Riricon Indian Reservation

P0 80/ V~LLE( CENTER CAUFOPNIA 92082 (6~9~ 749.i051

ORDINANCE NO. 94-11

AN ORDINANCE OF THE BUSINESS COMMITTEE OF THE RLNCON SAN LUISE~O

BAND OF MISSION INDIANS ESTABLISHING THE RINCON GAMING COMMISSION

SECTION 100.01 TITLE:

This title is adopted to enact and implement regulations establishing the Rincon Gaming Commission.

This ordinance shall be known as the Rincon Gaining Commission.

SECTION 100.02 AUTHORITY:

Pursuant to the provisions of the Indian Gaming Regulatory Act of 1988, and the authority vested in

the Rincon Business Committee by its Articles of Association, the Committee hereby enacts and

adopts the following ordinance for the establishment of a Gaming Commission to oversee the

regulations, operations and functions of the Rincon Gaming Casino Enterprise.

SECTION 100.03 DUTIES AND FUNCTIONS OF GAMING COMMISSION

The Rincon Gaming Commission shall perform the following duties and functions:

1. Develop and implement licensing procedures for all employees of the gaming operations

pursuant to federal law(s).

2. Issue, suspend, revoke, and renew licenses of primary management officials and key

employees, as defined in Rincon Ordinance No. 94-01, upon completion of background investigations

and other IGRA requirements.

3. Conduct or cause the background investigations on primary management officials and key

employees.

4. Forward all completed employment applications and background investigative reports for

each primary management official and key employee to the National Indian Gaming Commission

(hereafter called NIGC) prior to issuing a license to each person applying for employment.

Privacy Act notice affidavits and notice of false statements shall be included with each application

submitted to NIGC for processing.

5. Review a persons prior activities, criminal record (if any), and reputation, habits and

associations to make a finding concerning the eligibility of a key employee or primary management

official for employment in the gaming operation.

6. Notify NIGC, if the tribe does not license an individual asa primary management official

or key employee.

7. Keep and maintain applications and reports of background investigations of primary
ORDINANCE NO. 94-11 PAGE 2

RINCON GAMING COMMISSION

management officials arid key employees for 3 years after termination of employment.

8. Issue license to operate for each facility or location where tribe elects to allow gaming.

9. Obtain and submit annual audits to NIGC and include all gaming related contracts resulting

in purchases of supplies, services or concessions for more than $25,000 in any calendar year.

10. Construct, maintain and operate gaming facilities in a manner to protect the public health,

safety and welfare, and protect the environment.

11. Monitor gaming activities to ensure compliance with tribal law/regulations.

12. Conduct investigations of possible violations and take enforcement action, and cooperate

with other law enforcement agencies and other regulatory agencies regarding gaming operations.

13. Provide independent information to the tribe on the status of the tribes gaming activities.

14. Adopt and establish procedures to conduct hearings on regulatory matters, including the

revocation of primary management official and key employee licenses.

15. Establish and implement minimum internal control standards for the gaming operation,

including credit policies and procedures for acquiring supplies and equipment.

16. Establish any necessary criteria for the licensing of primary management officials, key

employees, and other employees.

17. Establish and approve rules of various games, and inspect games, tables, equipment,

machines, cards, dice, and chips or tokens used in the gaming enterprise. Establish and approve

video surveillance standards. Establish standards/criteria for gaming machines and facilitate the

testing of machines for compliance.

18. Adopt and establish procedures to resolve patron disputes, employees grievances, vendor

complaints, and other problems.

19. Perform or cause to be performed audits of business transactions to ensure compliance

with tribal regulations and/or policy.

20. Establish and oversee standards tbr and issuance of licenses or permits to persons and

entities who deal with the gaming operation such as manufacturers and suppliers of machines,

equipriient arid supplies.

SECTiON 100,04 GAMING CO~\lMlSSION:

a. Establishment of the Rincon Gaming Commission

The Rincon Business Committee hereby establishes a Rincon Gaming Commission (hereafter called
ORDINANCE NO. 94-11 PAGE 3

RINCON GAMING COTvIMISSION

the Commission). The Commission shall be composed of seven (7) persons and 1 Alternate, all of

whom shall be appointed by the Rincon Business Committee.

b. Qualifications for Office

The following criteria shall be required for holding the office as Gaming Commissioner:

(1) Twenty-one (21) years of age,

(2) Legal resident of the United States of America,

(3) Tribal and non-tribal members with emphasis on special professional expertise or

academic degrees in the fields of accounting, law enforcement, personnel, marketing, public relations,

fund management and/or investments, casino/gaming operations, hotel and/or recreational

enterprises, administratiQn, or human relations, and

(4) Each Gaming Commission members shall attend a minimum of twelve (120 hours of

seminars and/or continuing education programs hear on such subjects, including but not limited to:

surveillance techniques, fund management and investment, equal opportunity laws, sexual harassment

laws, gambling scams, employee theft, drug detection, and other similar related topics.

c. Disqualifications for Office

The following persons may not serve as Gaming Commissioners:

(1) Employees of any gaming enterprise on the Reservation;

(2) Any persons or person convicted of a felony;

(3) Any person or persons related to any gaming contractor (including any principal thereof or

closely associated independent contractor);

(4) Any person or persons employed in any capacity by the Tribal Government or holding an

office as elected/appointed official including tribal council or business committee members;

(5) Any person or persons having any financial or contractual interest in or responsibility for,

either directly or indirectly, any gaming related contract with the Tribe or any gaming enterprise on

the Reservation.

