May 18, 1993

CLASS II GAMING ORDINANCE

NUMBER 71593 B

I. Purpose

The Viejas Tribal Council, empowered by the Viejas Band of

Mission Indians to enact ordinances, hereby enacts this ordinance

in order to establish the terms and conditions for class II gaming

operations on tribal lands. -

II. Gaming Authorized

Class II gaming as defined in the Indian Gaming Regulatory

Act, P.L. 100-447, 25 U.S.C. Section 2703(7)(A) (IGRA) and by the

regulations promulgated by the National Indian Gaming Commission at

25 C.F.R. Section 502.3 (as published in the Federal Register at

57FR 1238212393, April 9, 1992) is hereby authorized.

III. Ownership of Gaming

The tribe shall have the sole propriety interest in and

responsibility for the conduct of any gaming operation authorized

by this ordinance.

IV. Use of Gaming Revenue

A. Net revenues from class II gaming shall be used only for

the following purposes: to fund tribal government operations and

programs; provide for the general welfare of the Tribe and its

members; promote tribal economic development; donate to charitable

organizations; or help fund operations of local government

agencies.

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

members, it shall authorize such payments only upon approval of a

plan submitted to the Secretary of the Interior under 25 U.S.C.

Section 2710(b)(3).

V. Audit

A. The Tribe shall cause to be conducted annually an

independent audit of gaming operations and shall submit the

resulting audit reports to the National Indian Gaming Commission.

B. All gaming related contracts that result in the purchase

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

annually, except contracts for professional legal and accounting

services, shall be specifically included within the scope of the

audit that is described in subsection A above.

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VI. Protection of the Environment and Public Health and Safety

Class II gaming facilities shall be constructed, maintained

and operated in a manner that adequately protects the environment

and the public health and safety.

VII. Licenses for Key Employees and Primary Management Officials

The Tribe shall ensure that the policies and procedures set

out in this section are implemented with respect to key employees

and primary management officials employed at any class II gaming

enterprise operated on Indian lands: -

A. Definitions

For the purposes of this section, the following definitions

apply:

1. Key employee means

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

following functions:

(1) Bingo caller

(2) Count room supervisor

(3) Chief of Security

(4) Custodian of gaming supplies or cash

(5) Floor manager

(6) Pit boss

(7) Dealer

(8) Croupier

(9) Approver of credit or

(10) Custodian of gambling devices

including persons with access to cash

and accounting records within such

devices

(b) If not otherwise included, any other person

whose total cash compensation is in excess

of $50,000 per year; or

(c) Of not otherwise included, the four most

highly compensated persons in the gaming

operation.
2. Primary management official means

(a) The person having management responsibility

for a management contract;

(b) Any person who has authority:

(1) To hire and fire employees; and

(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. ~p~plication Forms

1. The following notice shall be placed on the

application form for a key employee or a primary management

official before that form is filled out by an applicant:

In compliance with the Privacy Act of 1974, the following

information is provided: Solicitation of the information on this

form is authorized by 25 U.S.C. 2701 et seq. The purpose of the

requested information is to determine the eligibility of

individuals to be employed in a gaming operation. The information

will be used by National Indian Gaming Commission members and staff

who have need for the information in the performance of their

official duties. The information may be disclosed to appropriate

Federal, Tribal, State, local or foreign law enforcement and

regulatory 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.

2. Existing key employees and primary management officials will

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
3. The following notice shall be placed on the application form

a for a key employee or a primary official before that form is

filled out by an applicant.

A false statement on any part of your application may be

grounds for not hiring you, or for firing you after you

begin work. Also, you may be punished by fine or

imprisonment.

(U.S. Code, title 18, section 1001)

4. The Tribe shall notify in writing existing key employees and

primary management officials that they shall either:

a. Complete a new application form that contains a notice

regarding false statements; or

b. Sign a statement that contains the notice regarding false

statements.

