SYCJ ~~AMING COMMISSION

~~,

Sycuan ~Ban1 of 9kfission. Indians

RESOLUTION

RESOYflTZ OH DELEGATING CONtRACTING AUThORITY TO BUSINESS

COMMITTEE ~

WHEREAS, the Sycuan Band of Mission INdians is organized

under Articles of Association approved by

the Secretary of Interior on August 38, 1972; -

WHEREAS, under Article 6.ACl) of said Articles of Associutic

the General Council posseases the power to manage

and lease, contract or otherwise deal t;ith

Tribal. assets; and

Under Article S.C of said Articles, the ~usiness

Committee is empowered to rcprosor.t the Band in all

negotiations between the. Band and local, State,

and Federal Governments, their ager..cica and officer

but the Business Ccmtittcc lacks the Authority to

coranit the Band to any contract, icaso, or other

arrangement unless It is so empowered by a duly

enactod ordinance or resclution of the General

Ccuncil; and

the Band now is engaget in gaming enterprises and

other Tribal econori c c~e:e1opment actd v~ ties wh~ ch

often require that Cotiflons and cornitmcnts bo

made within tine fraics ant! under circumstances j:~

which seeking and ohtainir.g the prior approval

of the General Council ts inpract~cahle, if not

impossible; and

the General Council hn detcrLnincd that the Bands

business enterprises ;;oula. he more likely to

succeed if the Business C~mn~ittee we:~e given a

general and continuing grant of limited authority

to ônter into contracts, leasos acd/or such other

arrangements as may be conducive to the advancer.~er.

and/or protection of the sands interests:

NOW THP.REFORE BE IT RESOLVED, that unless and until specii

ically revoked by a subsequent Resolution of the General

Council, the Business Committee is hereby granted the

following authority;

1. The. business comnittec shall have the at:thority to

approve and authors zo the oxccution of any lease, contract or

other agreement pertaining to any of the Bands gaming enterp:

provided that. tho solo sourco o~. XuL4s with which to statisfv

Bands &~ligatiOnS theretinoer sri is ~ tnc revenue ano -

personal property of said gamang enterprise, and provide.

further that the maximum amount of said obligation shall not

exceec~ s]0O,000,00, or $50,000.00 In payments in any single

5469 DEHESA ROAD EL dAJON. CALIFORNIA 92019 (619) 445-2613/14 FAX ~6l9 445-4391

13:48 F~X NO, 619 ~~918

/ TRIBAL COUNCIL

P. 02

ANNA SANDOVAI.

Cta!rwarnan

DANIEL TUCKER

Vice Cheimiafl

EVELYN LaERME

HENRV MURPHY

Pei&uttt

PICCI La~RAKE

Member

PAYMQNQ SANDOVAL

McmDcr

GkCRGIA TUCKER

Me mV

WHEREAS,

WHEREAS,

WHEREAS,
FAX NO. 619 ~918

I! ~

- 2.. The fl~sjness Committee s}iall hà~o the authority to appzo~

and authorize the ~xecutiori of any lease, aontract or other

agreement pertaining to all transactions involving or pertain~n~ to Tribal assets or proporty other than the Bands gaming

enterprises,, provided that the macimum amount of said obligatj~.

shall not excced the principal sum of $75,000.00, or $37,000.oo

in payments in any sing]e calondar year;

3. TPe business coimnittee shall have the authority to agree

to such terms an~1 conditions it ~ determine to be in the

~ande best~ interests, excopt that the flusine~s committee

shall not be authorized to alienate, encumber or subject te

levy and execution the lands of the Sycuan Indian Reservation

the Band; interest in the trust ~r allotted lands of said

Res~rvation and the Bands non-gaming assets;

4. The Busine.c~ Committee shall have the authority to

enact or adopt such ordinances as it may deen~ necessary or

appropriateiri the exercise of the Bands police, taxing and

other sovereign powers over the Sycuan INdian ~esOrvation,

anc3 persons pre5ent and transactions occ~.irring on said

Reservation, and to ratify compacts or other agreements

between the Band and the state of Caljforn~3 and ~he.United

Statos of America.

C~TIFIC~~ION

The ahov~ resolution was apprcve~ a~ a moctinç~ of the

General Ceuncil of the Sycuar. Ban:1 of Mission In~]iaiis at

wh~.ch a quorun-. was present by a vota of ~_I~ FAVOR,

OOPPOSED, ( AI3SThINXNG.