(6) Any person or their immediate family owning stock, or stock options or similar

investments in any vendor, technical services or management company doing business with the Rincon

Reservation gaming enterprise.

d. Terms of Office

The Commissioners shall serve for rotating, three-year terms. To establish the rotating terms of

office, the following schedule for expiration of offices shall apply: three (3) Commissioner terms

shall expire on October 31, 1997, and two (2) Commissioner and one Alternate Commissioner terms

shall expire on October 3 1 ,

1998. The two (2) remaining Commissioner terms shall expire on
ORDINANCE NO. 94-11 PAGE 4

RINCON GAMING COM~IISSION -

October31, 1999. Thereafter, each Commissioner appointed and qualified for office shall serve

rotating, three-year terms. Commissioners may serve for more than one term but no more than three

consecutive terms.

No person or persons who have served as a Rincon Gaming Commissioner shall accept a managerial,

consultant, or executive with any management company or its subsidiaries of the gaming enterprise

for two (2) years after their service as a Gaming Commissioner.

e. Removal from Office

Commissioners may oniy be removed from office before the expiration of their terms by the Business

Committee for neglect of duty, malfeasance or committing a felony or any other criminal conviction

as set forth in Tribal Ordinance No. 94-03.

f. Quorum

Four (4) members of the Rincon Gaming Commission shall constitute a quorum or in the event that

there are not four serving Commissioners, the Gaming Commission shall convene, at a regular or

special meeting, to establish and constitute a quorum for purposes of conducting business.

g. Officers and Duties

The Gaming Commission shall select, by majority vote, a Chair, Vice-Chair and Secretary. The

Chair shall preside over meetings of the Rincon Gaming Commission and the Vice-Chair shall preside

in the absence of the Chair. The Secretary shall record in writing the minutes of all Gaming

Commission meetings and all official actions taken by the Rincon Gaming Commission. Said Officers

shall serve for one year terms and may not serve in the same position for more than two consecutive

years.

h. Voting

All actions of the Rincon Gaming Commission shall be taken by majority vote. The Commission

Chair may vote on any issue or matter pending before the full body.

i. Meetings

Meetings shall be held at least once a month, on first Tuesday of each month, unless there is an

official, declared holiday, at the Commissions office. Additional meetings shall be held as called by

the Chair or by at least two (2) Commissioners, one of whom shall be the Vice-Chair. All meetings

shall be open to the public. The Commission meeting agenda may allow for closed sessions to deal

with matters related to: personnel, litigation and negotiation.

j. Notice of Meetings

Notice of all meetings, regular and/or special, shall be given in writing and posted in three public

places, and to each Commissioner. Regular meeting notices shall be posted, at least three (3) days

prior to such meeting. Special meeting notices shall be posted at least twenty-four (24) hours prior to

such meeting. In the event of an urgency, such as a natural or man-made disaster, no advance

meeting notice is required in order to hold a meeting.
ORDINANCE NO. 94-11 PAGE 5

RINCON GAMING COM~S1ISSION

k. Compensation, Benefits and Expenses

Commissioners shall be compensated for serving on the Commission at rates to be set by the Tribal

Business Committee. Such rates shall be identical for all Commissioners. Step increases may be

allowed based upon length of service. Commissioners shall be eligible for fringe benefits which are

available to other employees of the Band to the extent the provider of such benefits qualifies

Commission positions for such benefits. Commissioners shall be reimbursed for expenses incurred in

connection with the performance of their Commission duties, subject to approval by the Tribal

Business Committee, approved Commission annual budget allocations, and in accordance with

applicable expenditure procedures. Salaries for a particular Gaming Commissioner shall not be

lowered during a Commissioners term of office unless all Commissioner salaries are adjusted for

purposes of lowering gaming enterprise expenses.

1. Powers and Duties

The Gaming Commission shall have the power and duty to:

(I) Inspect, examine and monitor gaming activities, including the power to demand access to

and inspect, examine, photocopy and audit all papers, books and records respecting such gaming

activities;

(2) Investigate any suspicion of wrongdoing in connection with any gaming activity;

(3) Conduct or cause to be conducted such investigations as may be necessary to determine in

connection with any gaming activity, compliance with law or this ordinance or any contracts,

agreements, goods, services, events, incidents, or other matters related to gaming activities;

(4) Establish and collect license, investigation, and regulatory fees to cover the costs

connected therewith;

(5) Conduct background investigations regarding any person or entity in any way connected

with any gaining activity and issue licenses to, at minimum, all qualified gaming enterprise key

employees and primary management officials under requirements at least as stringent as those

established in 25 CFR Parts 556 and 558; and grant, suspend, revoke, and renew licenses and hear

matters affecting such granting, suspension, revocation, or renewal of licenses;

(6) Hold such hearings, sit and act at such times and places, summon persons on the

reservation to attend and testify at such hearings, take such testimony, and receive such evidence as

the Gaming Commission deems relevant in fulfilling its duties;

(7) Administer oaths or affirmations to witnesses appearing before the Gaining Commission;

(8) Implement and administer a system or systems, including the development and

implementation of regulations, for investigating, licensing and monitoring management, employees,

vendors and others connected with gaining activities, as described herein, including the issuance of
ORDINANCE NO. 94-11 PAGE 6

RINCON GAMING COMMISSION

licenses to gaming facilities, individuals and entities and the verification of internal controls, as

required under this ordinance, IGRA, and any tribal-state compact or equivalent procedure prescribed

by the Secretary of the Interior;

(9) Develop and adopt rules for any class II or class III gaming activity on the Reservation,

except that rules for class Ill activities shall not be in conflict with rules, if any, adopted under any

tribal-state compact;

