APR 2 7 2000 

Honorable Jack Musick 

Chairman, La Jolla Band of Luiseno Indians 

Star Route Box 158 

Valley Center, California 92082 

Dear Chairman Musick: 

This letter responds to your request for the National Indian Gaming Commission (NIGC) to 

review and approve the La Jolla Band of Luiseno Indians (Band) Gaming Ordinance, by 

Resolution No. GC-99-25, adopted on December 15, 1999, by the Band. This letter 

constitutes approval of your submission under the Indian Gaming Regulatory Act (IGRA). 

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, 

over which the Band exercises jurisdiction. 

Please note that at Section 6.3 Per Capita Payments, the Tribal and General Counsel may 

elect to authorize the distribution of per capita payments to Tribal Members. Under the 

IGRA 25 U.S.C. §2710(b)(3)(B), per capita payments may only be made pursuant to a plan 

submitted to the Bureau of Indian Affairs and approved by the Secretary of the Interior. 

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@). 

Thank you for submitting the ordinance of the La Jolla Band of Luiseno 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, 

Montie R. Deer 

Chairman 

1441 L STREET, N.W. SM ROOR WASHINGTON, D.C. 20005 EL: me-7003 FAX: ma-7066 
LA JOUA INDIAN RESERVAnON 

Star Route Box 158 Valley Center, CA 92082 

(760) 742-3771 Fax (760) 742-1704 ,. ,- I.s 

RESOLUTION 

Date: December 15, 1999 

Number: GC-9~-25 

WHEREAS: The La Jolla Band of Luiseno Indians ( "the Tribe") is a federally 

recognized American Indian Tribe recognized by the United States 

Secretary of the Interior as having jurisdiction over Indian Lands in 

California which are eligible for gaming under the Indian Gaming 

Regulatory Act (USC Sections 270 1-272 1) (1GRA);and 

WHEREAS: The General Council is the governing body of the Tribe pursuant to 

Article 3 of the Tribe's Constitution, having all the legislative powers and 

responsibilities of the Tribal Government; and 

WHEREAS: In order to engage in Class I1 or Class I11 gaming, the governing body of 

A tribe must adopt a gaming ordinance and have the ordinance approved 

by the Chairman of the National Indian Gaming Commission (NIGC) 

pursuant to IGRA (i.e., 25 USC Subsections 2710 (b)(l)(B) and 

27 1 O(d)(l)(A); and 

WHEREAS: The General Council adopted a gaming ordinance, entitled La Jolla Band 

of Indians Gaming Ordinance (Addendum), on June 1 1, 1999, that was 

disapproved by the Chairman of the National Indian Gaming Commission 

on September 16, 1999; 

NOW, THEREFORE BE IT RESOLVED, that the Tribe, through its General Council, 

Hereby repeals the La Jolla Band of Luiseno Indians Gaming Ordinance(Addendum) 

Duly adopted by the General Council on June 1 1, 1999; 

BE IT FURTHER RESOLVED; that the Tribe, through it's General Council, hereby 

Adopts a new gaming ordinance, entitled La Jolla Band of Luiseno Indian Gaming 

Ordinance. 
CERTIFICATION 

WE, the undersigned officers of the La Jolla Band of Luiseno Indians do, hereby certify 

That the foregoing Resolution was adopted by the General Council by a vote of 22 in 

Favor, 0 against, 3 abstaining, at a duly called meeting, held on December 15, 1999. 

Such resolution has not been altered, rescinded or amended in any way. 

Jack Musick, Tribal Chairman 

Viola Peck, Secretary Theda Molina, Treasurer 

&Q*W) 

Oohn Beresford, ~ounc~khember 
LA JOLLA BAND OF LUISENO INDIANS 

GAMING ORDINANCE 

Section 1. Purpose 

The General Council of the La Jolla Band of Luiseno Indians (hereinafter "Tribe"), a federally 

recognized Indian Tribe, empowered by Article 111, Subsection C(6) of the Tribe's Constitution 

to enact ordinances, hereby enacts this Ordinance in order to set the tenns for Class I1 and Class 

I11 gaming on its Tribal lands. 

Section 2. Definitions 

Unless specified otherwise, terms used herein shall have the same meaning as in the Indian 

Gaming Regulatory Act (hereinafter "IGRA"), 25 U.S.C. $5 2701 - 2721, including, but not 

limited to, references to "Class I," "Class 11," and "Class 111" gaming, except for references to 

"Committee Members" or "Gaming Committee" which shall mean the La Jolla Gaming 

Committee Members or the La Jolla Gaming Committee established and described herein. 

