SANTA YNEZ BAND

OF MISSION INDIANS

TRIBAL GAMING COMMITTEE ORDINANCE

SECTION 1. STATEMENT OFPOLICY It is the purpose of

this ordinance to create the Santa Ynez Gaming Committee in order

to provide for the sound regulation of all gaming activities on

lands within the jurisdiction of the Santa Ynez Band of Mission

Indians, in order to protect the public interest in the integrity

of such gaming activities, to prevent improper or unlawful conduct

in the course of such gaming activities, to strengthen tribal selfgovernment and to promote economic selfsufficiency of the Santa

Ynez Band of Mission Indians.

SECTION 2. DEFINITIONS For purposes of this Ordinance:

(a) Act means the Indian Gaming Regulatory Act, Pub.L.

100497, 25 U.S.C. §S2701 et ~g. and 18 U.S.C. SS 11661168.

(b) Chairman means the Chairman of the Santa Ynez

Gaming Committee established by this Ordinance.

(c) Class II gaming means Class II gaming as defined

in accordance with the Act, 25 U.S.C. §2703(7) (A).

(d) Class III gaming means all forms of gaming that

are not Class I gaming or Class II gaming as respectively defined

in 25 U.S.C. § 2703 (6) and (7).

(e) Conunittee means the Santa Ynez Gaming Committee

established by this Ordinance.

(f) Contract means any management contract in effect

between the Santa Ynez Band of Mission Indians and a management
company with respect to gaming activities on the Santa Ynez Indian

Reservation.

(g) Executive Director means the Executive Director of

the Santa Ynez Gaming Committee established pursuant to this

Ordinance.

(h) Gaming Employee means a gaming employee as defined

in the Contract, and includes primary management officials and key

employees of the Gaming Operation.

(i) Gaming Facility means the building, room or rooms

or that portion of a room in which Class II gaming or Class III

gaming is conducted on the Santa Ynez Indian Reservation.

(j) Gaming Operation means the enterprise owned by the

Santa Ynez Band of Mission Indians on Tribal lands for the conduct

of Class II and Class III gaming.

(k) Gaming Services means the providing of any goods,

services or concessions by contract to the Tribe directly in

connection with the operation of Class II or Class III gaming in a

gaming facility in an amount in excess of ten thousand dollars

($10,000) monthly except for professional legal or accounting

services. No contract may be broken up into parts for the purpose

of avoiding this definition and any requirement of licensure or

certification contained in the Compact.

(1) National Indian Gaming Commission means the

National Indian Gaming Commission established pursuant to 25 U.S.C.

§2704.

2
(in) Ordinance means this Santa Ynez Tribal Gaining

Ordinance.

(n) tlStatett means the State of California, its

authorized officials, agents and representatives.

(o) Tribe means the Santa Ynez Band of Mission

Indians, its authorized officials, agents and representatives.

SECTION 3. AUTHORIZATION FOR GAMING ACTIVITIES

(a) Authority, for Class II gaming The Tribe shall be

authorized to conduct all forms of Class II gaming on the

Reservation, including without limitation any form of bingo

(whether or not electronic, computer, or other technologic aids are

used in connection therewith), including pull-tabs, lotto, punch

boards, tip jars, instant bingo, and other games similar to bingo

so long as played at the same location as bingo.

(b) Forms of Class III gaming authorized The Tribe may

conduct or operate all forms of Class III gaining authorized under

any Compact with the State of California that is in effect.

SECTION 4. COMPLIANCE WITH THE ACT This Ordinance

shall be construed in a manner which conforms to the Act in all

respects, and if inconsistent with the Act in any manner the

provisions of the Act shall govern.

(a) Proprietary Interest in gaining operation In

compliance with 25 U.S.C. §2710(b) (2) (A), the Tribe shall have the

sole proprietary interest in and responsibility f or the conduct of

any gaining activity on the Reservation; provided, however, that

3
nothing herein shall (i) preclude the Tribe from entering into a

Management Contract as authorized under 25 U.S.C. §2711.

(b) Annual audit In compliance with 25 U.S.C.

§~27l0(b) (2) (C) and (D), all gaming activities shall be subject to

an audit by independent certified public accountants, not less than

annually, and copies of the annual audit shall be provided to the

National Indian Gaming Commission. Copies of the annual audit

shall also be available to the general tribal membership upon

request, to be held in strict confidence. All contracts for

supplies, services, or concessions for a contract amount in excess

of $25,000 annually (except contracts for professional legal or

accounting services) relating to Class II or Class III gaming shall

be subject to such audits.