(10) Issue such other regulations as it deems appropriate in order to implement the provisions

of this ordinance; and

(I 1) Carry out such other regulatory duties with respect to gaming activities as the Tribal

Business Committee shall direct.

m. Annual Reports

On or before the last day of the third month after the close of Rincons fiscal year of each year, the

Gaming Commission shall provide to the Tribal Business Committee, an annual report summarizing

its activities during the prior fiscal year, and accounting for all receipts and disbursements. Such

annual report shall include an audited statement of accounting.

n. Funding

All funding of the Gaming Commission shall be in accordance with an annual budget to be proposed

to the Tribal Business Committee ninety (90) days prior to the close of the Tribes fiscal year and

modified, if necessary, and approved and funded in accordance with the tribes procedures for

approving and funding budgets for other departments and agencies of the tribal government. In

preparing the annual budget, all actual and anticipated surplus funds of the Gaming Commission shall

be taken into account. Expenditures by the Gaming Commission shall be in accordance with the

approved Commission annual budget. Changes in the approved annual budget and requests for

additional funds shall be by petition to the Tribal Business Committee, in accordance with such

procedures, if any for other tribal governmental departments and agencies.

o. Gaming Commissions Relationship to Tribal Government; Supervision of Administration

I) Agency of Tribal Government: The Tribal Gaming Commission shall be deemed to be an

agency of the tribal government and as such shall he subject to personnel and other governmental

administrative policies. The administration of all such policies shall be under the supervision of the

Tribal Business Committee. In the absence of applicable tribal personnel policies, the Gaming

Commission shall adopt its own policies governing personnel subject to approval of the Tribe.

2) Independent Decision-Making Authority

Notwithstanding the fact that the Rincon Gaming Commission is an agency of tribal government, the

decisions of the Commission regarding licensing, suitability, compliance with applicable law and

other regulatory matters shall be within the exclusive province of the Commission and shall not be

subject to appeal except as set forth herein. Any person or entity adversely affected by a ruling of the
ORDINANCE NO. 94-11 PAGE 7

RINCON GAMING COMMISSION -

Commission, including but riot limited to the gaming enterprise or any employee thereof, may petition

the Tribal Business Committee for review of such decision, which shall only be reversed by a

majority vote of the Committee at a duly held meeting at which such matter has been placed on the

agenda at least fifteen (15) days prior to such meeting.

SECTION 100.05 SEVERABILITY

If any provision or clause of this ordinance or the application thereof to any person or circumstance is

held to be unconstitutional or otherwise invalid by any court of competent jurisdiction, such invalidity

shall not affect the implemented ordinance without the invalid provision, clause or application, and to

this end the provision and clauses of this ordinance are declared to be severable.

SECTION 100.06 EFFECTIVE DATE

This ordinance shall take effect immediately when adopted by a majority vote of the Business

Committee and shall rescind, supersede and replace in its entirety any previously adopted Tribal

Ordinance governing the creation of a gaming commission.

INTRODUCED, PASSED AND ADOPTED by the Business Committee of the Rincon San Luise~o

Band of Mission Indians at its regular meeting held on the 1st day of Februa~ 1995 by the

following roll call vote:

Ayes: 5 Council Members: Chair Robert G. Calac, Vice-Chair Richard Garcia,

Ruth Calac, Patricia Duro and Gilbert Parada

Noes: 0

Abstain/Absent: 0

Date: ~7 (~

Darrell W. Gentry, Acting Recording ecretary
JuN 2 e

ORDINANCE NO. 94-O1A

GAMING ORDINANCE SETTING FORTH REGULATIONS FOR CLASS II AND CLASS

III GAMES AND OPERATIONS AND

REPEALING ALL EXISTING GAMING ORDINANCES

FOR THE RINCON, SAN LUISE~O BAND OF MISSION INDIANS

(AS AMENDED, JUNE 22, 1995)
Section 1.Title

Section 2.Findings

Section 3.Purposes

TABLE OF CONTENTS

page no.

1

General Provisions

Section 4.

Section 5.

Section 6.

Section 7.

Section 8.

Administration

Section 9.

Section 10.

Section 11.

Section 12.

Section 13.

Section 14.

2

2

3

3

4

4

4

4

4

5

5

6

11

Persons Authorizsd to Conduct Class

Gaining

Management Contracts

Hours of Operation; Notice to

Commission

II

Class III Gaming

Section 18.

Section 19.

Section 20.

Section 21.

Section 22.

Section 23.

15

15

15

16

16

17

17

Section 24 Resolution of Disputes with Gaming Public 17

Records and Audits

Section 25. Records Maintenance

Section 26. Independent Audits

17

18

Enforcement and Validity of Ordinance

Section 27. Enforcement

Section 28. Severability

Section 29. Effective Date of Ordinance; Repeal of

Prior Ordinances

Definitions

Gaming Authorized and Regulated. .

Use of Revenues from Class II and Class

III Gaming Activities

Gaming Facilities

Minors, Employees Prohibited

Tribal Gaming Commission

Licensing

License Fees

License Validity: Effective Period and

Place

License: Qualifications and

Requirements

License Suspension and Revocation .

Class II Gaming

Section 15.

Section 16.

Section 17.

13

13

14

15

Compliance with Applicable Law

Authorized Ownership and Operation

Regulation and Inspection .

