4.01 Establishment of the Review Board. The Review Board is hereby established. The
Review Board shall consist of four (4) members appointed by a majority vote of the Tribal
Council. A Review Board member shall serve for three (3) years and may be removed from
office prior to the end of their term by a unanimous vote of Tribal Council. In order to establish
annually staggered terms, the first Review Board members shall be appointed by the Tribal
Council as follows: one (1) member shall serve a three (3) year term, one (1) shall serve a two
(2) year term, and one (1) shall serve a one (1) year term for the initial appointment terms only.
Thereafter, all successive terms of appointment shall run for three (3) years. Vacancies shall be
filled within thirty (0) Calendar Days by the Tribal Council.

4.02 Purpose and Authority of Review Board. The Review Board shall serve as the final
appeal board to review any contested licensing action or fine imposed by the Gaming
Commission. In addition, the Review Board may, at the request of a patron, review any appeal
of a decision by the Gaming Commissioner related to a dispute over the play or operation of any
Class III Gaming device or banked game.

4.03 Review Board Qualifications for Membership. Each Review Board member shall
have a minimum of a four (4) year college degree and eight (8) years of experience in
accounting, gaming management or gaming regulation, or eight (8) years of law experience, or
an equivalent combination thereof. Each Review Board member shall be subject to the same
background and licensing standards as currently required for top-level casino management
positions according to this Ordinance and NIGC regulations and shall be required to sign a
confidentiality agreement as required by Section 3.10. No Person shall be eligible to serve as a
Review Board member who has been convicted or is currently being prosecuted for any crime of
moral turpitude or any felony. Review Board members may not be concurrently employed in
any Gaming Operation, may not concurrently hold any elected Tribal office, and may not be
related to any Person employed by the Tribal Gaming Operation. Review Board members and
their immediate family members may not engage in any Gaming Activity at any Gaming
Facility. For the purpose of this section “relative” or “immediate family member” shall be
defined as mother, father, (including step, adopted, or in-law for all), spouse, son, daughter,
brother, sister, grandparent, niece, nephew, uncle, aunt, and first cousins.

4.04 Compensation for Review Board Members. Review Board members shall be paid a
stipend at a rate to be established annually by the Gaming Commission budget, and approved by
the Tribal Council. Initially the stipend shall be at the rate of $350 per member per meeting.
Review Board members shall be reimbursed for actual expenses incurred on Gaming
Commission business, including necessary travel expenses. In no event shall compensation be
based on a percentage of net profits from Gaming Operations of the Viejas Band.

4.05 Selection of Chairperson. The Review Board shall select annually from its membership
a Chairperson, who shall chair all necessary hearings and meetings. If the Chairperson
determines that a meeting must be continued or postponed, the Chairperson may set the time and
date for additional meeting/hearing times. The Chairperson shall communicate the scheduling of
all meetings/hearings with the Commissioner.

12


10.02 Prohibition against Listed Individuals. It shall be violation of this Ordinance for any
licensed employee to knowingly fail to exclude or eject from the Gaming Facility any Person(s)
placed on the list referred to in Section 10.01. It shall be a violation of this Ordinance for any
Person whose name appears on the list referred to in Section 10.01 to enter into or engage in any
game at a Gaming Facility, and any such presence shall be considered trespassing.

10.03 Prohibition against Facilitating Underage Gaming. It shall be a violation of this
Ordinance for any Licensee to willfully and knowingly fail to exclude or eject from the Gaming
Facility any Person who is under the age of eighteen (18) years and playing Class II Games or
under the age of twenty-one (21) years and playing Class II] Games.

Section 11 — Facility License; Public Health and Safety

11.01 Protection of the Environment and Public Health and Safety. Each Gaming Facility
shall be constructed, maintained and operated in a manner that adequately protects the
environment and the public health and safety.

11.02 Licensing of Gaming Facility. Each Gaming Facility must be licensed by the Gaming
Commission. Prior to the issuance of a facility license, the Gaming Commissioner shall:

(A) determine that the Gaming Facility is constructed in conformance with all
applicable building codes;

(B) _ ensure that Security and Surveillance systems are in place to adequately provide
for the safety and security of employees and patrons and for the protection of
Tribal assets; and

(C) _ ensure that all employees are properly licensed and that the Gaming Facility is
otherwise in compliance with all applicable gaming laws and regulations.

Section 12 — NIGC And Tribal-State Compacts

12.01 NIGC; Regulations. Notwithstanding any provision in this Ordinance or any regulation
promulgated thereunder, the Gaming Commission is fully empowered to comply with all
regulations promulgated by the NIGC, including but not limited to, all requirements to report
ordinances, contracts, Gaming License applications, background checks, and other information
to the NIGC. The Commissioner shall also serve as the designated agent as required under the
NIGC regulations.

12.02 NIGC; Assessment. Notwithstanding any provisions in the Ordinance or any regulation
promulgated thereunder, the Gaming Commission is fully empowered to ensure compliance with
all assessments authorized by the NIGC. Such assessments shall be directed to be paid by the
Gaming Operation.

33


7.03 Gaming Commission Oversight of Internal Fiscal Affairs. The Gaming Commission
shall, by regulation ensure the conduct of audits of the financial statements of all Gaming
Operations at least annually. Such audits must:

(A)

(B)

(C)

(D)

be made by outside independent CPAs holding a permit issued by the State of
California to practice public accounting, such accountants shall be selected by
and contracted with the Gaming Commission;

include an opinion that the financial statement fairly and accurately present the
financial condition of the Gaming Operation in accordance with generally
accepted accounting principles (GAAP) and in accordance with the governmental
standards of accounting and the gaming auditing standards established by the
American Institute of Certified Public Accountants;

disclose whether the accounts, records and control procedures maintained by the
Gaming Operation are as required by the Regulations promulgated by the Gaming
Commission; and

provide for preliminary review of the internal control structure upon adoption of
the policies and procedures by the entity, provide an opinion regarding the
adequacy of controls, to disclose any deviation from prescribed rules and
Regulations, and report such findings to the Gaming Commission and
management.

