Pala Band Of

Mission Indians

P.O. Box 43

Pala, California 92059-0043

(619) 742-3784

~ESOLUTION t~ 9410

PALA BAND OF MISSION INCIANS GAMING ORDINANCE

WHEREAS, the Pala Band of Mission Indians is a federally recognized tribe

with the inherent sovereignty and duty tc regulate the territory of

the Band and the activities and transactions occurring within the

exterior boundaries o~ the Pala Indian Reservation, and;

WHEREAS, the Pala Band of Mission Indians is concerned about the health and

welfare of its members, the lack of economic opportunity on the Pala

Indian Reservation, and;

WHEREAS, Tribal Government Gaming on the Pala Reservation will alleviate some

oc the concerns of the Pala Tribe

NOW THEREFORE BE IT RESOLVED that the General Council authorizes the Executive

Committee to execute the Pala Band of Mission Indians Gaming Ordinance,

Resolution ~ 94-0.

NOW BE IT FURTHER RESOLVED that t~e Pala Executive Committee is authorized to

initiate all actions necessary to execute the Ordinance.

CERTIFiCATION

This is to certify that the above resolution was duly adopted at the General

Council meeting of the PaIA Band of Mission Indians held on April 13, 1994, by

a vote of 28 in favor 0 Øp~osed wit!~ 31 members present. This resolution has

not be~-.iescinded or ame~n~ed in any way.

~L~J~ Rc ~rt H Smith, Chairman Doreen Koib, Vie-Chairperson

Stanley H. McGarr, Secretary

M~2~Zja~,Co~e*

tZ:Zt~ 9_~flM6

01ç~i~!U~.) ~

NtO

U3M33B~

Theressa Villa, Treasurer

Q~A~

LeeAnn Hayes, Committee

~~4~)
PALA BAND OF MISSION INDIANS OF T~E PALA INDIAN RESERVATION

GAMINq ORDINANCE

I. Puirpo~e

The Pala Band of Mission ndians of the Pala Indian

Reservation, as the beneficial owner of the Pala Indian

Reservation, and acting pursuant to its Constitution in the

exercize of it.s inherent sovereign power to enact ordinances and

otherwise safeguard and provide for the health, safety and welfare

of the Pala Indian Reservation and the members of the Pale Band of

Mission Indians, hereby ordains and establishes this Ordinance for

the purpose of authorizing and comprehensively and preemptively

regulating the terms and conditions under which Class II and Class

III gaming may be conducted within t.he boundaries of the Pala

Indian Reservation.

II. Gaming Aut1~orize~

A. Class II gaming as defined in the Indian Gaming Regulatory

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

regulations lawfully promulgated by the National Indian Gaming

Conmtission (~NtGC) that now or hereafter may be in effect is

hereby authorized.

B. Class III gaming as defined in IGRA, 25 U.S.C. Section

2703(8) and by regulations promulgated by the NIGC that now or

hereafter may be in effect is hereby authorized, provided such

gaming is also authorized by and consistent with a TribalState

Compact that has been approved by the Secretary of the Interior and

is in effect, or otherwise has been authorized by the Secretary of

the Interior or federal law.

111. Ownership of Gaming Facili~ieB and/or

The Pala Band of Mission Indians of the Pala Indian

Reservation shall have the sole proprietary interest in and

responsibility for the conduct of any gaming facilities and/or

enterprise(s) authorized by this ordinance.

IV. U~se o~f Gaming ~pvenua

A. Except as specifically authorized pursuant to Subsection

B of this Section, net revenues from Class II and Class III gaming on the Pala Indian Reservation shall be used only for the following

purposes:

1) to fund Pala Indian Reservation tribal government

operations and programs;

2) provide for the general welfare of the Pala Band of

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APR121994 e8:55 FROM c~~EXANDER&KARSHMER TO 16197421411640 P.@2

Mission Indians of the Pala Indian Reservation and its

members;

3) promote Pa]a Indian Reservation economic development;

4) donate to charitable organizations; or

5) help fund operations of local government agencies.

B. If the Pala Band of Mission Indians Executive Committee

elects to make per capita payments to Pala Band of Mission Indians

members, it shall authorize such payments only in conformity with

a plan submitted to and approved by the Secretary of the Interior

pursuant to 25 U.s.c. §272.0(b) (3).

V. Audi~t

A. The Pala Band of Mission Indians ~xecutive Committee

shall cause to be conducted at least annually an independent audit

of all gaming operations and shall submit the resulting audit

reports to the National Indian Gaming Commission, and to such other

agencies as may be required by the terms and conditions of any

Class III compact or other document authorizing Class III gaining on

the Pala Indian Reservation.