Hours of Operation

Games Permitted

Management Contracts

18

18

19

19
ORDINANCE NO. 94-O1A

GAMING ORDINANCE SETTING FORTH REGULATIONS FOR CLASS II AND CLASS

III GAMES AND OPERATIONS AND REPEALING ALL EXISTING GAMING

ORDINANCES FOR THE RINCON, SAN LUISENO BAND OF MISSION INDIANS

(AS AMENDED, JUNE 22, 1995)

Section 1.Title

This Ordinance shall be known as the Rincon San Luiseflo Band of

Mission Indians Gaming Ordinance.

Section 2 .

The Business Committee of the Rincon San Luise?to Band of Mission

Indians finds that:

A.The Rincon Business Committee is empowered by its Articles of

Association, as amended and approved August 21, 1969, to enact

ordinances within the jurisdiction of the Rincon San Luise?io Band

of Mission Indians.

B.It is essential to the health, safety and general welfare of

the Rincon San Luisefio Band of Mission Indians and the visitors

to the Rincon Reservation that standards and regulations be

promulgated to govern the conduct of gaming activities on Rincon

Indian Lands.

Section 3 .

The purposes of this Gaming Ordinance are to:

A.Provide standards and regulations governing the conduct of

gaming activities on Rincon Indian Lands;

B.Promote tribal economic development;

C.Enhance employment opportunities for tribal members;

D.Strengthen the economy of the Rincon San Luiseæo Band of

Mission Indians; and

E.Generate revenue for use in improving the health, education and

general welfare of enrolled members of the Rincon San Luiseæo

Band of Mission Indians.

1
I. General Provisions

Section 4. Definitions

1. Act or I.G.R.A. means the Indian Gaming Regulatory

Act, 25 U.S.C. § 2701 et seq.

2. Business Committee means the Rincon Business

Committee, governing body of the Tribe.

3. Class II Gaming means all forms of gaming which are

defined as Class II Gaming in the Indian Gaming Regulatory Act,

P.L. 100-497 (1988), codified at 25 U.S.C. §~ 2701-2721, and

accompanying federal regulations.

4. Class III Gaming means all forms of gaming that are

defined as Class III Gaming in the Indian Gaming Regulatory

Act, Pub.L. No. 100-497 (1988), codified at 25 U.S.C. §~ 2701-

2721, and accompanying federal regulations.

5. Compact means any Compact by and between the Tribe

and the State of California setting forth an agreement for

operation of Class III gaming on Rincon Indian Lands.

6. Entity means 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.

7. Gaming Commission means the Rincon Gaming Commission,

established and empowered pursuant to Ordinance No. 94-il and

this Ordinance.

8. Indian Lands or Rincon Indian Lands means all lands

within the limits of the Rincon Indian Reservation; or any lands

title to which is either held in trust by the United States for

the benefit of the Tribe or individual Tribal member or held by

the Tribe or individual Tribal member subject to restriction by

the United States against alienation, and over which the Tribe

exercises governmental power.

9. Key Employee is defined as in 25 C.F.R. §502.14, as

may be amended from time to time. ~

10. Net Revenues means gross gaming revenues of the

Tribes gaming operation less (i) amounts paid out as, or paid

for, prizes and (ii) total gaming-related operating expenses,

excluding management fees.

2
11. Ordinance means this Rincon San Luiseæo Band of

Mission Indians Gaming Ordinance.

12. Ordinance No. 94-11 means that certain Ordinance of

the Business Committee of the Rincon San Luiseæo Band of Mission

Indians Establishing the Rincon Gaming Commission, as adopted by

the Business Committee on February 1, 1995.

13. Person means any individual, receiver, administrator,

executor, assignee, trustee in bankruptcy, trust, estate, firm,

partnership, joint venture, club, company, joint stock company,

business trust, corporation, association, society, or any group

of individuals acting as a unit, whether mutual cooperative,

fraternal or nonprofit doing business within Indian Lands. The

Tribe is not within the definition of person.

14. Primary Management Official is defined as in 25

C.F.R. §5O2.l9,asmaybeamended~from timetotime. )

15. Tribal gaming facility or Gaming facility means any

location where Class II or Class III gaming is conducted.

16. Tribal gaming operation means any Class II or Class

III gaming operation conducted on Rincon Indian Lands.

17. Tribe or Tribal means or refers to the Rincon San

LuiseFio Band of Mission Indians, its agencies and officials.

Section 5. Gaming Authorized and Regulated

A. Class II gaming and Class III gaming are authorized on

Indian Lands. Class II gaming and Class III gaming shall be

regulated by the Gaming Commission and shall only be operated

consistent with the provisions of this Ordinance, Ordinance No.

94-11, the Act and regulations promulgated by theNationàl Indian

Gaming Commission pursuant to the Act.

Section 6. Use of Revenues from Class II and Class III Gaming

Activities

A. Net revenues from Class II and Class III gaming

activities shall be used only to:

1. fund tribal government operations or programs;

2. provide for the general welfare of the Tribe and

Tribal members, including education, health and safety;

3. promote economic development within the Rincon

Indian Reservation, including job creation and training,

infrastructure improvement and resource management;

3
4. fund operations of local tribal government

agencies providing services, programs, and/or assistance to

Rincon residents; and/or

5. donate to charitable and/or nonprofit

organizations.

B. The Business Committee may elect to authorize the

distribution of per capita payments to Tribal members pursuant tQ

guidelines established and adopted by the Business Committee and

consistent with applicable federal law.

Section 7. Gaming Facilities

A. To ensure that the environment and the public safety

and welfare are adequately protected, each gaming facility shall

be constructed and maintained in compliance with applicable

tribal and federal laws, including but not limited to fire codes,

safety codes and building codes.

B. Each gaming facility shall be subject to inspection to

insure compliance, annually or on such basis as the Tribal

Building inspector, or if none, Business Committee determines

necessary and appropriate.