DA~ ~~5

A NA SANDOVAL, CI4A RWOMAN

1

~k~:~g.-~

EVELYN .~LA BBJtKr,

~~

SECRETARY

NOV- 394 THU 13:48 SYCI~ GAllING COIIIIISSION

~~1

P. 03
NOV- 3-94 THU 13~49 SYCI!ALT GAMING COMMISSION FAX NO. 819 918 P.04

Sycuan Band of Mission Indians

5441 Dehesa Road

El Cajon, California 92019

(619)445-2613

$ES.OLJJTION RES#,~9O3GC

Whereas, the Sycuan Band of Mission Indians (hereinafter Sycuan

Band) isafederafly recognized Indian Tribe, as

established by its Articles of Association, and approved

by the Secretary of Interior on August 18, 1972; and

Whereas, the Sycuan Band previously has established Tribal

Bingo and Cardrooni enterprises in order to develop

the ecor~omy of the Sycuan Reservation and thereby

improve the quality of life or the Bands members

and enhance the ability of the Band to fulfill its

governmental functions; and

Whereas, the revenues from said enterprises have been used

to impräve the health, education, welfare and safety

of the Bands members; and

Whereas, the fulfillment of the Bands long-range development

plans require more revenues than the Bands existing

enterprises can provide; and

Whereas, the recent enactment of the federal Indian Gaming

Regulatory Act has clarified the circumstances under

which the Band might engage in other forms of gaining

in order to raise revenue for Tribal governmental

purposes; and

Whereas, one form of gaming which would ~e available to the

Band under a ooznpa~t with the State of California

is what is known as satellite wagering on horse races,

i.e., wagering on races as they are run at other

locations within and without the State of California;

Whereas sudh a gaming enterprise would productively complement

and enhance the Bands existing gaming enterprises.

NOW THEREFORE BE IT RESOJflED, ~that the Band requests the State

of California to negotiate with the Band, pursuant to ~11 Cd) (3) (~) of the Indian Gaming Regulatory

Act for the purpose of entering into a compact under

which the Band would operate a satellite wagering

facility

BE IT FURTHER RESOLVED, that the Band delegates the Business

committee full authority to negotiate and execute

such a compact and any agreements in connection there

with, to: enact and enforce such Ordinances as may

be necessary to obtain and/or implement such a compact,

and to apprQpriate and expend such funds as may be

necessary to accomplish any of the foregoing purposes.

DATEt ~) / 7 W5-
Nay- 3-94 THU 13:50 SYCI~ GAllING CONllISSION FAX NO. 619 918 P.05

- RESOLUTION 88-O3G~

CENT I F XC I ON

The above resolution was approved at a duly called meeting

oL the General Council of the Sycuari Band o1 Mission Indians

at whicii a quorum was present by a vote of IN FAVOR,

______OPPOSED, AND -

C ABSTAINING on -

~

_____________________________

-

AND~A SANDOVAL, CHAIRWOMAN

~N L~BRAKE, S~CRETAR

,

~ATE

~-! c

DATE -
SYCUAN BAND OF MISSION INDIANS

GAMING ORDINANCE

I. Purpose

The Sycuan Band of Mission Indians, as the beneficial owner of

the Sycuan Indian Reservation, and acting through its General

Council in the exercise of its inherent sovereign power to enact

ordinances and otherwise safeguard and provide for the health,

safety and welfare of the Sycuan Indian Reservation and the members

of the Band, hereby ordains a~d 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 the boundaries of the Sycuan

Indian Reservation.

II. Gaming Authorized

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

Act, P.L. 100-447, 25 U.S.C. Section 27039(7) (A) (UIGRAH) and by

the regulations promulgated by the National Indian Gaming

Commission at 25 C.F.R. § 502.3 (as published in the Federal

Register at 57 FR 12382-12393, April 9, 1992) is hereby authorized.

B. Class III gaming as defined in the Indian Gaming

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

and by the regulations promulgated by the National Indian Gaming

Commission (NIGCt) at 25 C.F.R. § 502.4 (as published in the

Federal Register at 57 FR 12382-12393, April 9, 1992) is hereby

authorized, provided such gaming is also authorized by and

consistent with a Tribal-State 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.