2.1 "Appeals" shall mean a process where a gaming employee elects to have the Gaming 

Committee review and decide the outcome of a termination or reprimand. Decisions of 

the Gaming Committee are final. 

2.2 "Class I Gaming" shall mean any ancestral tribal games, i.e., Pion, etc. 

2.3 "Class I1 Gaming" shall mean all forms of gaming that are defined as Class I1 gaming in 

IGRA, 25 U.S.C. 5 2703(7)(A), and 25 C.F.R $ 502.3. 

2.4 "Class 111 Gaming" shall mean all forms of gaming that are defined as Class I11 gaming 

in IGRA, 25 U.S.C. $ 2703(8), and 25 C.F.R $ 502.4. 

2.5 "Compact" shall mean any Compact in force by and between the Tribe and the State of 

California setting forth an agreement for the operation of Class I11 gaming on tribal land 

of the Tribe. 

2.6 "Entity" shall mean any organization, including any division, department or other unit 

therein, and includes, but shall not be limited to, a public or private corporation, 

partnership, joint venture, voluntary or unincorporated association, organization, 

proprietorship, trust, estate, commission, bureau, department of governmental agency, 

except that "entity" shall not include the Tribe. 

2.7 "Gaming" shall mean an activity in which a person stakes or risks something of value on 

the outcome of a contest of chance or a future contingent event, not under his or her 

control or influence, upon an agreement or understanding that the person, or someone 

else, will receive something of value in the event of a certain outcome, but shall not 

include bona fide business transactions. 

2.8 "Gaming Activities" shall mean any Class I, Class I1 or Class I11 gaming activity 

conducted by or under the jurisdiction of the Tribe. 

2.9 "Gaming Commission" shall mean the La Jolla Gaming Commission, as established by 

the Gaming Committee to monitor gaming activities, investigate wrongdoing, and 

perform other duties as required for the regulation and smooth operation of gaming on 

Tribal lands. 
"Gaming Committee" means a committee consisting of 12 Tribal Members 21 years of 

age or older, approved by the general membership at a duly called General Council 

meeting. 

"Gaming Contractor" shall mean any person or entity that supplies gaming devices or 

other gaming equipment, personnel or services, including gaming management or 

consulting services to any gaming activity or enterprise on Tribal lands. 

"Gross Revenues" shall mean all gaming revenues before payouts or deduction of total 

gaming-related operating expenses. 

"General Council" consists of all Tribal Members 21 years of age or older. 

"Investigations Officer" shall mean a paid official who is responsible for conducting 

background investigations on all employees and managers, including, but not limited to, 

employees and managers who handle or monitor monies paid out or taken in as revenue, 

issue licenses, update and maintain all issued licenses files and confidential employee 

files. 

"Key Employee" shall mean a person who performs one or more of the following 

functions: bingo c ller. counting room supervisor; chief of security; custodian of gaming 

supplies or cash; ~kif~~ers;&u~ervisors and directors of all departments>pit boss; dealer; 

croupier; approver of credit; custodian of gaming devices (including those persons with 

access to cash and accounting records within such devices); any other person whose total 

cash compensation exceeds $50,000.00 per year; and, if not otherwise included, the four 

most highly compensated persons in the gaming operation. 

"National Indian Gaming Commission" (hereinafter "NIGC") shall mean the 

commission established under IGRA, 25 U.S.C. 5 2704. 

"Net Revenues" shall mean gaming revenues of the Tribe's gaming operations less 

payouts and total gaming-related expenses, excluding management fees. 

"Primary Management Official" shall mean: the person who has management 

responsibility for a management contract; any person who has authority to hire or fire 

employees or to set up working policy for the gaming operation; or the chief financial 

officer or other person who has financial management responsibility. At the discretion of 

the Gaming Commission, other positions or persons may be included under this 

definition and subject to the requirements for primary management officials. 

"Related to" shall refer to persons who are related as a father, mother, brother, sister, 

son, daughter, husband or wife. 

"State" shall mean the State of California. 

"Tribal Council" shall mean the 5 Tribal Members elected by the General Council 

pursuant to Article 5 of the Tribe's Constitution. 

"Tribal Lands" shall include all lands within the boundaries of the La Jolla Reservation 

and land over which the Tribe exercises governmental power that is either held in trust by 

the United States for the benefit of the Tribe or a Tribal Member or held by the Tribe or a 

Tribal Member subject to restriction by the United States against alienation. 