Section 8. Minors, Employees Prohibited

1. No person under the age of 18 years shall be

permitted to play any Class II or Class III game.

II. Administration

Section 9. Tribal Gaining Commission

A. Establishment and Composition

The Gaming Commission is established and composed

pursuant to Ordinance No. 94-11.

B. Duties and Powers

The Gaming Commission shall continue to have the duties and

be empowered pursuant to Ordinance No. 94-11. In addition, the

Gaming Commission shall administer the provisions of this

Ordinance and shall have all additional powers necessary

there for.

Section 10. Licensing

A. Authority to License

4
1. The Gaming Commission shall have the authority to

license and regulate Class II and/or Class III gaming on Indian

Lands which is now, or may hereafter, be permitted pursuant to

the terms of this Ordinance, Ordinance No. 94-11, the Act and/or

any applicable Compact.

B. Types of Licenses to be Issued

The Gaming Commission shall issue the following licenses for

gaming on Indian Lands subject to its authority to license and

regulate:

1. Primary Management Official License

2. Key Employee License

3. Other Licenses necessary and appropriate

Section 11. License Fees

A. Any person making application for a tribal gaming

license pursuant to this Ordinance shall submit his or her

application, and required forms and information, as set forth by

the Gaming Commission, pursuant to this Ordinance, together with

an application fee as prescribed by the Gaming Commission.

B. A licensee shall, at least sixty (60) days prior to the

expiration of the license, make application for renewal with the

Gaming Commission, and shall submit the application and required

forms and information together with a renewal fee prescribed by

the Gaming Commission.

C. The Gaming Commission shall waive any fees prescribed

by it in appropriate circumstances, including cases where so

directed by the Business Committee.

Section 12. License Validity: Effective Period and Place

A. Period Tribal gaming licenses shall be valid and

effective for a period of one year from the date of issue, unless

same is sooner suspended or revoked for cause after notice and

hearing, pursuant to this Ordinance. The effective date and

period shall be stated on the face of the license.

B. Place

1. A tribal gaming license shall be valid for one (1)

facility or location only, and the location shall be identified

on the face of the license.

5
2. If a person or entity desires to be employed with,

or operate, more than one gaming location, a separate gaming

license must be obtained for each separate facility or location.

C. Facility License A separate tribal gaming license

shall be issued to each place, facility or location on Indian

Lands where gaming is allowed in accordance with this Ordinance.

Section 13. License: Qualifications and Recruirements

A. General

1. An application to receive a tribal gaming license

or to be found suitable to receive a tribal gaming license shall

not be granted unless the Gaming Commission is satisfied, after

review of a background investigation that such applicant is:

a. A person of good character, honesty and

integrity;

b. A person whose prior activities, criminal

record, if any, reputation, habits and associations do not pose a

threat to the public interest of the Tribe, its members or to the

effective regulation of gaming, or create or enhance the dangers

of unsuitable, unfair or illegal practices and methods and

activities in the conduct of gaming or the carrying on of the

business and financial arrangements incidental thereto; and

c. In all other respects is qualified to be

licensed or found suitable consistent with this Ordinance.

d. An application to receive a tribal gaming

license or to be found suitable constitutes a request for a

determination of the applicants general character, integrity and

ability to participate or engage in, or be associated with

gaming. Any written or oral statement made in the course of an

official proceeding of the Gaming Commission or the National

Indian Gaming Commission established pursuant to 25 U.S.C. §

2704, by any member thereof or any witness testifying under oath

which is relevant to the purpose of the proceeding is absolutely

privileged and does not impose liability for defamation or

constitute a ground for recovery in any civil action.

B. Primary Management Officials, Key and Other Employees;

Requirements

1. No person shall be licensed by the Gaming

Commission for employment by a gaming enterprise operated on

Indian Lands who:

a. Has been convicted of or who has pled guilty

or nob contendere to any felony, gambling offense, or other

6
offense involving moral turpitude (that misdemeanors

committed before such persons 18th birthday shall not act to bar

his/her employment); or

b. Is under the age of 18, except that no

person shall be licensed by the Gaming Commission for employment

as a Primary Management Official or Key Employee who is under the

age of 21.

2. No person shall be employed as a Primary

Management Official or Key Employee in a Class II or Class III

gaming activity who:

a. Has not first applied for and obtained a

tribal gaming license pursuant to this Ordinance.

b. Is ineligible for fidelity bonding or similar

insurance covering employee dishonesty.

3. Upon request of a gaming operation, the Gaming

Commission may issue a temporary gaming license to a Key Employee

or Primary Management Official after receipt of a completed

license application, as prescribed by paragraph C. of this

Section 14, unless grounds sufficient to disqualify the applicant

for licensing are apparent on the face of the application. The

holder of a temporary gaming license shall enjoy the privileges

and be subject to the conditions of an annual license. A

temporary license shall expire and become void and of no effect

upon a final determination of the applicants qualifications to

hold an annual license or ninety (90) days after the issuance of

the temporary license, whichever is sooner. A temporary license

shall clearly state on its face that the license is temporary.

4. Every person employed at a gaming facility

operated on Indian Lands shall wear an identification badge which

conspicuously states the place of employment, the full name and

photograph of the person and their position of employment.

C. Primary Management Officials and Key Employees; License

Application, Notices

1. The Gaming Commission shall require that Primary

Management Officials and Key Employees make application f or a

tribal gaming license on a form specified by the Gaming

Commission.

2. The application form shall include the following

notices:

a. Privacy Notice

7
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 ~ ~q. 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

the 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 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.

b. 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 (U.S.