III. Ownership of Gaming Facilities and/or Enterprises

The Band 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. Use of Gaming Revenue

A. Except as specifically authorized pursuant to Subsection

B of this Section, net revenues from Class II and Class III gaming

on the Sycuan Indian Reservation shall be used only for the

following purposes:

1) to fund Tribal government operations and programs;

2) provide for the general welfare of the Band and its

members;

3) promote Tribal economic development;

4) donate to charitable organizations; or
5) help fund operations of local government agencies.

B. If the Band elects to make per capita payments to Tribal

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. § 2710(b) (3).

V. Audit

A. The Band 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 gaming on the Sycuan 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 Environment and Public Health and Safety

Class II arid Class III gaming facilities on the Sycuan Indian

Reservation 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 Band 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 enterprise operated on Indian lands within the

boundaries of the Sycuan Indian Reservation. The Band may also

implement these same policies and procedures with regard to Vendors

and Suppliers:

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) All Security and Surveillance

Personnel

(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) If not otherwise included, the four most

highly compensated persons in the gaming

operation.

(d) Any other person designated by the tribe.

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.

3. Vendors and Suppliers means

(a) The establishment (s) requested by the Band

to supply gaming supplies or provide

gaming related services.

(b) Includes all key management personnel with

the Vendor or Supplier establishment, any

person or establishment with interest in

the Vendor or Supplier establishment, or

any other employees deemed as key

employees by the Band.

3
B. Application Forms

1. The following notice shall be placed on the

application form of 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 CommrI,ssion 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.

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
4. The Band 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 Band shall request from each primary management

official and from each k~y 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 five years: all

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 Subsection;

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 every 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;

5
i. For each misdemeanor conviction or ongoing

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. For each criminal charge (excluding minor traffic

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

such criminal charge is within ten years of the

date of the application and is not otherwise listed

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

Subsection, the criminal charge, the name and

address of tite 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 photograph;

m. Any other information the Band may deem relevant

under the circumstances; and

n. Fingerprints consistent with procedures adopted by

the Band in accordance with 25 C.F.R. §522.2(h).

2. The Band shall conduct an investigation sufficient

to make a determination under Subsection D. below. In conducting

a background investigation, the Band or its agent(s) shall promise

to keep confidential the identity .of each person interviewed in the

course of the investigation.

D. Eligibility Determination

The Band 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 Band 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.

6
E. Granting a Provisional License

If after conducting a background investigation, the band

determines that an applicant meets the eligibility requirements

under subsection D of this section, the Band shall issue a

provisional gaming license to the applicant. No person shall be

employed at the gaming operation without a valid provisional

license. A provisional license shall be effective for a period of

90 days, after which the Band may grant a permanent license

pursuant to subsection H of this section.

F. 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 Band 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 Band 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 permanent license after 90 days.

G. Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in Subsection E

of this Section, the Band 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.

7
2. The: Band shall submit, with the report, a copy of

the eligibility determination made under Subsection D of this

Section.

3. If a provisional license is not issued to an

applicant, the Band:

a. Shall notify the National Indian Gaming

Commission; and

b. May forward copies of its eligibility

determination and investigative report (if

any) to &he National Indian Gaming Commission

for inclusion in the Indian Gaming Individuals

Records System.

4. With respect to key employees and primary management

officials, the Band 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 form the date of

termination or denial of employment.

H. Granting a Permanent Gaming 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 Band 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 Band has provided an application and investigative report to

the National Indian Gaming Commission, the Band may issue a

permanent license to such applicant.

2. The Band 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 H.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 Band with

a statement itemizing its objection(s) to the issuance of a

permanent license to a key employee or to a primary management

official for whom the Band has provided an application and

investigative report to the National Indian Gaming Commission, the

8
Band shall reconsider the application, taking into account the

objection(s) itemized by the National Indian Gaming Commission.

The Band shall make the final decision whether to issue a permanent

license to such applicant.

I. License Suspension

1. If, after the issuance of a provisional or permanent

gaming license, the Band 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 Band shall suspend such license and shall

notify in writing the licensee of the suspension and the proposed

revocation.

2. The Band 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 Band shadi decide

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

notify the National Indian Gaming Commission of its decision.