C. Background Investigations

1. The Tribe shall request from each primary

management official and from each key employee all of the following

information:

a. Full name, other names used (oral or written),

social security number(s), birth date, place of

birth, citizenship, gender, all languages (spoken

or written);

b. Currently and for the previous 5 years: business

and employment positions held, ownership

interests in those businesses, business and

residence addresses, and drivers license numbers;

c. The names and current addresses of at least three

personal references, including one personal

reference who was acquainted with the applicant

during each period of residence listed under

paragraph (1) (b) of this section;

d. Current business and residence telephone numbers;

e. A description of any existing and previous

business relationships with Indian tribes,

including ownership interests in those

businesses;

f. A description of any existing and previous

business relationships with the gaming industry

generally, including ownership interests in those

businesses;
g. The name and address of any licensing or

regulatory agency with which the person has filed

an application for a license or permit related to

gaming, whether not such license or permit was

granted;

h. For each felony for which there is an ongoing

prosecution or a conviction, the charge, the

name and address of the court involved, and the

date and disposition if any;

i. For each misdemeanor conviction or ongoing

misdemeanor prosecution (excluding minor traffic

violations), within 10 years of the date of the

application, the name and address of the court

involved and the date of disposition;

j. For each criminal charge (excluding minor traffic

charges), whether or not there is a conviction,

if such criminal charge is within 10 years of the

date of the application and is not otherwise

listed pursuant to paragraph (1) (h) or (1) (i)

of this section, the criminal charge, the name

and address of the court involved and the date

and disposition;

k. The name and address of any licensing or

regulatory agency with which the person has filed

an application for an occupational license or

permit, whether or not such license or permit was

granted;

1. A current photograph;

m. Any other information the Tribe deems relevant;

and

n. Fingerprints consistent with procedures adopted

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

522.2(h).

2. The Tribe shall conduct an investigation

sufficient to make a determination under subsection D below. In

conducting a background investigation, the Tribe or its agent shall

promise to keep confidential the identity of each person

interviewed in the course of the investigation.
D. Eligibility Determination

The Tribe shall 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 a gaming operation. If the

Tribe determines that employment of the person poses a threat to

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

creates or enhances dangers of unsuitable, unfair or illegal

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

tribal gaming operation shall not employ that person in a key

employee or primary management official position.

E. Procedures for Forwarding Applications and Reports for Key

Employees and Primary Management Officials to the National

Indian Gaming Commission

1. When a key employee or primary management official begins

work at a gaming operation authorized by this ordinance, the. Tribe

shall forward to the National Indian Gaming Commission a completed

application for employment and conduct the background investigation

and make the determination referred to in subsection D of this

section.

2. The Tribe shall forward the report referred to in

subsection F of this section to National Indian Gaming Commission

within 60 days after an employee begins work or within 60 days of

the approval of this ordinance by the Chairman of the National

Indian Gaming Commission.

3. The gaming operation shall not employ as a key employee or

primary management official a person who does not have a license

after 90 days.

F. Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in subsection E of this

section, the Tribe shall prepare and forward to the National Indian

Gaming Commission an investigative report on each background

investigation. An investigative report shall include all of the

fol lowing:

a. Steps taken in conducting a background investigation;

b. Results obtained;

c. Conclusions reached; and

d. The base for those conclusions

2. The Tribe shall submit, with the report, a copy of the

eligibility determination made under subsection D of this section.
3. Document the disposition of all potential problem

areas noted and disqualifying information obtained.

E. An investigative report setting for the following:

1. Steps taken in conducting the background

investigation;

2. Results obtained;

3. Conclusions reached;

4. The bases for those conclusions.
2. The Tribe shall notify the licensee of a time and a place

for a hearing on the proposed revocation of a license.

3. After a revocation hearing, the Tribe shall decide to

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

National Indian Gaming Commission of its decision.

VIII. License Locations

The Tribe shall issue a separate license to each place,

facility, or location on Indian lands where class II gaming is

conducted under this ordinance.

IX. Repeal

To the extent t}~at they are inconsistent with this ordinance,

all prior gaming ordinances are hereby repealed.