"Tribal Member" shall mean an individual enrolled in the Tribe pursuant to Article 2 of 

the Tribe's Constitution and the Tribe's Enrollment Ordinance. 

"Tribe" shall mean the general membership of the La Jolla Band of Luiseno Indians. 

Section 3. 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, except to the extent the Tribe may contract with 

and license a person or entity to own, operate or manage a gaming operation pursuant to the 

provisions of IGRA or as otherwise permitted by law. 

Section 4. Gaming Committee 

4.1 Establishment of Gaming Committee 

There is hereby established by the General Council a Committee, to be known as the La Jolla 

Gaming Committee. The Gaming Committee shall be composed of 12 Tribal Members, 21 years 

of age or older, all of whom shall be approved by the General Council. 

4.2 Disqualifications for Office 

The following persons may not serve as Gaming Committee Members: 

4.2.1 Employees of any gaming operation on Tribal lands. 

4.2.2 Persons related to any gaming operation contractor including any principle thereof 

or closely associated independent contractor. 

4.2.3 Persons who would not be eligible to be officers of the Tribe pursuant to the 

Tribe's Constitution and ordinances. 

4.3 Terms of Office 

The Committee Members shall serve a 2 year term, renewable if approved by the General 

Council at a duly called meeting. 

4.4 Removal From Office 

Committee Members may be removed by fellow Committee Members for missing 3 consecutive 

meetings without proper notification. Committee Members may be removed by a majority vote 

of the Gaming Committee for inappropriate behavior, i.e., screaming, cussing, negative or 

aggressive behavior, or intimidation of any kind. The vacant position shall be filled and 

approved by the General Council at its next scheduled meeting. Vacancies resulting from the 

death or resignation of a Committee Member shall also be filled and approvetl by the General 

Council. 
4.5 Quorum 

Seven Committee Members, including the Chairperson or Vice-Chairperson, constitute a 

quorum. 

4.6 Officers and Duties 

The Gaming Conlmittee shall select Officers by verbal agreement and cooperation within the 

committee. The Officers shall include a Chairperson, a Vice-Chairperson, a Secretary and a 

Treasurer. The Chairperson shall preside over meetings of the Gaming Committee, and the ViceChairperson shall preside in the absence of the Chairperson. The Secretary shall record in 

writing the minutes of all Gaming Committee meeting minutes and all official actions taken by 

the Gaming Committee. The Treasurer shall oversee the financial records of the Gaming 

Committee and will perform other duties assigned by the Chairperson. Committee Members 

shall also perform any duties assigned by the Gaming Committee Chairperson. Officers shall be 

elected every 2 years from the appointment of the initial Committee Members. 

4.7 Voting 

All actions of the Gaming Committee shall be taken by majority vote. In the event of a 

deadlock, the Chairperson shall cast the deciding vote. 

4.8 Meetings 

Meeting of the Gaming Committee shall be held twice per month, on the second and fourth 

Monday of each month at 6:30 p.m. at La Jolla's Tribal Hall, when there is business to discuss or 

act upon. Meetings shall be called by the Chairperson, or by the Vice-Chairperson in the 

Chairperson's absence. A special meeting notice shall be given to each Committee Member 

during a regular Gaming Committee meeting or by telephone at least 2 days in advance of the 

date of the special meeting. 

4.9 Compensation for Serving 

Committee Members will be monetarily compensated for serving on the Gaming Committee, 

provided funds are available. The rate will be determined by the Tribal Council. Each Gaming 

Committee members rate will be identical, except that step increases may be allowed based on 

length of service and availability of funds. 

4.10 Reports 

On or before October 3 1 of each year, the Gaming Committee shall provide the Tribal Council 

with a written report summarizing its activities. The Gaming Committee shall also provide the 

Tribal Council with quarterly summary reports every three months. The Tribal Council shall 

cause copies of these reports to be made available to the General Council at its next duly called 

meeting. 
Section 5. Authorized Gaming 

Class I1 and Class I11 gaming on Tribal lands is hereby authorized. All gaming activities on 

Tribal lands, whether Class I1 or Class I11 gaming, are prohibited except as expressly authorized 

under this Gaming Ordinance. Nothing herein shall prohibit the Tribe from engaging the 

services of non-tribal persons or employees thereof or engaging any person or entity to assist the 

Tribe in the management of a gaming activity pursuant to a management agreement entered into 

under the provisions of IGRA. Class I11 gaming shall be conducted in accordance with any 

Compact, or any alternative thereto as provided by IGRA. 