B. All gaming-related contracts that result in the purchase

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

annually, except contracts for professional legal and accounting

services, shall be specifically included within the scope of the

audit that is described in Subsection A above.

VI. Protection of the Enviroumezit and.P~lic Health and Safety

Class II and Class III gaming facilities on the Pala Indian

Reservation shall be constructed, maintained and operated in a

manner that adequately protects the environment and the public

health arid safety, with the Pala Band of Mission Indians Executive

Committee having primary responsibility for assessing the

environmental impact of all construction and gaining operations, and

taking such measures as it determines may be reasonably necessary

to mitigate any adverse environmental impacts as it may identify.

VII. Licon~e~ for~E,~~p1oyees and PrimarY ~(apagsmnt Officials

The Pala Band of Mission Indians Executive Committee or its

designated gaming regulatory agency shall ensure that the policies

and procedures set out in this section are implemented with respect

to key employees and primary management officials employed at any

class II and/or Class III gaming ontorprise operated on Indian

lands within the boundaries of the Pala Indian Reservation:

A. Definj.tion5

For the purposes of this section, the following

definitions apply:

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1. 1~ev em~lovee means

(a) A person who performs one or more of the

following functions:

(1.) Bingo Caller;

(2) Counting Room Supervisor

(3) Chief of Security

(4) Custodian of gaining supplies or cash;

(5) Floor Manager

(6) Pit Boss

(7) Dealer

(8) Croupier

(9) Approver of Credit; or

(10) Custodian of gambling devices

including persons with access to

cash and accounting records within

SUCh devices;

(b) tf not otherwise included, any other

person whose total cash compensation is

in. excess of $50,000 per year; or

(C) If not otherwise included, the four moat

highly compensated persons in the gaming

operation.

2. Primary

(a) The

~

person having management

responsibility for a management contract;

(b) Any person who has authority:

(1) To sire and fire employees; or

(2) To set up working policy for the

gaming operation; or

(c) The chief financial officer or other

person who has financial management

responsibility.

B. Application

1. The following notice shall be placed on the

application form of a key employee or a primary management official

before that form i~ filled out by au applicant:

In compliance with the Privacy Act of 1974, the following

information is pravided: Solicitation of the information

on

The

this

purpose

form

of

is

the

authorized

requested

by

information

25 U.S.C.

is

52701

to determine

~

the eligibility of individuale to be employed in a ~

3
flI~ I  , ~I_~ I III~I II Iad~, .1 II II S .~tw r ca_i

operation. The information will, be used by National

Indian Gaming Commission members and staff who have need

for the information in the performance of their official

duties. The information may be disclosed to appropriate

Federal, Pala Band of Mission Indians Executive

Committee, State, local, or foreign law enforcement and

regulatory agencies when relevant to civil, criminal or

regulatory lnvestigations or prosecutions, or when

pursuant to a requirement by a tribe or the National

Indian Gaming Caaission 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 SSI~ may result

in errors in processing your application.

2. Existing key employees and primary management

officials shall be notified in writing that they shall either:

a. Complete a new application form that contains a

Privacy Act notice; or

b. Sign a statement that contains the Privacy Act

notice and consent to the routine uses described in

that notice.

3. The following notice shall be placed on the

application form for a key employee or a primary official before

that form is filled out by an applicant:

A false statement on any part of your application

may be grounds for not hiring you, or for firing

you after you begin work. Also, you may be

punished by fine or imprisonment.

(18 U.S.C. §1001).

4. The Pala Indian Reservation Executive Committee or

itc designated gaming regulatory agency shall notify in writing

existing key employees and primary management officials that they

shall either:

a. Complete a new application form that contains a

notice regarding false statements; or

b Sign a statement that contains the notice regarding

false statements.