Code, Title 18, section 1001)

3. a. All applicants to the Gaming Commission shall

be required to sign an acknowledgement of receipt and reading of

the Privacy Notice and Notice Regarding False Statements, which

shall be placed on the same page immediately following the

Notice.

b. The Gaming Commission shall notify in writing

existing Key Employees and Primary Management Officials subject

to tribal licensure that they shall either:

(1) Complete a new application form that

contains a Privacy Act notice and a

Notice Regarding False Statements; or

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(2) Sign a statement that contains the

Privacy Act notice and consent to the

routine uses described in that notice

and a statement that contains the Notice

Regarding False Statements.

4. The tribal gaming license application shall at

minimum require the following information:

(1) Full name, other names used (oral or

written), social security numbers(s), birth

date, place of birth, citizenship, gender,

all languages (spoken or written)

(2) 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;

(3) 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 (a) (2) of this

section;

(4) Current business and residence telephone

numbers;

(5) A description of any existing and previous

business relationships with Indian tribes,

including ownership interests in those

businesses;

(6) A description of any existing and previous

business relationships with the gaming

industry generally, including ownership

interests in those businesses;

(7) 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;

(8) 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;

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(9) For each misdemeanor conviction or ongoing

misdemeanor (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;

(10) 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

(a) (8) or (a) (9) of this section, the

criminal charge, the name and address of the

court involved, and the date and disposition;

(11) 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;

(12) A photograph;

(13) Fingerprints consistent with procedures

adopted by the Tribal police or the Gaming

Commission consistent with 25 C.F.R. §

522.2(h). Fingerprints shall be taken by the

Sheriff of San Diego County, California,

pursuant to intergovernmental agreement with

the Tribe, and shall be sent directly to the

National Indian Gaming Commission by the law

enforcement agency taking the fingerprints;

and

(14) Any other information the Gaming Commission

deems relevant.

D. Primary Management Officials and Key Employees;

Background Investigation; Report

1. The Gaming Commission shall conduct, or cause to

be conducted by an investigator appointed by it, a background

investigation for each Primary Management Official and Key

Employee. The investigation shall include, at minimum:

a. Verification of all information on the

application;

b. Interviews of current and prior employers and

immediate supervisors for the preceding five (5) years;

c. Interviews of all personal references;

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d. Obtaining a criminal history record; and

e. An interview with the applicant.

2. The investigator shall be required to make written

report to the Gaming Commission of the investigation, including

therein the steps taken in conducting the investigation, the

names, addresses and relationship to the applicant of all persons

interviewed, the information obtained from persons interviewed

regarding the applicants reputation, habits and associations and

the apparent candidness (or lack thereof) of the persons, and any

other information garnered or learned about the applicant and the

source of the information, and shall particularly identify all

potential problem areas and sources of the information.

3. The Gaming Commission shall review the report and

any additional information known to it and make a determination

of whether the applicant is eligible, meets the requirements for

employment and is suitable or poses a threat to the public

interest or to the effective regulation of gaming or creates or

enhances the dangers of unsuitable, unfair or illegal practices

and methods and activities in the conduct of gaming, particularly

identifying all potential problem areas and disqualifying

information.

4. The Gaming Commission shall create a report, that

at minimum identifies and describes the steps taken in conducting

the investigation, the results obtained, the conclusions reached

and the basis for these conclusions.

5. The Commission shall not issue a license to any

applicant who is not eligible and/or does not meet the

requirements for employment as a Primary Management Official or

Key Employee.

6. Following its determination and prior to issuance

of a license to an applicant determined to meet the requirements,

the Gaming Commission shall forward to the National Indian Gaming

Commission, no later than 60 days after a Primary Management

Official or Key Employee begins work or 60 days after National

Indian Gaming Commission approval of this Ordinance, the

investigative report and a copy of the eligibility determination.

The Gaming Commission may forward the investigative report and a

copy of the eligibility determination of applicants denied

licensure, and shall notify the National Indian Gaming Commission

of its decision not to license an applicant.

Section 14. License Suspension and Revocation

A. Suspension and Revocation

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A license issued by the Gaming Commission shall be

suspended, without prior notice, if the National Indian Gaming

Commission notifies the Tribe that a Primary Management Official

or Key Employee does not meet the standards established and set

forth herein pursuant to the Act and federal regulation. After

notice and hearing the Gaming Commission may revoke such license.

B. Suspension and Revocation Notice and Hearing

1. The Gaming Commission shall promptly notify in

writing any tribal licensee whose license has been suspended and

may be revoked and shall include in said notice:

a. The effective date of the suspension and

proposed revocation;

b. The reason(s) for the suspension and proposed

revocation;

c. The right of the licensee to appear before

the Gaming Commission, at a specified date, time and place, to

challenge the suspension and proposed revocation.

2. A copy of the revocation or reinstatement decision

shall be promptly sent to the licensee and to the National Indian

Gaming Commission.

C. Revocation Hearing

1. A tribal licensee may appeal the revocation of

his/her license to the Business Committee by sending a written

notice of appeal of the revocation to the Business Committee and

the Gaming Commission no later than 10 days after the licensee

receives notice that his/her license has been revoked. The

notice of appeal shall clearly state the reason(s) why the

licensee believes his/her license should not be revoked.

2. Upon receipt of the notice of appeal of the

license revocation, the Business Committee shall schedule a

revocation appeal hearing. Written notice of the time, date and

place of the hearing shall be delivered to the licensee no later

than five days before the scheduled date of the hearing.

3. The licensee and the Gaming Commission may be

represented by legal counsel at the revocation appeal hearing.