Section 6. Revenue 

6.1 Gaming Revenue 

Except as provided for under the terms of an agreement pursuant to the provisions of IGRA or as 

otherwise permitted by law, all revenues generated from any Class I1 or Class I11 gaming activity 

are the property of the Tribe. Any profits or net revenues from gaming activities shall be 

deposited into a separate tribal gaming revenue treasury. The bank chosen will be the same bank 

that the Tribe uses for the Tribe's Existing Enterprises. 

6.2 Net Revenue from Class I1 and Class I11 gaming activities shall be used to: 

6.2.1 Fund Tribal Government operations and programs. 

6.2.2 Provide for the general welfare of the Tribe and Tribal Members including 

education, health, and safety. 

6.2.3 Promote economic development within Tribal lands, including job creation and 

training, infrastructure improvement and resource management. 

6.2.4 Fund operations of local Tribal Government agencies providing services, 

programs and or assistance to Tribal members, on or off Tribal lands. 

6.2.5 Provide donations to charitable and or non-profit organizations, including local 

governments. 
6.3 Per Capita Payments 

The Tribal and General Council may elect to authorize the distribution of per capita payments to 

Tribal Members pursuant to guidelines established and adopted by the Tribal Council and 

consistent with applicable federal laws. 

Section 7. Protection of the Environment and Public Health and Safety 

Any construction or maintenance of any Class I1 or Class 111 gaming facility, and the operation of 

gaming therein, shall be conducted in a manner which adequately protects the environment and 

the public health and safety. 

Section 8. Dispute Resolution 

Patrons who have complaints against the gaming establishment, including disputes with any 

management contractor or its employees, shall have as their sole remedy the right to file a 

petition for relief with the Gaming Committee. Complaints shall be submitted in writing. At 

the discretion of the Gaming Committee, the petitioner may be allowed to present evidence. The 

Gaming Conunittee will render a decision in a timely fashion and all such decisions will be final 

when issued. Any patron having a claim against a gaming operation or a management contractor 

or its employees must submit such claim to the Gaming Committee within 30 days of its 

occurrence. All claims by patrons shall be limited to a maximum recovery of $10,000.00, and a 

cumulative limit of $10,000.00 per patron in any 12-month period. 

Section 9. Audit 

9.1 Annual Audit 

Annual outside auditing by a recognized independent accounting firm shall be conducted of each 

gaming operation and the results thereof reported to the General and Tribal Councils, and, to the 

extent required by law, to the NIGC. 

9.2 Audit Requirements 

All gaming-related contracts for supplies, services, or concessions for a contract amount in 

excess of $25,000 annually (except contracts for professional legal or accounting services), 

relating to Class I1 or Class 111 gaming on Tribal lands, shall be specifically included within the 

scope of the annual audit described in Subsection 9.1, and such gaming-related contracts shall so 

specify. 

9.3 Bidding 

Contracts relating to gaming or any gaming facility for a contract amount in excess of $25,000 or 

for more than 5 years shall be subject to a formal, sealed bidding process prior to submission to 

the Gaming Committee for approval. All reasonable attempts shall be made to obtain and 
consider at least 3 responsible bids; provided, the Gaming Committee may waive the 

requirement for 3 bids for good cause shown. 

Section 10. Licenses 

10.1 Gaming Permitted as Licensed 

Except to the extent authorized by an agreement pursuant to the provisions of IGRA, or as 

otherwise permitted by law, Class I1 and Class I11 gaming activities shall only be conducted in 

tribally owned, operated and licensed facilities pursuant to the provisions of this Gaming 

Ordinance. Such activities shall be conducted in accordance with the terms and conditions of 

any license issued by the Gaming Commission for such purposes to each facility before any 

Gaming Activity may occur therein. The Gaming Commission shall issue a separate license to 

each place, facility or location on Tribal lands where Class I1 or Class I11 gaming is conducted 

under this Gaming Ordinance. Such licenses shall specify the hours of operation, type and scope 

of gaming activities allowed therein, permitted uses of the facility for other activities, rules of 

conduct for employees and patrons, regulation of alcoholic beverages, food handling and 

entertainment, and such other matters as the Gaming Committee or the General Council may 

deem necessary for the conduct of gaming activities therein. 

