Clifford M. La Chappa, Chairman 

Barona Band of Mission Indians 

105 Barona Road 

Lakeside, California 92040 

Dear chairman La Chappa: 

This letter responds to your request to review and approve the 

tribal gaming ordinance submitted on November 29, 1993, for the 

Barona Band of Mission Indians (Tribe). This letter constitutes 

such approval under the Indian Gaming Regulatory Act (IGRA). 

Under the IGRA and the regulations of the National Indian Gaming 

Commission (NIGC), the Chairman is directed to review ordinances 

with respect to the requirements of the IGRA and the implementing 

regulations. Thus, the scope of the Chairman's review and 

approval is limited to the requirements of the IGRA and the NIGC 

regulations. Provisions other than those required under the IGRA 

or the NIGC regulations that may be included in a tribal 

ordinance are not subject to review and approval. Also, such 

approval does not constitute approval of specific games. 

It is important to note that the gaming ordinance is approved for 

gaming only on Indian lands as defined in the IGRA. 

With the Chairman's approval of the Tribe's gaming ordinance, the 

Tribe is now required to conduct background investigations on its 

key employees and primary management officials. The NIGC expects 

to receive a completed application for each key employee and 

primary management official pursuant to 25 C.F.R. S 556.5(a) and 

an investigative report on each background investigation before 

issuing a license to a key employee or primary management 

official pursuant to 25 C.F.R. § 556.5(b). 

Thank you for submitting the ordinance of the Barona Band of 

Mission Indians for review and approval. The NIGC staff and I 

look forward to working with you and the Tribe in implementing 

the IGRA. 

Sincerely yours, 

Rn]E%ggy 3. ljcpg 

Anthony J. Hope 

Chairman 

cc: Art Bunce, Esq. 

P.O. Box 1416 

Escondido, ~alifornia 92033-1416 
INDIAN RESERV 

BARONA GROUP OF THE CAPITAN GRANDE BAND 

OF MISSION INDIANS 

GAMING ORDINANCE 

The General Council of the Barona Group of the Capitan Grande 

Band of Mission Indians (the "Tribe"), acting according to custom 

and tradition in the absence of a written Constitution, hereby 

enacts this ordinance in order to set the terms for Class I1 and 

Class I11 gaming operations on the "Indian lands" of the Barona 

Indian Reservation, as defined in 25 U.S.C. Section 2703(4). 

11. Gamina Authorized 

Class I1 and Class 111 gaming as defined in the Indian Gaming 

Regulatory Act, P.L. 100-447, 25 U.S.C. Section 2703(7)-(8) 

("IGRA") and by the regulations promulgated by the National Indian 

Gaming Commission at 25 C.F.R. 8502.3 (as published in the Federal 

Register at 57 FR 12392-12393, April 9, 1992) is hereby authorized. 

111. Ownership of Gaminq 

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 Gamins Revenue 

A. Net revenues from Class I1 and Class 111 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, all in such amounts and on such terms as the 

Tribal Council may determine. 

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). 

ORIGINAL 

1095 BARONA ROAD, CAKESIDE, CALIFORNIA 92040 TELEPHONE (61°' 443-6612 
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 $2S8000.00 

annually, except contracts for professional legal and accounting 

services, shall be specifically included within the scope of the 

audit that is described in subsection A. above. 

VI. Protection of the Environment and Public Health and Safetv 

Class I1 and Class 111 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 Manasement 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 I1 or Class 

I11 gaming enterprise operated on Indian lands as provided in this 

Ordinance. 

A. Definitions 

For the purposes of this section, the following 

definitions apply: 

1. "Key employee" means 

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

following functions: 

( 1) Bingo caller; 

(2) Counting room supervisor; 

(3) Chief of security; 

(4) Custodian of gaming'supplies or 

cash; 

(5) Floor manager; 

(6) Pit boss; 

(7) Dealer; 

(8) Croupier; 

(9) Approver of credit; or 

( 10) Custodian of gambling devices including 

persons with access to c a s h and 

accounting records within such devices; 

(b) If not otherwise included, any other person 

whose total cash compensation is in excess 

of $50,000 per year; or 
(~c) If not otherwise included, the four most 

highly compensated persons in the gaming 

operation. 

2. "Primary management official" means 

(a) The person having management responsibility 

for a management contract; 

(b) Any person who has authority: 

(1) To hire and fire employees; or 

(2) To set up working policy for the gaming 

operation; or 

(c) The chief financial officer or other person 

who has financial management responsibility. 