The licensee and the Gaming Commission may present witnesses and

evidence in support of their respective positions and may examine

witnesses and evidence presented by the opposing side.

4. A copy of the Business Committees decision

regarding the revocation of a license shall be sent to the

-

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licensee, Gaming Commission and National Indian Gaming

Commission.

D. Application for Relicensing

No person or entity whose Class II or Class III tribal

gaming license has been revoked shall be eligible for a new

license until 12 months after the effective date of the

revocation.

III. Class II Gaming

Section 15. Persons Authorized to Conduct Class II Gaming

1. All Class II gaming conducted on Indian Lands

shall be conducted in compliance with applicable law, rules and

regulations of any governmental authority with jurisdiction.

2. The Tribe shall retain and have sole proprietary

interest in all Class II gaming. A person or entity may own,

operate or conduct a Class II gaming activity on Indian Lands

only if that person or entity has first been authorized by the

Business Committee, received a license to conduct a Class II

gaming activity from the Gaming Commission and otherwise complies

with this Ordinance.

3. Subject to subparagraphs (1) and (2) above, the

Gaming Commission may license a Class II gaming activity owned in

whole or in part, by a person or entity other than the Tribe,

provided that no license may be issued to such a person or entity

unless the person or entity has first expressly agreed, and

commemorated in writing on a form prescribed by the Gaming

Commission, that:

a. The gaming activity shall be subject to the

provisions of this Section and this Ordinance;

b. Not less than sixty (60%) percent of the Net

Revenues from the gaming activity shall be income to the Tribe;

c. The person(s) who own the gaming activity or

entity:

(i) is (are) eligible to receive a license

from the State of California to conduct the same gaming activity

on lands subject to the states jurisdiction; and

(ii) shall pay an appropriate assessment to

the National Indian Gaming Commission for the regulation of the

gaming activity, as required by 25 U.S.C. § 2717 (a) (1).

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4. a. A license to own or operate a Class II gaming

establishment shall not be granted unless the applicant has

satisfied the Gaming Commission that:

(i) he has adequate business probity and

experience in gaming; and

(ii) the proposed financing of the operation

is adequate for the nature of the proposed operation and from a

suitable source. Any lender or other source of money or credit

which the Gaming Commission finds does not meet the standards set

forth in Section 13(A) (1) may be deemed unsuitable.

b. The Gaming Commission may in its discretion

grant a license to a corporation which has complied with the

provisions of this Ordinance.

c. The Gaming Commission may in its discretion

grant a license to a limited partnership which has complied with

the provisions of this Ordinance.

d. No person or limited partnership, except one

whose sole limited partner is a publicly traded corporation which

has registered with the Gaming Commission, or business trust

organization or other association of a quasi corporate character,

is eligible to receive or hold any license, or be a licensee or

operator under this Ordinance unless all persons having any

direct or indirect interests therein of any nature whatsoever,

whether financial, administrative, policy making or supervisory,

are individually qualified to be licensed under the provisions of

this Ordinance.

e. The Gaming Commission may limit the number of

persons who may be financially interested in any corporation or

other organization or association licensed under this Ordinance,

and consistent with 25 U.S.C. § 2701 et seq and establish such

other qualifications for licenses as they may, in their

discretion, deem to be in the public interest and consistent with

the declared policy of the Tribe.

6. Income to the Tribe from the gaming activity shall

only be used for the purposes described in Section 6 of this

Ordinance.

Section 16. Management Contracts

The Tribe may enter into a management contract for the

operation and management of Class II gaming activities. Each

such contract must comply with the provisions of this Ordinance,

other applicable provisions of tribal law (including, but not

limited to, tribal employment preference laws), and provisions of

federal law (including, but not limited to, 25 U.S.C. § 2711)

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Section 17. Hours of Operation; Notice to Commission

A. Class II gaming may be conducted 24 hours a day, seven

days a week, subject to approval by the Gaming Commission.

B. Prior to operation of Class II gaming or any change in

hours of operation, the operator shall:

1. Notify the Gaming Commission of the proposed hours

and days its facility will be open, and the hours and days gaming

will be conducted.

2. The proposed schedule shall be approved unless the

Gaming Commission notifies the owner or operator of its objection

within 15 days of its receipt of the proposed schedule.

3. If the Gaming Commission makes objection, it shall

state its reasons and the changes necessary, and the proposer may

submit a revised proposal accommodating the Gaming Commissions

objections, or may request an opportunity to rebut the

objections.

a. Submission of a revised schedule,

incorporating and accommodating the objections, shall be deemed

approved upon its submission.

b. If an opportunity to rebut is requested, a

conference shall be set within fifteen (15) days. The Gaming

Commission shall issue its decision, which shall be final and not

subject to further appeal, within fifteen (15) days of the

conference.

IV. Class III Gaming

Section 18. Compliance with Applicable Law

All Class III gaming conducted on Indian Lands shall be

conducted in compliance with applicable laws, rules and

regulations of any governmental authority with jurisdiction, and

with any applicable Compact.

Section 19. Authorized Ownership and Operation

A. The Tribe may own and operate one or more Class III

gaming facilities on Indian Lands and shall retain and have sole

proprietary interest in Class III gaming operations.

B. Persons or entities other than the Tribe may own and

operate Class III gaming on Indian Lands only if, and to the

extent, authorized by the Business Committee.

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C. 1. No Class III gaming shall be conducted unless all

required licenses shall have first been applied for and obtained,

pursuant to applicable laws, rules and regulations.

2. Nothing in this paragraph shall be deemed to

require the Tribe to apply for or obtain a license to conduct

Class III gaming.

