary Management Officials to the

National Indian Gaming Commission

1. When a key employee or primary management official

begins work at a gaming operation authorized by this ordinance,

the Tribe shall forward to the National Indian Gaming Commission a

completed application for employment and conduct the background

investigation and make the determination referred to in

subsection D of this section.

2. The Tribe shall forward the report referred to in

subsection F of this section to the National Indian Gaming

Commission within 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. 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.

F. 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:

a. Steps taken in conducting a background

investigation;

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b. Results obtained;

c. 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

Commission; and

b. May forward copies of its eligibility

determination and investigative report (if

any) to the National Indian Gaming Commission

for inclusion in the Indian Gaming

Individuals Records System.

4. With respect to key employees and primary

management officials, the Tribe shall retain applications for

employment and reports (if any) of background investigations for

inspection by the Chairman of the National Indian Gaming

Commission or his or her designee for no less than three (3) years

from the date of termination of employment.

G. 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.

2. 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.l. of this section

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until the Chairman of the National Indian Gaming Commission

receives the additional information.

3. 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.

H. License Suspension

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

Tribe receives from the National Indian Gaming Commission reliable

information indicating that a key employee or a primary management

official is not eligible for employment under subsection D. above,

the Tribe shall suspend such license and shall notify in writing

the licensee of the suspension and the proposed revocation.

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

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

3. After a revocation hearing, the Tribe shall decide

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

notify the National Indian Gaming Commission of its decision.

VIII. License Locations

The Tribe shall issue a separate license to each place,

facility, or location on Indian lands where Class II or Class III

gaming is conducted under this ordinance.

IX. Repeal

To the extent that they are inconsistent with this ordinance,

the inconsistent provisions of all prior gaming ordinances are

hereby repealed.

Approved by General Council: Date: 11/29/98

SP 11219801

Resolution No.: ________________

PHX: 392445.1

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SUPPLEMENTAL INFORMATION CONCERNING

THE SAN PASQUAL TRIBAL GAMING ORDINANCE

1. The San Pasqual Tribal Gaming Commission will be

responsible for conducting background investigations and

suitability determinations. The investigations will be conducted

by the investigative staff under the direction of the San Pasgual

Tribal Gaming Commission Executive Director. Background

information meeting the requirements of 25 CFR Section 556 will be

obtained from each applicant on forms designed for that purpose.

Fingerprint cards will be forwarded to the National Indian Gaming

Commission for processing through the FBI. Investigators of the

San Pasqual Tribal Gaming Commission will verify background

information through telephonic or written communications and will

interview former employers and personal references. Court records

and/or credit reports will also be reviewed. Personal interviews

with the applicant will also be conducted as necessary. During

the background investigation, potential problem areas and

disqualifying information will be documented in writing. The

results obtained from the background investigation, including any

unsuitable findings or problem areas, will be forwarded to the San

Pasqual Tribal Gaming Commission.

2. Tribal gaming licenses for primary management officials

and key employees will be issued by the San Pasqual Tribal Gaming

Commission as established by the San Pasqual Band of Mission

Indian General Council. The San Pasqual Tribal Gaming Commission

will review the results of the background investigations. If more

information is required, the San Pasqual Tribal Gaming Commission

will direct the Executive Director to obtain additional

information as necessary. When the San Pasqual Tribal Gaming

Commission is satisfied that it has all of the background

information required, it will evaluate the investigative results

and reach a conclusion as to the applicant based upon the

standards for issuance of a tribal gaming license under Federal

law and the San Pasqual Tribal Gaming Ordinance. The San Pasgual

Tribal Gaming Commission will then make a suitability

determination as to the applicant and the Executive Director of

the San Pasqual Tribal Gaming Commission will then forward an

investigative report and suitability determination to the National

Indian Gaming Commission on forms designed for that purpose and

meeting the NIGCs requirements.

PO1SR600 .DOC

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3. Disputes between the gaming public and the San Pasqual

Band of Mission Indians will be resolved through procedures

established by the San Pasqual Tribal Gaming Commission. Although

the San Pasqual Band of Mission Indians does not have a management

contract, disputes with any future management company would be

resolved under procedures that would be incorporated into the

management contract.

4. For the purposes of service by the National Indian

Gaming Commission, the agent for the Tribe is:

Spokesman

San Pasqual Band of Mission Indians

P. 0. Box 365

Valley Center, CA 92082

5. As described above, fingerprints will be taken by the

Santa Pasqual Tribal Gaming Commission and forwarded directly to

the National Indian Gaming Commission for processing by the

Federal Bureau of Investigation to include the criminal history

record information (CHRI).

6. Attached is a copy of the San Pasqual Tribal Ordinance

establishing the San Pasqual Tribal Gaming Commission and setting

forth its powers and responsibilities.

PO1SR600 .DOC

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