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APR111994 16:34 FRUM ~

C. Backcrgund Investigations

1. The Pale Band of Mission Indians Executive Committee

or its designated gaming regulatory agency shall request from each

primary management official and from each key employee aU. of the

following information:

a. PLal name, other n~me~ used (oral or written),

Social Security number(s), birth date, place of

birth, citizenship, gender, all languages spoken or

writteLz~ -

b. Currently and for the previous five years: all

business and empluynient positions held, ownership

interests in those businesses, business and

residence addresses, and drivers license numbers;

C. The names and current addresses of at least three

personal references, including one personal

reference who was acquainted with the applicant

during each period of residence listed under

paragraph (1)(b) of this Subsection;

d, Current business and residence telephone numbers;

e. A description of any existing and previous business

relationships with the Pala Band of Mission Indians

or any other Indian Tribe, including ownership

interests in those businesses;

f. A description of any existing and previous business

relationships with the gaining industry generally,

including ownership interests in those businesses;

g. The name and address of every licensing or

regulatory agency with which the person has filed

an aplication for a license or permit related to

gaming, whether or not such license or permit was

granted;

h. For each felony for which there is an ongoing

prosecution or a conviction, the charge, the name

and addrees of the court involved, and the date and

disposition if any;

i. For each misdemeanor conviction or ongoinq

misdemeanor prosecution (excluding minor traffic

violations) within ten years of the date of the

application, the name and address of the court

involved and the date and disposition;

j. Per each criminal charge (excluding minor traffic

S
charges), whether or not there is a conviction, if

such criminal charge is within ten years of the

data of the application and is not otherwise listed

pursuant to paragraph (l)(h) or (1)(i) of this

Subsection, the criminal charge, the name and

address of the court involved and the date and

disposition;

k. The name and address of each licensing or

regulatory agency with which the person has filed

an application for an occupational license or

permit, whether or not such license or permit was

granted;

1. A current photograpn;

in. Any other iflIQrluatiofl the Pala Band of Mission

Indians Executive Co~nittee may deem relevant under

the circumstances; and

n. Fingerprints consistent with procedures adopted by

the Pala Band of Mission Indians Executive

Conunittee or its designated g~inirTg regulatory

agency in accordance with 25 C.F.R. S522.2(b).

2. The Pala Band of Mission Lndians Executive Coumtittee

or its designated gaming regulatory agency shall conduct an

investigation sufficient to make a determination under Subsection

D. below. In conducting a background investigation, t~e Pala sand

of Mission Indians Executive Coitmittee or its agent(s) shall

promise to keep confidential the identity of each person

interviewed in the course of the investigation.

3. ~jig.ibilitv Determination

The Pala Band Executive Conmzittee or its designated

gaming regulatory agency shall review a applicants 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 Pala Band Executive Co=ittee or its designated

gaining regulatory agency 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 operation shall not employ that

person in a key employee or primary management official position.

B. Proce4ur.s for ~orwarding Applications and~ports..for

Key Employees Pr~imarv Management Officials to t~

~jationa~ Indian Gaming Cor~issicn

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1. When a key employee or primary management official

begins work at a gaming operation authorized by this

Ordinance, the Pale Band Executive ColTunittee or its

designated gaming regulatory agency shall forwe.rd to the

National Indian Caxning Commission a completed application

for employment and conduct the background investigation

and make the determination referred to in Subsection D of

thi5 Section.

2. The Pala Band Executive Committee or its designated

gaming regulatory agency shall forward the report

referred to in Subsection F of this Section to the

National Indian Gaining Cozmnission within 60 days after an

emplQyee~ begins work or within 60 days of the approval of

this Ordinance by the Chairman of the National Indian

Gaining Commission.

3. The gamir2g operation shall not employ as a key

employee or primary management official a person who does

not tiave a license after 90 days.

F. ~port to the. National Indian~Gamin~çommission

1. Pursuant to the procedures set out in Subsection E

of this Section,: the Pala Band Executive Coiwnittee or its

designated gaming regulatory agency shall prepare and forward to

the National Indian Gaming Commission an investigative report on

each background investigation. An investigative report shall

include all of the following:

a. Steps taken in conducting the background

investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

2. The Pala Band Executive Coiwnittee or its designated

gaining regulatory agency shall submit, with the report, a copy of

the eligibility determination made under Subsection D of this

Section.

3. If -a license is not issued to an applicant, the

Pale Band Executive Committee or its designated

gaming regulatory agency:

a. Shall notify the National Indian Gaming

Coitunission; and

b May forward copies of its eligibility

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r,rr. .~. ,j~ r,dr~,dl.J~JI\r1~\~fll I~S~ ILl iDJ.~l4~i4jj~4~ t-~.~J+

determination and investigative report (if

any) to the National Indian Gaming Commission

for inclusion in the Indian Gaming Individuals

Records System.

4 With respect to key employees and primary management

officials, the Pala Band Executive Committee or its designated

gaming regulatory agency shall retain applications for employment

and reports (if any) of background investigations for inspection by

the Chairman of the National Indian Gaming Commission or his or her

designee for no less than three (3) years from the date of

termination or denial of employment.