10.2 Licensing Requirements 

It is the declared policy of the Tribe that all Class I1 and Class I11 gaming activities be licensed 

and controlled so as to protect the morals, good order and welfare of Tribal Members and other 

persons on Tribal lands and to preserve the honesty, fairness and integrity of such gaming 

activities. Accordingly, no person shall engage in any Class I1 or Class I11 gaming activities on 

Tribal lands without an appropriate and valid independent Class I1 or Class I11 license issued by 

the Gaming Commission. 

Any gaming license which is issued, or finding of suitability or approval by the Gaming 

Commission, shall be deemed a privilege subject to suspension or revocation. No license shall 

be issued that would place the Tribe in violation of any Compact or of any applicable law. 

10.3 Burden on Applicant 

The burden of proving an applicant's suitability to receive any license hereunder is at all times on 

the applicant. Applicants must accept any risk of adverse public notice, embarrassment or other 

action which may result from the application process and expressly waive any claim for damages 

as a result thereof. 
10.4 Release of Information 

All persons applying for a license shall agree to release all information necessary in order for the 

Gaming Commission to achieve its goals under this Section, and to furnish such information to 

the NIGC, or such other governmental agency as may be required by law. 

10.5 Applicant's Claim of Privilege 

An applicant may claim any privilege afforded by law in connection with a gaming license 

application or investigation, but a claim of privilege with respect to any testimony or evidence 

pertaining thereto may constitute sufficient grounds for denial, suspension, or revocation of a 

license. 

10.6 Types of Licenses 

Three classes of licenses (Class A, Class B and Class C) may be issued to persons associated 

with gaming activities. The Gaming Commission may also require and issue, in its sole 

discretion, a Class D license to any person or entity associated with other tribal businesses that 

are not part of the gaming facility or operated in conjunction therewith. 

10.7 Class A Licenses 

Before permitting any person to become permanently associated with any Gaming Activity as an 

investor or other person owning or controlling 10% or more of any interest in any management 

entity, or any primary management official, key employee, closely associated independent 

contractor, or other individual or entity with influence over the management or operation of 

gaming activities, or a Class I1 or Class I11 gaming employee, supplier, manufacturer or 

distribution, such person shall obtain a Class A license. The Gaming Commission shall conduct 

or cause to be conducted a background investigation to determine if such person has: any 

criminal record or any reputation, prior activities, habits or associations which might pose a 

threat to the public interest or to the effective regulation of gaming; or anything else in their 

background which might create or enhance the dangers of unsuitable, unfair or illegal practices, 

methods and activities in the conduct of gaming. 

Persons who do not meet the above qualifications shall be denied a Class A license. In addition, 

every entity, associate, silent partners or investors, including their contractors and subcontractors, 

have to be identified and investigated before the NIGC and the Gaming Commission will 

approve their license. 

10.8 Class B Licenses 

Persons who are not among those identified in Subsection 10.7 above, but who are to be 

employed at a gaming facility on Tribal lands in some other capacity, such as in non-gaming 

related activities, shall be required to obtain a Class B license from the Gaming Commission. 

Such persons must establish that they have not been convicted of a crime or engaged in any 
activity which the Gaming Commission in its sole discretion deems would render such a person a 

danger to the safety or integrity of the gaming activities or the safety or property of the Tribe, 

any Tribal Member, any gaming employee or patron, or the public. 

10.9 Class C Licenses 

Persons who are employed by, associated with, or provide goods or services to other business 

enterprises of the Tribe may be required to make application and obtain a Class C license in 

order to do business with or be employed by such business enterprises. The Gaming 

Commission will issue requirements and procedures for obtaining a Class C license as such 

business enterprises are developed on Tribal lands. 

10.10 License Renewal 

Class A and Class B licenses shall be subject to renewal at least every 2 years, and may be 

revoked or suspended upon occurrence of any act which, if known during the application 

process, would have tended to disqualify such person for such a license. 

1 0.1 1 Temporary License 

Pending completion of an investigation for a license, temporary licenses of no more than 90 days 

duration may be issued by the Gaming Commission if in its sole discretion it deems it 

appropriate to do so. Such licenses shall permit the licensee to engage in such activities and 

pursuant to such terms and conditions as may be specified by the Gaming Commission. Such 

temporary licenses shall expire 90 days from the date of issuance, upon issuance of a regular 

license, or until an earlier specified expiration date, whichever occurs first. 

10.12 License Investigations 

The Gaming Commission may employ all reasonable means, including the engagement of 

outside services and investigators and the holding of hearings, to acquire the information 

necessary to determine whether or not a license should be issued. Applicants shall also agree to 

release all information necessary in order for the Gaming Commission to achieve its goals under 

this section and to furnish such information to the NIGC, or such other government agency as 

may be required by law or Compact. 