(c) Public safety standards In compliance with 25

U.S.C. §2710(b)(2)(E), the construction and maintenance of any

gaming facilities, and the operation of gaming activities, shall be

conducted in a manner which adequately protects the environment and

the public health and safety and for that purpose shall comply with

the requirements of the Compact and all other applicable health,

safety and environmental standards enacted by the Tribe.

(d) Background investigations and licensing In

compliance with 25 U.S.C. §2710(B) (2) (F):

(i) all Class II and Class III gaming employees

shall be subject to the background

investigation and licensing requirements of

applicable federal and tribal law.

4
(ii) Any person or entity proposing to sell or

lease gaming equipment, gaming devices or

other Gaming Services to the Tribe shall be

licensed to do so. The procedures for such

license and the standards therefor shall be

the same as those applicable to gaining

employees herein, and if applicant is a

corporation, trust or partnership, application

must be made by all officers, directors and

any person or entity holding 10% or more of

any beneficial or legal interest therein.

SECTION 5. PENALTIES Any individual who violates any

provision of this Ordinance shall be subject to civil penalties

including exclusion from employment by any Tribal gaming operation,

denial or revocation of a tribal gaining license, exclusion from

attendance at any Tribal gaming facility, exclusion from the

Reservation if a nonmember of the Tribe, or, with respect to any

person subject to the jurisdiction of the Tribe to impose such

fines, a fine of not more than $500.00 for each such violation.

The Santa Ynez Gaming Committee established pursuant to this

Ordinance shall have the jurisdiction to impose any such penalties

on any person within the jurisdiction of the Tribe.

SECTION 6. TRIBAL GAMING COMMITTEE

(a) Establishment of Committee There is hereby

established a Santa Ynez Gaming Committee consisting of five (5)

5
members, two of whom shall be members of the Santa Ynez Business

Committee; two of whom shall be tribal members who are not members

of the Santa Ynez, Business Committee and one of whom shall be a

tribal member who is employed by the Gaming Operation. The members

of the Committee shall serve on a part time basis, and the

compensation of members of the Committee shall be established by

the Santa Ynez General Council. The Committee shall select from

among its members a Chairman, a Secretary and such other officers

as it deems necessary.

(b) Election of Members The members of the Santa Ynez

Gaming Committee other than the employee member shall be elected by

the Santa Ynez General Council at a special election called for

that purpose. The employee member of the Gaming Committee shall be

elected solely by the tribal members who are employed by the Gaming

Operation at the time of that election.

(c) Terms of Office

(i) Each member of the Santa Ynez Gaming Committee

shall serve for a term of three (3) years commencing on the date

that the election results are certified and ending three years

later, or when that members successor takes office, whichever is

later.

(ii) Notwithstanding the provisions of Section

6(c) (i), the term of office of a Gaming Committee member elected as

a member of the Santa Ynez Business Committee shall expire if that

person ceases to be a member of the Business Committee, and the

term of office of the employee member of the Gaming Committee shall

6
expire if that person ceases to be an employee of the Gaming

Operation.

(iii) Notwithstanding the provisions of Section 6

(C) (i), at the first election to select members of the Gaming

Committee under this Ordinance, the employee member shall be

elected to an initial term of one (1) year, and one member elected

as a Business Committee member and one member elected as a non

Business Committee member shall be elected to initial terms of two

(2) years. Thereafter, all terms on the Gaming Conuiiittee shall be

for three (3) years.

(d) Removal From Office Members of the Gaming

Committee other than the employee member may be removed for cause

by a three-fourths (3/4) vote of the Santa Ynez General Council at

a special meeting called for that purpose, provided that the member

sought to be removed shall be given written notice of the cause for

removal not less than twenty (20) days before the special meeting

and is given the opportunity to respond to the charges at the

special meeting. The employee member of the Gaming Committee may

be removed for cause by a three-fourths (3/4) vote of the tribal

members employed by the Gaming Operation, provided that the same

procedures as set forth above are followed.

(e) Conflict of Interest No member of the Gaming

Committee shall either directly or indirectly enter into any

business relationship with, or accept or receive any compensation

from, the Gaming Operation other than as an employee of the Gaming

Operation.