D. For each Class III gaming facility, the owner shall

submit its proposed operational plan to the Gaming Commission,

which shall receive approval if:

1. the proposed facility is in compliance with safety

requirements of this Ordinance; and

2. the Class III gaming operation proposal complies

with all applicable laws, rules and regulations and with any

applicable Compact.

Section 20. Regulation and Inspection

A. The Gaming Commission shall adopt all necessary and

appropriate rules and regulations for Class III gaming, which may

include but not be limited to:

1. Game rules and conduct;

2. Public display of rules requirements;

3. Facility patron safety and security requirements;

4. Permitted Games Specifications and Requirements;

and

5. Background investigations, application and release

forms.

B. Class III facilities shall be open at all usual

business hours for inspection by the Gaming Commission.

Section 21. Hours of Operation

A. Class III gaming may be conducted 24 hours a day, seven

days a week, subject to approval by the Gaming Commission, as is

applicable.

B. The gaming operation shall submit, and. the Gaming

Commission may approve, proposed hours of operation unless the

proposed hours pose a risk to the health, welfare or safety of

the public.

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Section 22. Games Permitted

A. Any Class III game or games permitted pursuant to the

Compact may be conducted at. a Class III gaming facility, subject

to applicable laws, rules and regulations.

B. Any Class III game which is herebefore or hereafter

permitted on Indian Lands under federal law or amendments

thereto, may be conducted at a Class III gaming facility subject

to applicable laws, rules or regulations.

Section 23. Management Contracts

The Business Committee may enter into a management contract

on behalf of the Tribe for the operation and management of Class

III gaming activities. Each such contract must comply with the

provisions of this Ordinance, applicable tribal law (including,

but not limited to, tribal employment preference laws), and

applicable federal law (including, but not limited to, 25 U.S.C.

§ 2711)

Section 24. Resolution of Disputes with Gaming Public

Disputes between the gaming public and a gaming operation, which

involve Class II and/or Class III gaming, shall be resolved by

the Gaming Commission. Hearing shall be held within twenty (20)

days of a written complaint filed by a member of the gaming

public. The Gaming Commission shall adopt and publish guidelines

and procedures for such hearings. A final Commission decision

may be appealed to a court of competent jurisdiction.

V. Records and Audits

Section 25. Records Maintenance

A. Each gaming facility shall maintain accurate and up-todate records for each gaming activity conducted.

Records shall include records of:

1. all financial transactions;

2. personnel;

3. complaints of patrons;

4. facility in-house investigations of any kind;

5. incidents and accidents;

6. actions by facility against players or facility

visitors;

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7. actions by facility against or in reprimand of

employees; and

8. any additional records required by the Gaming

Commission.

Section 26. Independent Audits

A. 1. Gaming Activities

The Business Committee shall cause an audit to be conducted

each year on all Class II and Class III gaming activities

licensed or conducted on Indian Lands. Such audit(s) shall be

conducted by an independent auditing firm, selected at the sole

discretion of the Business Committee. However, nothing in this

paragraph shall prohibit the annual audit of tribal gaming

activities from being encompassed within the Tribes existing

audit system.

B. Contracts for Supplies, Services or Concessions

Each contract for supplies, services, or concessions with a

contract amount in excess of $25,000 annually (except contracts

for professional legal or accounting services) relating to a

Class II or Class III gaming activity shall be subject to the

independent audit required by subparagraph (A), above.

C. Audit Report to be Provided to National Indian Gaming

Commission The Business Committee shall furnish a copy of each

annual gaming activities audit report to the National Indian

Gaming Commission, as required by 25 U.S.C. § 2710(b) (2) (C).

VI. Enforcement and Validity of Ordinance

Section 27. Enforcement

If any person or entity fails or refuses to pay a monetary

penalty or administrative fine imposed by the Gaming Commission,

or otherwise fails to comply with final action of the Gaming

Commission, and such person has failed to timely commence an

appeal of the imposition or action before the Business Committee

or the Business Committee has upheld the imposition or action,

the Tribe may proceed to collect the assessment or enforce the

action by initiating a civil action against the person or entity

in any court of competent jurisdiction. In a civil action, the

validity and amount of any monetary penalty or administrative

fine imposed by the Gaming Commission shall not be subject to

judicial review. The Tribe shall be entitled to all remedies in

law or in equity that are available to civil litigants generally.

The provisions of this Section 27 shall in no way limit the

remedies at law or in equity otherwise available to the Tribe.

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Section 28. Severability

If any provision or provisions in this Ordinance are held

invalid by a court of competent jurisdiction, this Ordinance

shall continue in effect as if the invalid provision(s) were not

a part hereof.

SectIon 29. Effective Date of Ordinance; Repeal of Prior

Ordinances

A. This Ordinance shall take effect upon adoption by the

Business Committee.

B. All prior ordinances regulating gaming on the Rincon

Reservation, with the exception of Ordinance No. 94-11, are

repealed upon effectuation of this Ordinance.

CERTIFICATION

The foregoing Rincon San Luise?io Band of Mission Indians

Gaming Ordinance was INTRODUCED, PASSED AND ADOPTED by the

Business Committee of the Rincon San Luiseæo Band of Mission

Indians at a meeting duly held on 6/22/95 , 1995 by the

following call vote:

Ayes: 5 Committee Members:

Noes: 0 Committee Members:

Abstain/Absent: 0 Council Members:

ATTEST: 11 DATE: 6/23/95

frMLQ~V/~3thZ/ dawnnconord

DARRELL W GENTRY,

ACTING TRIBAL SECRETARY

19