10.13 License Fees 

Unless specifically waived by the Gaming Commission, all persons applying for a Class A, B, or 

C license shall be required to pay all applicable license fees and costs when due, including a 

reasonable deposit for costs incurred in obtaining information in connection with the license 

application. Estimates of licensing costs shall be provided to applicants upon reasonable 

requests. All fees and costs must be received by the Gaming Commission prior to issuance of 

the license. 
10.14 Standards 

All persons engaged by or associated with any Gaming Activity on Tribal lands shall conduct 

themselves with honesty, integrity, and such decorum and manners as may be necessary to reflect 

positively on the Tribe, its members and the gaming activities involved. Any failure to abide by 

such standards, or any violation of any rule, ordinance, custom or tradition of the Tribe or the 

Gaming Committee, or the terms or conditions of a license, may be grounds for immediate 

suspension or revocation of any license issued hereunder. 

10.15 Appeals 

All decisions of the Gaming Commission regarding the issuance of licenses shall be final and 

effective when issued; provided, within 15 days of the receipt of the written decision regarding 

denial of the license, the applicant may file a petition for reconsideration with the Gaming 

Commission. 

Section 11. Background Investigations 

1 1.1 Required Information 

The Gaming Commission shall request from each key employee and each primary management 

official all of the information specified in Subsections 1 1.1.1 through 1 1.1.14 below. Further, 

each other applicant for a Class A license, except as otherwise provided by the Gaming 

Commission, reserves the right, at any time, to request additional information either prior to, 

during, or subsequent to any background investigation. 

11.1.1 Full name, other names used (oral or written), social security numbers, 

date of birth, place of birth, citizenship, gender, all languages (spoken and 

written); 

11.1.2 Currently and for at least the previous 5 years: business and employment 

positions held, ownership interests in those businesses, business and 

residence addresses and drivers license number(s); 

11.1.3 Names and current addresses of at least 3 non-related personal references, 

including one personal reference who was acquainted with the applicant 

during each period of residence as listed under Subsection 1 1.1.2 above; 

Current business and residence telephone numbers; 

A description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those 

businesses; 
A description of any existing and previous business relationships with 

Indian Tribes, including ownership interest in those businesses; 

Name and address of any licensing or regulatory agency with which the 

person has ever filed an application for a license or permit related to 

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

For each felony for which there is an on-going prosecution or a conviction: 

the charge, the name and address of the court involved, and the date and 

disposition, if any, of the case; 

For each misdemeanor conviction or ongoing misdemeanor prosecution 

(excluding minor traffic violations) within10 years of the date of the 

application; the name and address of the court involved, and the date and 

disposition, if any, of the case; 

For each criminal charge (excluding minor traffic charges), whether or not 

there is or was a conviction, if such criminal charge is within10 years of 

the date of the application and is not otherwise listed above pursuant to 

Subsections 1 1.1.8 and 1 1.1.9 above: the criminal charge, the name and 

address of the court involved and the date and disposition, if any, of the 

case; 

Name and address of any licensing or regulatory agency (Federal, Tribal, 

State, local or foreign) with which the person has filed an application for 

an occupational license or permit, whether or not such license or permit 

was granted; 

Current photograph; 

Any other information the Gaming Commission deems relevant; and 

Fingerprints taken by a law enforcement agency consistent with the 

procedures adopted by the Gaming Committee according to 25 C.F.R. 5 

522.2(h). 
1 1.2 Gaming Commission Investigations 

The Gaming Commission shall conduct or cause to be conducted an investigation sufficient to 

make a determination of eligibility as required under Subsection 1 1.3. In conducting the 

background investigation, the Gaming Commission and their agents shall promise to keep 

confidential the identity of each person interviewed in the course of the investigation. 

1 1.3 Eligibility Determination 

The Gaming Con~mission 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 management official for employment in a gaming operation. If the Gaming 

Commission 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, the Gaming Commission shall not 

employ that person in a key employee or primary management official position or in any other 

position for which a Class A license is required, except as specifically established by the Gaming 

Commission. 

Section 12. Forwarding Applications and Reports to the NIGC 

12.1 Applications 

On or before the date any key employee or primary management official is employed by a 

gaming operation authorized under this Gaming Ordinance, the Gaming Commission shall 

forward to the NIGC the person's completed application for employment containing the 

information required in Subsection 1 1.1 above. 