G. Gra~it1ng License

1. if, within a thirty (30) day period after the

National Indian Gaming Commission receives a report, the National

Indian Gaming Commission notifies the Pala Band Executive Committee

or its designated gaming regulatory aqency 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 Pala Band Executive Committee or its desiqnated qaminq

regulatory agency has provided an application and investigative

report to the National Indian Gaming Commission, the Pala Band

Executive Committee or its designated gaming regulatory agency may

issue a license to such applicant.

2. The Pala Band Executive Committee or its designated

gaming regulatory agency shall respond to a request for additional

information from the Chairman of the National Indian Gaming

Commission concerning a key employee or a primary management

official who is the subject of a report. Such a request shall

suspend the 30-day period under Subsection G.l. of this Section

until the Chairman of the National Indian Gaming Commission

receives the additional information.

3. If, within the thirty (~30) day period described

above, the National Indian Gaming commission provides the Pala Band

Executive Committee with a statement itemizing its objection(s) to

tho issuance of a licence to a key employe, or to a primary

management official for whom the Pala Band Executive Committee or

its designated gaming regulatory agency has provided an application

~ind invectig~itive report to the National Indian Gaming Commission,

the Pa].a Band Executive Committee or its designated gaming

regulatory agency shall reconsider the application, taking into

account the objection(s) itemized by the National Indian Gaming

Commission. The Pala Band Executive Committee shall make the final

decision whether to issue a license to such applicant.

H. License Suspension

1. If, after the issuance of a gaming licence, the Pala

8
rirr~~.c. -

~J-, ~ I ~~ITh 1~6.I\~I ~Il 0 £11.& . ~~ r

Band Executive Committee or its designated gaming regulatory agency

receives from the National Indian Gaming Commission reliable

information indicating that a key employee or a primary management

official is not eligible for employment under Subsection 0 above,

the Pala Band Executive Committee or its designated gaming

regulatory agency shall suspend such licens, arid shall notify in

writing the licensee of the suspension and the proposed revocation.

2. The Pala Band Executive Committee or its designated

gaming regulatory agency shall notify the licensee of a time and a

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

3. After a revocation hearing, the Pala Band Executive

Committee or its designated gaming regulatory agency shall decide

whether to revoke or to reinstate a gaming license. The Pala Band

Executive Committee shall notify the National Indian Gaming

Commission of its decision.

VIII. Licensing of Gani~gPl.a~s. Facilities and Locations

A separate license shall be required for each place, facility, or location on Indian lands where Class II and/or Class III gaming

is to be conducted on the Pala Indian Reservation.

IX. Creatj~on ~f~Pa1a of Mis~thn~ Indians Gapling Commission

A. There is hereby created the Pala Band of Mission Indians

Gaming commission, whioh shall consist of three persons who would

themselves qualify for licensing under this Ordinance.

B. The members of the Pala Sand of Mission Indians Gaming

Commission shall be appointed by the Pala Band of Mission Indians

Executive Committee at such time as the Executive Committee

determines that the best interests of the Band require that the

Gaming Commission be activated, and said appointees shall not be

removed during their terms of off ice except for misconduct, neglect

of dutic~ or other acts that would render such persona unqualified

for licensure hereunder. An affirmative vote of at least four

members of the Pala Band Executive Committee, taken in an open

meeting after a duly-noticod hearing at which the member charged

with misconduct shall have the right to hear and present evidence

concerning his/her removal, shall be required to remove a member of

the co~ntission. At the request of the member whose removal is at

issue, the hearing may be held in executive session. The Pala Band

Executive Committee also may elect to receive in executive session

~ny evidence public disclosure of which might compromise any on

going lawenforcement investigation, or which might jeopardize arty

privilege or immunity possessed by the Pala Band Executive

Committee.

C. There shall be a Chairperson of the Pala Band of Mission

InUians Gaining Commission, who shall be appointed for a term of two

9
nr1~&a. ~J_rn, .~...j ~ sn._n,, a ISISS~bS..~, a a. S

years. The remaining members of the Coimnission shall be appointed

for terutc of one year. The Executive Committee shall determine and

authorize the coinp.nsation to be paid to members of the Pala Band

of Mission Indians Gaming Commission based upon the Executive

Congnittee S determination of the time required to be expended upon

Commission duties and the qualifications of the appointed

Commissioners.