7
(f) Powers and duties of Committee The Gaming

Committee shall have the following powers and duties:

(i) The Committee shall have primary

responsibility for oversight of the tribal

gaming operation to assure the integrity of

such operation and may, for that purpose,

employ non-uniformed inspectors who may be

present in all gaining facilities during all

hours of operation and who shall be under the

sole supervision of the Committee and not

under the supervision of any management

employees of the Tribal gaming operation.

Such inspectors shall have unrestricted access

to all areas of the gaming facilities at all

times, and personnel employed by the Gaming

Operation shall for such purposes provide such

inspectors access to locked and secure areas

of the gaining facilities in accordance with

the standards of operation and management

promulgated pursuant to the Contract. Such

inspectors shall report to the Committee

regarding any failure by the Gaming Operation

to comply with any of the provisions of the

Contract or this Ordinance and any other

applicable laws and ordinances. Inspectors

assigned by the Committee may also receive

8
consumer complaints within the Gaming

Facilities and shall assist in seeking

voluntary resolution of such complaints.

Inspectors appointed by the Committee shall be

licensed as gaining employees in accordance

with the Act.

(ii) The -

Committee may on its own initiative

investigate any aspect of the Gaming Operation

in order to protect the public interest in the

integrity of such gaming activities and to

prevent improper or unlawful conduct in the

course of such gaining activities, and shall

investigate any report of a failure of the

Gaining Operation to comply with the provisions

of the Contract or this Ordinance and may

require the Gaining Operation to take any

corrective action deemed necessary by the

Committee upon such terms and conditions as

the Committee may determine appropriate and in

accordance with the Contract. The Committee

may compel any person employed by or doing

business with the Gaming Operation to appear

before it and to provide such information,

documents or other materials as may be in

9
their possession to assist in any such

investigation.

(iii) The Committee shall carry out each of the

responsibilities and duties set forth for the

Santa Ynez Gaming Committee in the Contract.

(iv) The Committee may promulgate, review and

revise (as necessary) regulations to govern

the operation and management of the gaming

operation in accordance with the Contract.

(v) The Committee may impose penalties for

violations of this Ordinance or the Contract

in accordance with Section 6 of this

Ordinance.

(vi) The Committee may in the name of the Tribe

bring any civil action or criminal complaint

in the courts of the Tribe, State or the

United States to enforce the provisions of

this Ordinance, the Act or the Contract or to

enjoin or otherwise prevent any violation of

this Ordinance, the Act or the Contract,

occurring on the Reservation.

10
(vii) The Committee may receive any complaint from

an employee of the Gaming Operation or any

member of the public who is or claims to be

adversely affected by an act or omission of

the Gaming Operation or any employee thereof

which is asserted to violate this Ordinance or

the Contract, and may impose such remedial

action as it deems appropriate to bring the

Gaming Operation into compliance with such

provisions. The Committee may for this

purpose, in its sole discretion, conduct a

hearing and receive evidence with regard to

such complaint if it deems an evidentiary

proceeding useful in the resolution of such

complaint.

(viii) The Committee may grant or revoke tribal

gaming licenses as required under the Act.

(g) Orders The Committee may, whenever necessary to

protect the public interest in the integrity of Tribal Gaming

Operations, issue any order which the Committee has the power to

issue, to the Gaming Operation or to any employee or contractor of

the Gaming Operation or to any other person within the jurisdiction

of the Tribe, to take any action or cease and desist from any

action as may be required to protect the public interest.

11
(h) Executive Director The Committee may appoint an

individual to serve as Executive Director of the Committee to

administer its responsibilities as necessary and to oversee

inspectors appointed by the Committee as well as such other staff

as the Conunittee may from time to time employ. The Executive

Director shall be responsible for coordination of the functions of

the Committee with other federal, state and local agencies as

necessary. The Committee may request the Executive Director to

conduct a preliminary investigation and render a recommendation to

the Committee with respect to the imposition of any penalty, the

investigation of any complaint, or any other action within the

jurisdiction of the Committee. The Executive Director shall have

the power, in the name of the Committee, to conduct any hearing,

investigation or inquiry, compel the production of any information

or documents, and otherwise exercise the investigatory powers of

the Committee, which the Committee may exercise under this

Ordinance.

(i) Procedures of the Committee

(i) Regular meetings of the Committee may be held

upon such notice, and at such time and place

as shall from time to time be fixed by the

Committee. Unless otherwise specified by the

Committee, no notice of such regular meetings

shall be necessary.