12.2 Investigative Reports 

Prior to issuing a license to a key employee or a primary management official, the Gaming 

Commission shall forward to NIGC, together with a copy of the eligibility determination made in 

accordance with Subsection 11.3, an investigative report on each background investigation 

within 60 days after an employee begins work or within 60 days of the approval of this Gaming 

Ordinance by the NIGC. The gaming operation shall not employ or continue to employ any 

person as a key employee or primary management official who does not have a license within 90 

days of beginning work. The investigative report shall include the following information: 

12.2.1 Steps taken in conducting a background investigation; 

12.2.2 Results obtained; 
Conclusions reached; and 

The bases for those conclusions. 

12.3 Other Reports 

The Gaming Commission shall provide to the NIGC and the State any other reports and 

information required by IGRA and regulations promulgated thereunder and the Compact. 

Further, with respect to key employees and primary management officials, the Tribe shall also 

retain copies of applications for employment and reports, if any, of background investigation for 

inspection by the NIGC for no less than 3 years from the date of termination of employment. If a 

license is not issued to an applicant, the Gaming Commission shall notify the NIGC and may 

forward copies of its eligibility determination and investigative report, if any, to the NIGC for 

inclusion in the Indian Gaming Individuals Record System. 

Section 13. Issuance and Suspension of Licenses 

1 3.1 No Objections by NIGC 

If, within a 30-day period after the NIGC receives an application and report as required under 

Section 12, the NIGC notifies the Gaming Commission 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 Gaming Commission has provided an application and investigative report 

to the NIGC, the Gaming Commission may issue the license. 

13.2 Objections by NIGC 

If, within the30-day period established, the NIGC provides a statement itemizing objections to 

issuance of a license to a key employee or primary management official, the Gaming 

Commission shall reconsider the application, taking into account such objections. The Gaming 

Commission retains the right to make the final determination whether to issue the license to such 

an applicant. 

13.3 Extension of NIGC7s 30-day Review Period 

In the event the NIGC has requested any additional information pursuant to Subsection 12.3, the 

30-day period referred to in Subsections 13.1 and 13.2 shall be suspended until the NIGC 

receives the additional information. 

13.4 License Suspension 

If, after the issuance of a gaming license, the Gaming Commission receives reliable information 

from the NIGC or other reliable source indicating that a key employee or a primary management 

official is not eligible for employment under Subsection 11.3, the Gaming Commission shall 

suspend the license and shall notify the licensee in writing of the license suspension and 
proposed revocation. The Gaming Commission shall notify the licensee of a time and place for a 

hearing on the proposed revocation of a license. After the revocation hearing, the Gaming 

Commission shall determine whether to revoke or to reinstate the gaming license and notify the 

NIGC of its decision. 

Section 14. Applications 

14.1 Forms 

Each application form for a key employee or a primary management official, as well as for all 

other Class A license applicants, unless otherwise specifically exempted by the Gaming 

Commission, shall contain the notices set forth in Subsection 14.2 and 14.3 below: 

14.2 Privacy Act Notice 

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 u gaming operation. The information 

will be used by National Indian Gaming Commission members and staffwho 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 orfiring 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 as indicated in this notice will result in a 

Tribe's being unable to hire you in a primary management official orkey 

employee position. 

The disclosure of your Social Security Number (SSN) is voluntary. However, 

failure to supply your SSN may result in errors in processing your application. 

14.3 Notice Regarding False Statements 

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 (1 8 U. S. C. $1 001). 
14.4 Existing Key Employees or Primary Management Officials 

Any existing key employee or primary management official, or other Class A licensee unless 

otherwise specifically exempted by the Gaming Commission, shall be notified that they shall 

either: 

14.4.1 Complete a new application form that contains the Privacy Act notice and 

the notice regarding false statements; or 

14.4.2 Sign a statement that contains the Privacy Act notice and consent to the 

routine uses described in that notice, and sign a statement that contains the 

notice regarding false statements. 

Section 15. Compacts 

In addition to the provisions set forth above, no Class 111 gaming shall be engaged in or on Tribal 

lands unless a Compact has first been obtained in accordance with IGRA, 25 U.S.C. tj 

271 O(d)(l)(C). All negotiations for such a Compact shall be conducted through the Chairperson 

of the Tribe, with the advice and suggestion of the Gaming Committee. 