VIII. Licensing of Gaming Places, 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 Sycuan Indian Reservation.

IX. Creation of Tribal Gaming Commission

A. There is hereby created the Sycuan Tribal Gaming

Commission, which shall consist of three persons who would

themselves qualify for licensing under this Ordinance. Business

Committee Resolution No. 93/jo hereby is ratified to the extent

not inconsistent herewith.

B. The members of the Tribal Gaming Commission shall be

appointed by the Sycuan Business Committee, and shall not be

removed during their terms of office except for misconduct, neglect

of duties or other acts that would render such persons unqualified

for licensure hereunder. An affirmative vote of at least four

members of the Business Committee, taken in an open meeting after

a duly- noticed 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

Commission. At the request of the member whose removal is at

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

Committee also may elect to receive in executive session any

evidence public disclosure of which might compromise any on-going

law-enforcement investigation.

9
C. There shall be a Chairperson of the Tribal Gaming

Commission, who shall be appointed by the Business Committee for a

term of three years. One of the remaining members of the

Commission shall be appointed by the Business Committee for a term

of two years and the other to a term of one year. All subsequent

appointments for a term of three years. There will not be a limit

to the number of times a member of the Commission can be

reappointed. The Business Committee shall determine and authorize

the compensation to be paid to members of the Tribal Gaming

Commission based upon the Business Committees determination of the

time required to be expended upon Commission duties.

D. The Tribal Gaming4Commission shall be authorized and

hereby is directed to promulgate, subject to review and approval by

the Business Committee, detailed and comprehensive regulations for

the implementation and enforcement of this Ordinance. Said

regulations shall describe and establish the rules for each

specific Class II and Class III gaming activity to be authorized to

be conducted on the Sycuan Indian Reservation, and no form of such

gaming may be conducted on the Sycuan Indian Reservation without

prior approval by the Tribal Gaming Commission.

E. The Tribal Gaming Commission, independent of the Business

Committee, shall have full authority to monitor compliance with

this Ordinance and its Regulations, and to investigate and act to

prevent any violation(s) thereof.

F. Subject to the approval of the Business Committee and the

appropriation of funds therefor, the Tribal Gaming Commission shall

be authorized to employ such staff as reasonably may be required to

fulfill its responsibilities under this Ordinance. Compensation of

Commission employees shall be limited to that which is comparable

to compensation paid to persons performing similar duties in other

governmental gaming regulatory agencies.

G. The Business Committee hereby is authorized to establish

and impose upon gaming facilities, permittees, applicants and

licensees such application, permit and license fees as may be

necessary to fully reimburse the Band for its actual costs of

operating the Tribal Gaming Commission, enforcing this Ordinance

and Tribal Gaming Commission regulations, processing of licensing

and permit applications, and otherwise fulfilling its regulatory

responsibilities under IGRA. All such fees shall be collected by

the Tribal Gaming Commission and hereby are continuously

appropriated solely for the purposes enumerated in this Subsection.

H. Failure to timely pay any gaming-related fee imposed by

the Business Committee or the Tribal Gaming Commission, or to

comply with any Commission regulation or order, or any other

violation of this Ordinance or the terms of any Class III gaming

compact authorizing and regulating gaming on the Sycuan Indian

Reservation, shall be grounds for suspension or revocation of any

10
license or permit issued pursuant to this Ordinance, exclusion of

any non-member of the Sycuan Band from the Sycuan Indian

Reservation, and imposition of such other sanctions as may be

lawful and appropriate.

X. Amendments

The Sycuan Business Committee can amend this Ordinance in any

manner deemed appropriate to protect what the Business Committee

determines to be the best interests of the Band; provided that

such amendments would not constitute a violation of federal law or

would be inconsistent with the terms of an approved Tribal-State

Class III compact that is ineffect.

XI. Repeal

To the extent that they are inconsistent with this ordinance,

all gaming ordinances previously enacted or amended by the Sycuan

Band or the Business Committee hereby are repealed.

CERTIFICATION

The above Ordinance ~ ~/~ii3 was passed at a duly called

meeting of the Business Committee of the Sycuan Band of Mission

Indians at a duly held meeting on iO/7 ,1994, at which a quorum

was present.

The Vote w s _____

FOR, _____

OPPOSED AND ABSTAINED.

__________________

7

DANNY TU KER, CHAIRPERSON DA~E

______________________

-

GE~RGIA TL~KER, SECRETARY DATE

1.1