12
(ii) Special meetings of the Committee may be

called by the Chairman or the Executive

Director. The person or persons calling the

special meeting shall fix the time and place

thereof.

(iii) At any meeting of the Committee, a majority

of the members then in office shall constitute

a quorum for the transaction of business. The

vote of a majority of the members present at a

meeting at which a quorum is present shall be

the act of the Committee. The Chairman shall

preside at all meetings of the Committee

unless the Chairman designates another member

to preside in his absence.

(iv) Any action required or permitted to be taken

at a meeting of the Committee may be taken

without a meeting if all of the members sign

written consents setting forth the action

taken or to be taken, at any time before or

after the intended effective date of such

action. Such consents shall be filed with the

minutes of the Committee, and shall have the

same effect as a unanimous vote or resolution

of the Committee at a legal meeting thereof.

13
(v) Members of the Committee may participate in a

meeting of the Committee by means of

conference telephone or similar communications

equipment by means of which all persons

participating in the meeting can hear each

other, and participation in a meeting in such

matter by any member who does not object at

the beginning of such meeting to the holding

thereof in such manner shall constitute

presence in person at such meeting.

(vi) No action of the Committee to impose a penalty

pursuant to Section 6 of this Ordinance, or to

revoke a license for a gaming employee

previously issued by the Committee, shall be

valid unless the person affected is given at

least seven days notice of the proposed

action and the opportunity to appear and be

heard before the Committee, either in person

or through a representative or legal counsel,

and to submit such evidence as the Committee

deems relevant to the matter at issue;

provided, that if the Committee deems it

necessary to protect the public interest in

the integrity of the gaming activities, the

Committee may take such action with immediate

14
effect as it deems required, and shall

thereupon provide notice and an opportunity to

be heard to the affected person as soon as is

reasonably practicable following such action.

Any person who is denied an initial gaming

license or who is barred from the gaming

facilities by action of the Committee may

request a hearing before the Committee by

written request submitted within thirty days

following receipt of notice of the action of

the Committee, and the Committee shall

thereupon afford an opportunity to appear and

be heard before the Committee, either in

person or through a representative or legal

counsel, and to submit such evidence as the

Committee deems relevant to the matter at

issue and thereafter the Committee shall

either affirm or reconsider its decision. Any

hearing conducted under this sub-section may

at the direction of the Committee be conducted

by the Executive Director or by one or more

members of the Committee designated by the

Committee for that purpose.

(vii) The Committee may adopt such additional

procedures and rules as it deems necessary or

15
convenient to govern its affairs and which are

consistent with this Ordinance.

SECTION 7. PROHIBITED ACTS It shall be a violation of

this Ordinance for any person to:

(a) Conduct or participate in any Class II or Class III

gaming operation on the Reservation other than at the gaming

facilities. -

(b) Receive, distribute, apply or divert any property,

funds, proceeds or other assets of the gaming operation to the

benefit of any individual or any other person except as authorized

by this Ordinance, the Contract or the Act.

(C) Tamper with any equipment used in the conduct of

tribal gaining operations with the intent to cause any person to win

or lose any wager other than in accord with the publicly announced

rules of such gaming operations.

(d) Do any other act in connection with the conduct of

the tribal gaming operations with the intent to affect the outcome

of any wager other than in accord with the publicly announced rules

of such gaming operations.

(e) To alter or misrepresent the outcome or other event

on which wagers have been made after the outcome is made sure but

before it is revealed to the players.

(f) To place, increase or decrease a bet or to determine

the course of play after acquiring knowledge, not available to all

players, of the outcome of the game or any event that affects the

16
outcome of the game or which is the subject of the bet or to aid

anyone in acquiring such knowledge for the purpose of placing,

increasing or decreasing a bet or determining the course of play

contingent upon that event or outcome.

(g) To claim, collect or take, or attempt to claim,

collect or take, money or anything of value in or from a gaming

device or other gaming activity, with intent to defraud, without

having made a wager thereon, or to claim, collect or take an amount

greater than the amount won.

(h) To place or increase a bet after acquiring knowledge

of the outcome of the game or other event which is the subject of

the bet, including past-posting and pressing bets.

(i) To reduce the amount wagered or cancel the bet after

acquiring knowledge of the outcome of the game or other event which

is the subject of the bet, including pinching bets.

(j) To manipulate, with the intent to cheat, any

component of an electronic game of chance or gaming device in a

manner contrary to the designed and normal operational purpose for

the component, including, but not limited to manipulating a gaming

device, with knowledge that the manipulation affects the outcome of

the game or with knowledge of any event that affects the outcome of

the game.