B. A~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. Section 2701, et 

seq. The purpose of the requested information is to 

determine the eligibility of individuals to be employed 

in a gaming operation. The information will be used by 

National Indian Gaming Commission members and staff who 

have need for the information in the performance of their 

official duties. The information may be disclosed to 

appropriate Federal, Tribal, State, local, or foreign law 

enforcement and regulatory agencies 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 tribe's 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, if any, 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 a£ ter 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, if any, 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. Backaround Investisations 

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 (l)(b) of this section; 

d. Current business and residence telephone numbers; 

e. A description of any existing and previous 

business relationships with Indian tribes, 

including ownership interests in those 
businesses; 

f. A description of any existing and previous 

business relationships with the gaming industry 

generally, including ownership interests in those 

businesses; 

g. The name and address of any licensing or 

regulatory agency with which the person has filed 

an application for a license or permit related to 

gaming, whether or not such license or permit was 

granted ; 

h. For each felony for which there is an ongoing 

prosecution or a conviction, the charge, the name 

and address of the court involved, and the date 

and disposition if any; 

i. For each misdemeanor conviction or ongoing 

misdemeanor prosecution (excluding minor traffic 

violations), within 10 years of the date of the 

application, the name and address of the court 

involved and the date and disposition; 

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 (l)(h) or (l)(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. Eliaibilitv Determination 

The Tribe shall review a person's prior activities, 

criminal record, if any, and reputation, habits and associations to 

make a finding concerning the eligibility of a key employee or 

primary management official for employment in a tribal 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, the tribal gaming operation shall not employ 

that person in a key employee or primary management official 

position. 

E. Procedures for Forwardinu Applications and Reports for Key 

Employees and Primary Manaqement Officials to the National 

Indian Gamina 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 the 

applicant's completed application for employment and conduct the 

background investigation and make the determination referred to in 

subsection D of this section. 

2. The Tribe shall forward the report referred to in 

subsection F of this section to the National Indian Gaming 

Commission within 60 days after an employee begins work or within 

60 days of the approval of this Ordinance by the Chairman of the 

National Indian Gaming Commission. 

3. The gaming operation shall not employ as a key 

employee or primary management official a person who does not have 

a license after 90 days. 

F. Re~ort to the National Indian Gamina Commission 

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

this section, the Tribe shall prepare and forwiird to the National 

Indian Gaming Commission an investigative report on each background 

investigation. An investigative report shall include all of the 

following: 

a. Steps taken in conducting a background 

investigation; 

b. Results obtained; 

c. Conclusions reached; and 

d. The bases for those conclusions. 

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

eligibility determination made under subsection D of this section. 
3. If a license is not issued to an applicant, the Tribe: 

a. Shall notify the National Indian Gaming 

Commission; and 

b. May forward copies of its eligibility 

determination and investigative report (if any) 

to the National Indian Gaming Commission for 

inclusion in the Indian Gaming Individuals 

Records System. 

4. With respect to key employees and primary management 

officials, the Tribe shall retain applications for employment and 

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

Chairman of the National Indian Gaming Commission or his or her 

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

termination of employment. 

G. Grantina a Gamina License 

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

Indian Gaming Commission receives a report, the National Indian 

Gaming Commission notifies the Tribe that it has no objection to 

the issuance of a license pursuant to a license application filed 

by a key employee or a primary management official for whom the 

Tribe has provided an application and investigative report to the 

National Indian Gaming Commission, the Tribe may issue a license to 

such applicant. 

2. The Tribe shall respond to a request for additional 

information from, the Chairman of the National Indian Gaming 

Commission concerning a key employee or a primary management 

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

suspend the 30-day period under paragraph G.1. 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 providei the Tribe with a 

statement itemizing objections to the issuance of a license to a 

key employee or to a primary management official for whom the Tribe 

has provided an application and investigative report to the 

National Indian Gaming Commission, the Tribe shall reconsider the 

application, taking into account the objections itemized by the 

National Indian Gaming Commission. The Tribe shall make the final 

decision whether to issue a license to such applicant. 

H. License Susvension 

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

receives from the National Indian Gaming Commission reliable 

information indicating that a key employee or a primary management 

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

the Tribe shall suspend such license and shall notify in writing 
the licensee of the suspension and the proposed revocation. 

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

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

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

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

the National Indian Gaming Commission of its decision. 

VIII. License Locations 

The Tribe shall issue a separate license to each place, 

facility, or location on Indian lands where Class I1 or Class I11 

gaming is conducted under this Ordinance. 

IX. Repeal 

To the extent that they are inconsistent with this ordinance, 

all prior gaming ordinances are hereby repealed, including that 

enacted on March 4, 1989. 

X. Further Enactments 

This Ordinance is intended to meet the requirements for its 

approval by the Chairman of the National Indian Gaming Commission. 

However, the Tribe reserves the right and intends to establish a 

Tribal Gaming Commission and to take further regulatory steps 

regarding Class I1 and Class 111 gaming by regulation, an 

additional ordinance, or otherwise outside the scope of this 

Ordinance but consistent with this Ordinance. 

Dated: QbQ, 1993 

Paul Darby, Councilmember 

Vice-Chairman 

W'e99&i 

Ernest Magginsr, Councilmember Darlene Padilla, Councilmember 

Albert Phoenix, Coudcilmember Josephine Romero , Councilmember 
CERTIFICATION 

I, the Recording Secretary of the Barona Group of the Capitan 

Grande Band of Mission Indians, hereby certify that the above 

Gaming Ordinance was enacted and adopted by the General Council, 

acting according to custom and tradition in the absence of a 

written Constitution, at a duly called and noticed meeting of the 

General Council at which a quorum was present on 1Ph 13, 

1993 by a vote of 4 3 in favor, P opposed, and aeot voting. 

~uue Benedict , Recording - 

Secretary