Section 16. Interest in Management Contracts 

No elected official of the Tribe, including the Gaming Commission, the Gaming Committee or 

any other committee or agency of the Tribe, shall have a financial interest in or management 

responsibility for any management agreement entered into pursuant to IGRA, nor shall such 

persons serve on the board of directors or hold (directly or indirectly): a) 10% or more of the 

issued and outstanding stock of any corporation having a financial interest in or management 

responsibility for such a management agreement; or b) 10% or more of the beneficial interest in 

any partnership, tivst or other entity having a financial interest in or management responsibility 

for such a management agreement. 

Section 17. Service of Process 

The Tribe designates as its agent for service of any official determination, order, or notice of 

violation, the Chairperson or Vice-Chairperson of the Gaming Committee, or in the event that 

the Committee no longer exists, then the agent for such service shall be the Chairperson of the 

Tribe 

Section 18. Tribal Gaming Corporation 

Nothing in this Gaming Ordinance shall prevent the Tribe, through its General Council, from 

delegating the authority to conduct gaming to one or more Tribal corporations, agencies or 

entities, so long as the Tribal gaming operations to which such authority is delegated agree to 

meet all criteria and requirements established under this Gaming Ordinance. 
Section 19. Adoption of Ordinance 

This Gaming Ordinance shall become effective upon its adoption by the General Council and 

approved by the NIGC. 

Section 20. Regulations 

Pursuant to Article 3, Section C(8) of the Tribe's Constitution, the General Council hereby 

authorizes the Gaming Committee to promulgate such regulations and guidelines as the Gaming 

Committee deems appropriate to implement the provisions of this Ordinance. Nothing in this 

Section shall be interpreted as limiting the inherent authority of the General Council to enact 

further ordinances dealing with Class I1 or Class I11 gaming. 

Section 21. Repeal 

All prior gaming ordinances are hereby repealed. 

CERTIFICATION 

I, Viola Peck, as Secretary of the La Jolla Band of Luiseno Indians, do hereby certify that 

at a General Council Meeting held on December 15, 1999, this Ordinance was reviewed and 

approved by a vote of 22 in favor, 0 opposed and 3 abstaining. I do hereby certify that this 

Ordinance has not been amended or rescinded in any way. 

/ A 
IA J0LL.A INDIAN RESERVATION 

22000 Hwy 76 Pauma Valley, CA 92061 

(760) 742-3771 Fax (760) 742-1704 

La Jolla Band of Luiseno Indians 

Gaming Committee Resolution No. 2000-01 

WHEREAS, The La Jolla Band of Luiseno Indians ("the Tribe") is a federally recognized 

American Indian Tribe recognized by the United States Secretary of the Interior 

as having jurisdiction over Man Lands in California which are eligible for 

gaming under the Indian Gaming Regulatory Act (25 U.S.C. Sections 2701- 

272 1) ("IGRA"); and 

WHEREAS, The General Council is the governing body of the Tribe pursuant to Article 3 of the 

Tribes Constitution, having all the legislative powers and responsibilities of the 

Tribal Government; and 

WHEREAS, The General Council, pursuant to Article 3, Subsection C(8) of the Tribe's 

Constitution, may delegate, by ordinance or resolution, any of its enumerated 

powers and duties to a committee; and 

WHEREAS, The General Council, pursuant to Section 20 of the Tribe's Ganung Ordinance, 

duly adopted on December 15, 1999, has delegated to the Tribe's Gaming 

Committee the power and responsibility of promulgating such regulations as the 

Gaming Committee deems appropriate to implement the provisions of the Gaming 

Ordinance; and 

WJ%EREAS, Additional procedures for conducting background investigations and licensing are 

necessary to implement the Gaming Ordinance and to have the Gaming 

Ordinance approved by the Chairman of the National Indian Gaming Commission 

pursuant to 25 C.F.R Section 522.2(b)-(c); 

NOW, THEREFORE BE lT RESOLVED: That the Gaming Committee, hereby adopts the following gaming 

regulations: Gaming Regulation 001, Procedures for Conducting Background Investigations, and Gaming 

Regulation 002, Licensing Requirements and Prdres. 

CERTIFICATION 

We, the undersigned officers of the La Jolla Band of Luiseno Indians Gaming Committee do, hereby, certifL that the 

foregoing Resolution is adopted by the Gaming Committee by a vote of 

- 8 in favor, Q opposing, and 1 abstaining, at a duly called meeting on 1-28-00, and such resolution has not been 

rescinded or amended in any way. 

w 

L /- 3/--id 

Date: