April 2,2008 

Via US. Mail and Facsimile 

Vincent Armenta 

Chairman 

Santa Ynez Band of Mission Indians 

100 Via Juana Lane 

Santa Ynez, CA 93460 

Fax: 805-686-9578 

Glenn Feldman 

Mariscal, Weeks, McIntyre & Friedlander, P.A. 

2901 North Central Avenue 

Phoenix, AZ 85012-2705 

Fax: 602-285-5100 

RE: Amendment to Santa Ynez Band of Mission Indians Gaming 

Ordinance 

Dear Chairman Armenta and Mr. Feldman: 

On March 20,2008, Mr. Feldrnan on behalf of the Santa Ynez Band of Mission Indians 

(Band) requested that the National Indian Gaming Commission (NIGC) review and 

approve the Band's amendment to the Santa Ynez Band of Mission Indians Gaming 

Ordinance (Gaming Ordinance). The Band amended the Gaming Ordinance on March 

11,2008, via absentee ballot. In this amendment, the Band clarified its compliance with 

NlGC Minimum Internal Control Standards (MICS) for Class I1 and I11 gaming. 

This letter constitutes approval of the amendment because nothing therein conflicts with 

the requirements of the Indian Gaming Regulatory Act (IGRA) and the Commission's 

regulationy~7 

amendment for review and approval. If you have any 

ff Attorney Rebecca Chapman at (202) 632-7003. 

Chairman 

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7W3 Fax: 202.632 7066 WW.NlGC.GOV 

REGIONAL OFFICES Portland, OR: Sacramento, CA; Phoenix, A2 St. Paul. MN;rulsa, O1< 
Qanta Ynez Band of Chumash Indians 

Ballot Committee 

B.O. Box 659 

Santa Ynez, CA 93460 

Ballot Results 

Date: March 11,2008 

Ballot Item #4 

Shall the Tribe adopt the amendment ot the Santa Ynez Indian Gaming Regulatory Act 

Compliance Ordinance by adding a new Section IX? 

Copy of amendment is enclosed. 

Total Number of Ballots Sent Out: 144 

(Number of Eligible Voters = 144) 

Total Number of Ballots Returned: 

w kdbalO.4- 2.. Ballots imprope ly marked and not counted 

Ballots returned with no return address and not counted 

- -2 Total number of ballots not counted 

Summary of Ballot Count: 

YES 7 / 

Abstaining: 

Total Number of Ballots Counted: 7b 

Ballot Committee: 

Carmelita Cordero *% 2 

Morry Talaugon 

Elise Tripp 
SANTA YNEZ BAND OF-MISSION INDIANS 

TRIBAL ORDINANCE 

INDIAN GAMING REGULATORY ACT COMPLIANCE 

The Santa Ynez Band of Mission Indians (hereinafter ttTriben) , 

empowered by the Tribe's Articles of Association to enact 

ordinances, hereby enacts this ordinance in order to ensure that 

Class I1 and Class I11 gaming operations on tribal lands are 

conducted in accordance with the Indian Gaming Regulatory Act. 

11. Gaminq Authorized 

Class I1 gaming as defined in the Indian Gaming Regulatory 

Act, P. L. 100-447, 25 U. S. C. Section 2703 (7) (A) (ttIGRAtt) and Class 

I11 gaming as defined in Section 2703(8) of IGRA and by the 

regulations promulgated by the National Indian Gaming Commission at 

25 C. F.R. S 502.1 (as published in the Federal Register at 57 FR 

12382-12393, April 9, 1992) are hereby authorized. 

111. owners hi^ 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 Gaminq Revenue 

A. Net revenues from Class I1 and Class I11 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 ecoriomic 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 from gaming revenues, it shall authorize such payments only 

upon approval of a plan submitted to the Secretary of the Interior 

under 25 U.S.C. S 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. 

VI. Protection of the Environment and Public Health and Safety 

Class I1 and Class I11 gaming facilities shall be constructed, 

maintained and operated in a manner that adequately protects the 

environmhnt and the public health and safety. 

VII. Licenses for Kev Emplovees and Primarv Manaqement 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: 

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: 

Bingo caller; 

Counting room supervisor; 

Chief of security; 

Custodian of gaming supplies or cash; 

Floor manager; 

Pit boss; 

Dealer ; 

Croupier; 

Approver of credit; or 

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. If not otherwise included, the four most 

highly compensated persons in the gaming 

operation. 

2. Primary manaqement 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. Application 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 ofthe 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 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 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 

PNN07111 3 
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. Backsround Investiqations 

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 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; 

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. 

§ 522.2 (h) . 

2. The Tribe shall conduct or cause to be conducted 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 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 Forwardina Applications and Reports for 

Key Employees and Primarv Manaaement Officials to the 

National Indian Gamins 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 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. Report to the National Indian Gamina 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 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. Grantins a Gaminq 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 provides 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. 
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. 