(k) Knowingly to use other than coins or tokens approved

by the Committee or other lawful coin, legal tender of the United

States of America, or to use a coin not of the same denomination as

the coin intended to be used in the gambling device.

17
(1) To possess, with the intent to use, any device to

assist in projecting the outcome of the game, in keeping track of

the cards played, in analyzing the probability of the occurrence of

an event relating to the game, or in analyzing the strategy for

playing or betting to be used in the game.

(in) To use any device or means to cheat, or to possess

any such device while at the gaming facility.

(n) Knowingly, to entice or induce another to go to any

place where gaming is being conducted or operated in violation of

the provisions of federal law or the Tribal ordinances, with the

intent that the other person play or participate in that gaming.

CERTIFICATION

The foregoing Santa Ynez Band of Mission Indians Tribal

Ordinance was duly adopted at a meeting of the Santa Ynez General

Council held on this 26th day of April , 1994, at

which 83 members were present constituting the required quorum,

by a vote of 69 for, 14 against, 0 abstaining.

Chairman,

Attest: ____________________________

Sedretary,

PNN06717

18
SANTA YNEZ BAND OF-MISSION INDIANS

TRIBAL ORDINANCE

INDIAN GAMING REGULATORY ACT COMPLIANCE

I. Purpose

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

empowered by the Tribes Articles of Association to enact

ordinances, hereby enacts this ordinance in order to ensure that

Class II and Class III gaming operations on tribal lands are

conducted in accordance with the Indian Gaming Regulatory Act.

II. Gaming Authorized

Class II gaming as defined in the Indian Gaming Regulatory

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

III 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. § 502.1 (as published in the Federal Register at 57 FR

1238212393, April 9, 1992) are hereby authorized.

III. Ownership of Gaining

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 and Class III 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 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. § 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 f or professional legal and accounting

services, shall be specifically included within the scope of the

PNNO7III 1
audit that is described in subsection A. above.

VI. Protection of the Environment and Public Health and Safety

Class II and Class III 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 or Class

III 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) 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 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 management official means

a. The person having management responsibility

for a management contract;

b. Any person who has authority:

PNNO7III 2
(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 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 Gaining 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 gaining 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

PNNO711I 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. 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

PNNO71I1 4
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;

3. 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) (1) 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.

PNNO71II 5
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 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 Gaming Commission

1. P~ursuant 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.

PNNO7III 6
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. Granting a 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 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.

PN~O711I 7
H. License Suspension

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.

VEil. License Locations

The Tribe shall issue a separate license to each place, facility, or location on

Indian lands where Class II or Class III gaming is conducted under this ordinance.

IX. Repeal

To the extent that they are inconsistent with this ordinance, the inconsistent

provisions of al prior gaming ordinances are hereby repealed.

CERTIFICATION

The foregoing Santa Ynez Band of Mission Indians Tribal Ordinance,

Indian Gaming Regulatory Act Compliance, was duy adopted at a meeting of the

Santa Ynez General Council held on this 26th Day of April , 1994, at which

83 members were present constituting the required quorum, by a vote of ..~.. for,

j.j against, Q abstaining.

Chairman, ~7 )

Attest:_________________

Secretary,
062895 O):31Pl~{ PRO~I OCA~ AY~ PHX ~2 TO 9/12026327066 P003

SUPPLEMENTAL INFOP~(ATION CONCERNING

THE SANTA YNEZ TRIBAL GAI.IING ORDINANCE

1. The Santa Ynez Tribal Gaming Committee viii be

responsible for conducting background inve~tigatione and

suitability determinations. The investigations will be conducted

by the investigative staff under the direction of the Santa Ynez

Tribal Gaming Committee Executive Director. Background information

meeting the requirements of 25 CFR Section 556 will be obtained

from each applicant on forms designed for that purpose.

Fingerprint cardo will be forwarded to the National Indian Gaming

Commission for processing through the FBI. Investigators of the

Santa Ynez Tribal Gaming Committee will verify background

information through telephonic or written communications and will

interview former employers and personal references. Court records

and/or credit reports viii also be reviewed. Personal interviews

with the applicant will also be conducted as necessary. During the

background investigation, potential problem areas and disqualifying

information will be documented in writing. The results obtained

from the background investigation, including any unsuitable

findings or problem areas, will be forwarded to the Santa Ynez

Tribal Gaming Committee.