D. The Pala Band of Mission Indians Gaining Coimnission shall

be authorized and hereby is directed to promulgate, subject to

review and approval by the Executivo Committee, detailed and

comprehensive regulations for the implementation and enforcement of

this Ordinance. Said regulations shall describe and establish the

rules for each 5pecific Class II and Class lIZ g~iiving activity to

be authorized to be conducted on the Pala Indian Reservation, and

no form of such gaming may be conducted on the Pala Indian

Reservation without prior epprove2. by the Pale Band of Mission

Indians Gaming Commission. Pending approval of the Pale Band of

Mission Indians Gaming Commissions regulations by the PaJ.a Band

Executive Counnittee, any interim regulations that the Pale Bend

Executive Committee may adopt shall govern gaining on the Pala

Indian Reservation.

E. The Pala Band of Mission Indians Gaming Conuuisaion,

independent of the Executive Committee, shall have full authority

to monitor compliance with. this Ordinance and its Regulations, end

to investigate and act to prevent any violation(s) thereof.

F. Subject to the approval 0– the executive Conunittee and the

appropriation of funds therefor, the Pala Band of Mission Indiana

Gai~~ir~g Commission shall be authorized to employ such staff as

reasonably may be required to fulfill its responsibilities under

this Ordinance. Compensation of Conuniasion employees shall be

limited to that which is comparable to compensation paid to persons

performing similar duties in other governmental gsming regulatory

agencies.

G. Subject to the approval of the Executive Counnittee, the

Pala Band of Mission Indians Gaming Conunission hereby is authorized

to establish and impose upon gaming facilities, permittees,

applicants and licensees such application, permit and license tees

as may be necessary to fully reimburse the Pala Band Executive

Committee for its actual costs of operating the Pala Band of

Mission Indians Gaining Commission, enforcing this Ordinance and

Pala Band of Mission Indians Gaming Commission regulations,

proeassinq of licensing and permit applications, and otherwise

fulfilling its regulatory responsibilities under IGRA. All such

fees shall be collected by the Pela Band of Mission Indians G~ming

Coimnission arid hereby are continuously appropriated solely for the

purposes enumerated in this Subsection.

R. Failure to timely pay any gamingrelated fee imposed by

10
the ~cutive C~~11Irn4ttee or the Pala Band of Mission Ifldtan ~ing

Coimi~sign, or to oosply with any Coiaiion r.gtti.ttion or order, or any other violatiofl of this Or~ir~1~ce or the txmi of any Class

III g*~itg ~upact authorizing and regulating g-i~ng on the Pala

Band of Mission Indiana, shall b. groianda far suspension or

revocation of any license or permit issued pursuant to this

Ord4~~~ncs, exclusion of any nonmember of the Pale Band of xiaaiou

Indiana from the Pela Xndinn Reservation, and imposition of such

other sanctions as the Pale Band of Mission ~ G~ii~g

Counission may deem appropriate.

I. Any person or entity subject to any sanction or penalty by

the Pale Band of Mission Indiana G~v~~g Cor~iseion shall hay, the

right to appeal such sanction or penalty to the Bxeczztive C-ojtt~

in accordance with such rules and regulations as may be promulgated

by the Executive Committee for that purpose. The decision of the

~xecuttve Comeittea on any appeal shall be final and not otherwise

reviewable.

x. ~

The Pale Band Executive Coittee is hereby_delegated the

authority to emend this Orri1~nce in any ~annr deemed app~p:iate

to pro~ect what the Pala Band Executive Cctmuiittee determines to be

the beat interests of the Pala Band of Xiasion Indians; nr~wid.d

that the Pale Band Executive Co~1tte. shall have no authority to

enact any ame~tdrent to t!~~jg Ordinance that is less restrictive l~~n

the original terms of this Ordi~rice, or that would constitute a

violation of federal law or would b i.nconaisuent with th. terms uf

an approved TribalState Class III compact that is in affect.

LI. !!~i2~

To the extent that they are inconsistent with th~ or~inence,

all gamii~g ordinances previously enacted or ~~nded by t~. Pale

Band of Mission Indians General Council or ~cutiv. Ci~Imttt.s

hereby are rapan.Led.

C~RTI~IC~TCN

Th.is is to certi~y that the forego~.ng Ordinance was adopted on

April 13, 1994 at a dulycalled meeting of the Pale Band of

Missi.on Inaiana General Council ~ wh4.c~ a quorum we, present, by a vote of28 in favor, 0 op~Oce4 and ~

Dated: ~rii~13 -

1 00 A~ -

11