I 

IX. Re~eal 

To the extent that they are inconsistent with this ordinance, 

the inconsistent provisions of all prior gaming ordinances are 

hereby repealed. 
ADDITIONAL SUBMISSION REQUIREMENTS 

In addition to an ordinance, under 25 C.F.R. S 522 or S 523, 

a tribe must submit the following: 

1. Description of procedures for conducting background 

investigations; 

2. Description of procedures to issue tribal licenses 

to primary management officials and key employees; 

3. Description of procedures for resolving disputes 

between the gaming public and the Tribe or the 

management contractor (if any) ; 

4. Designation of an agent for service; 

5. Identification of a law enforcement agency that 

will take finger prints and describe procedures for 

conducting a criminal history check by a law 

enforcement agency; and 

6. Copies of all tribal gaming regulations. 
BACKGROUND INVESTIGATIONS 

"DESCRIPTION OF PROCEDURES" 

I. Section 522.2(b) requires 

A description of procedures to conduct or cause to be 

conducted background investigations on key employees and 

primary management officials . . . 11. Such description of procedures should include, as a minimum, 

the following: 

A. A clear statement that the tribe is responsible for the 

conduct of the background investigations and suitability 

determinations. 

B. An organization chart or statement showing the positions 

or people responsible for -- 

1. conducting and causing to be conducted the 

background investigations; 

2. reviewing and approving 'the investigative work 

done ; 

3. reporting the results of the background 

investigation to the National Indian Gaming 

Commission; 

4. obtaining and processing fingerprints; and 

5. making the suitability determinations. 

C. An explanation of how the positions and people identified 

above were selected. 

D. A listing of the minimum investigative procedures to be 

performed, including.the following: 

1. Verify by written or oral communication inf~rmation 

submitted by applicant. 

2: Inquire into the applicant's prior activities, 

criminal record, if any, and reputation, habits and 

associations; interview a sufficient number of 
knowledgeable people such as former employers, 

personal references, and others to whom referred in 

order to provide a basis for the tribe to make a 

finding concerning the eligibility for employment 

in a gaming operation. 

3. Document the disposition of all potential problem 

areas noted and disqualifying information obtained. 

E. An investigative report setting forth the following: 

1. steps taken in conducting the background 

investigation; 

2. Results obtained; 

3. Conclusions reached; and 

4. The bases for those conclusions. 
The Santa Ynez Indian Gaming Regulatory Act Compliance Ordinance is amended by adding 

the following new Section IX and by renumbering existing Section IX as X: 

IX. Minimum Internal Control Standards 

A. Applicable Standards. The Santa Ynez Tribal Gaming Agency shall comply with 25 

CFR Part 542 by forinally adopting and malting applicable to the tribe's gaming 

operationis) internal control standards that: 

1. Provide a level of control that equals or exceeds those set forth in 25 CFR part 

542, as published or as revised by mutual agreement between the National Indian 

Gaming Commissioil and the Santa Ynez Band of Mission Indians; 

2. Contain standards for currency transaction reporting that comply with 31 CFR 

Part 103; and 

3. Establish internal control standards for Class I1 and Class I11 games that are not 

addressed in the MICS, if any. 

B. Annual CPA Testing of Compliance. In order to verify that the gaming operation is in 

compliance with the internal control standards adopted pursuant to paragraph A, an 

independent certified public accountant (CPA) shall be engaged annually to perform 

"Agreed-Upon Procedures" in the manner provided for in 25 CFR 542.3(f). 

C. Compliance. The Santa Ynez Tribal Gaming Agency and the NIGC shall monitor and 

enforce compliance with the internal control standards adopted pursuant to paragraph A 

in the manner provided for in 25 CFR 542.3(g). In addition, the National Indian Gaming 

Commission shall, for the purpose of enforcing compliance with the internal control 

standards, have the power to: 

1. monitor all Class I1 and Class 111 gaming on a continuing basis; 

2. inspect and examine all premises on which Class I1 or Class I11 gaming is 

conducted; and 

3. demand access to and inspect, examine, photocopy, and audit all papers, books, 

and records respecting gross revenues of all Class I1 and Class I11 gaming or any 

other matters necessary to ensure and enforce compliance with the MICS. 

D. Enhrcement. Any failure to adopt internal conlrol standards pursuant to paragraph A, to 

perforin Agreed-Upon Procedures pursuant to paragraph B, to prevent or obstruct the 

exercise of any of the Commission's powers under paragraph C, or to comply with the 

internal control standards once adopted is a violation of this ordinance. The Chairman of 

the National Indian Gaming Commission shall have the authority to remedy violations of 

this ordinance under 25 U.S.C. 2713 and its implementing regulations, and the Tribe 

shall have all rights and remedies available thereunder.