2. Tribal~gaining licenses f or primary management officials

and key employees viii. be issued by the Santa Ynez Tribal Gaming

Committee as established by the Santa Ynez Band of Mission Indian

General Council.~ The Santa Ynez Tribal Gaming Committee will.

review the results of the background investigations. If more

information is required, the Santa Ynez Tribal Gaining Committee

will direct the Executive Director to obtain additional information

as necessary. When the Santa Yriez Tribal Gaming Committee is

satisfied that it has all of the background information required,

it will evaluate~ the inveBtigative results and reach a conclusion

as to the applicant based upon the standards for issuance of a

tribal gaming libanse under ~ederal law and the Santa Ynez Tribal

Gaming Ordinance. The Santa Ynez Tribal Gaining Committee will then

make a suitability determination as to the applicant and the

Executive Director of the Santa Ynez Tribal Gaming Committee will

then forward an investigative report and suitability determination

to the National Indian Gaming Commission on forms designed for that

purpose and meeting the NIGCs requirements.

3. Disputes between the gaming public and the Santa Ynez

Band of Mission Indians viii be resolved through procedures

established by the Santa Ynea Tribal Gaming Committee. Although

the Santa Yne~ Band of Mission Indians does not have a management

contract, disputes with any future management company would be

resolved under procedures that would be incorporated into the

management Contract.

1
062895 Ui:3IPM FROM OCAV/K~ LMV PHX ~2 TO 9/12026327066 P004

4. For the~purposes of service by the National Inctian Gaining

Commission, the agent for the Tribe is:

Chairman

Santa Yriez Band of Mission Indians

P. 0 Box 517

Santa Ynez, CA 93460

5. As described above, fingerprints will be ta)cen by t~ie

Santa Barbara County Sheriffs Department and forwarded directly to

the National Indian Gaming Commission for processing by the Federal

Bureau of Investigation to include the criininal history record

information (CHRI).

6. Attached is a copy of the Santa Ynez Tribal Ordinance

establishing the~Santa Ynez Tribal Gaming Committee and setting forth its powerS ana responsibilities.

PNNOBD8E

2
-e~31/1ss5 i~:Jb bb~~4b SANTA YNEZ GAMING C: PAGE 02

SANTA YNEZ TRiBAL GAMING COMMITTEE

POLICY STATEMENT

PATRON DISPUTE RESOLUTION

OVERVIEW

The dispute resolution policy provides a forum for the patron or guest to voice concerns about problems

encountered within the Santa Ynez Indian Casino and a mechanism to have those concerns addressed. The

problems addressed may include malflmctioning equipment, possible inaccuracies of calls made by gaming

personnel, disputes among patrons and any other circumstance that may pose a concern or threat to the

safety and or integrity of the Santa Ynez Indian Casino.

PROCEDURE

FIRST LEVEL

The personnel employed in Guest Relation positions and/or key employee positions are the fust point of

contact for the patron with a concern or complaint. The key employee should listen carefully to the nature

of the complaint and at the conclusionç escort the patron to the nearest Guest Relations employee. Only

after the patron is in contact with Guest Relations may the key employee leave the patron.

SECOND LEVEL

The Guest Relations employee shall determine the nature of the concern or complaint and attempt to

mediate the circumstances. If unable to successfully handle the concern or complaint, they are to escort the

patron to the head of the department in question for resolution. The department head shall document the

nature of the concern or complaint on an approved Santa Ynez Tribal Gaining Dispute Resolution form, a

copy of which is attached. The Dispute Resolution form shall be forwarded to the General Manager and

Santa Ynez Tribal Gaming Committee.

THIRD LEVEL

The General Manager, or his/her designee, shall review the nature of the concern or complaint and take

appropriate action to bring about a proper resolution to the dispute. If necessary, the General Manager may

speak personally with the patron or other parties involved in the dispute. The Gaming Committee shall be

advised of the final disposition and what steps were taken to sarisf~ the dispute.

FOURTH LEVEL

During any level of the Dispute Resolution process if it is found that the nature of the concern or complaint

involves the integrity of the Santa Ynez Indian Casino, or the integrity of the gaming activities, the Gaming

Committee Executive Director shall be notified and an investigation initiated.

In the event that such an investigation is initiated, the Gaming Committee will review the investigation

report and recommendations presented by the Executive Director and act as the final authority in the

Dispute Resolution process. The Gaming Committees determinatioo shall be final.