7.04 Gaming Commission’s Right to Conduct Audits. The Gaming Commission shall be
able to retain its own staff auditors and accountants, or contract an accountant(s), to conduct its
own audits of any Gaming Operation.

7.05 Minimum Internal Control Standards

(A)

(B)

The Gaming Commission shall comply with 25 CFR Part 542 by formally
promulgating, and making applicable to the Gaming Operation, minimum internal
control standards (MICS) that:

(09) Provide a level of control that meets or exceeds those set forth in 25 CFR
Part 542, as a published or as revised by mutual agreement between the
NIGC and the Viejas Band;

(i) Contain standards for currency transaction reporting that comply with 31
CFR Part 103; and

(I) _ Establish internal control standards for Class IJ and Class III Games.
In order to verify that the Gaming Operation is in compliance with the MICS, an

independent CPA shall be engaged annually to perform “Agreed-Upon
Procedures” in the manner provided for in 25 CFR 542.3(f).

29


2.02 Gaming Authorized. Class II Gaming as defined in the Indian Gaming Regulatory Act,
P. L. 100-447, 25 U.S.C. §2703 (7) (a) “IGRA”) and by the regulations promulgated by the
National Indian Gaming Commission at 25 C.F.R. §502.3 (“NIGC”) (as published in the Federal
Register at 57 FR 12382-12393, April 9, 1993) is hereby authorized. Additionally, all forms of
Class III Gaming permitted in any Compact are authorized. The Gaming Commission shall
promulgate Regulations for rules governing all authorized games, including Regulations
governing the equipment (chips, dice, cards, tiles, devices, etc.) used in such game. Any
provision in the Viejas Band’s Compact with the State of California providing for testing, notice
to, and comment from the State, shall be complied with before any game is authorized by the
Gaming Commission. When there is reasonable cause to question the classification of a game
(i.e. Class II or Class III) the Gaming Commission shall authorize such games to be conducted as
Class II, unless or until the NIGC rules otherwise or until a court of competent jurisdiction has
ruled otherwise.

2.03 Approval of Class II and Class Ili Gaming. No Person licensed by the Gaming
Commission shall engage, conduct, or condone any Class II Gaming or Class II] Gaming unless
approved by the Gaming Commission and Regulations for rules governing such have been duly
promulgated by the Gaming Commission. Each request for approval of any Class II Gaming or
Class III Gaming shall be filed with the Gaming Commission. The Gaming Commission will
consider the request and will either approve or deny the request based on consistency with this
Ordinance and any other applicable laws or Regulations.

2.04 Approval of Gaming Equipment. The Gaming Commission shal! review and approve
all gaming equipment and other devices used in the Gaming Operation as to quality, design,
integrity, fairness, honesty, and suitability.

(A) | The Gaming Commission may require a prototype or sample of any model of
gaming equipment or other device used in the Gaming Operation to be placed in
the custody of the Commissioner and retained as a control for comparison

purposes.

(B) The Gaming Commission may contract with any outside independent gaming test
laboratory or other professional expertise it deems necessary or appropriate to
ensure the integrity of gaming devices, equipment, supplies, etc.

(C) _ Any evidence that gaming equipment or other devices used in the Gaming
Operation have been tampered with or altered in any way, which would affect the
integrity, fairness, honesty or suitability of the equipment or device shall be
immediately reported to the Gaming Commission.

2.05 Posting of Game Rules. The rules of each authorized game offered at any Gaming
Facility shall be posted in a conspicuous location and shall be clearly legible.

2.06 Other Gaming Related Activity. The Gaming Commission shall have full jurisdiction
for regulatory compliance and enforcement of any other gaming related activity that the Viejas
Band may elect to conduct. The Gaming Commission shall promulgate such Regulations as it


(b) Sign a statement that contains the Privacy Act Notice and False
Statement Notice.

(B) Background Investigation: No Gaming License shall be granted to any Person or
entity who has been determined to be a Person or entity whose prior activities,
criminal record, if any, or reputation, habits, and associations pose a threat to the
public interest or to the effective regulation and control of gaming, or create or
enhance the dangers of unsuitable, unfair, or illegal practices, methods, and
activities in the conduct of gaming or by the carrying on of the business and
financial arrangements incidental thereto.

@ Gaming License Application Minimum Requirements:

(a) The Gaming Commission shall request from each applicant all of
the following information:

00) Full name, other names used (oral or written), social
security number(s), birth date, place of birth, citizenship,
gender, all languages (spoken or written);

(ii) Currently and for the previous ten (10) years; business and
employment positions held, ownership interests in those
businesses, business and residence addresses, and driver’s
license numbers;

(iii) | The names and current address of at least three personal
references, including one personal reference who was
acquainted with the applicant during each period of
residence listed in the application;

(iv) Current business and residence telephone numbers;

(v) _ A description of any existing and previous business
relationships with Indian Tribes including ownership
interests in those businesses;

(vi) A description of any existing and previous business
relationships with the gaming industry generally, including
ownership interest in those businesses;

(vii) 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;

16


12.03 Compact. Notwithstanding any provision in this Ordinance or any regulation
promulgated thereunder, the Gaming Commission is fully empowered to comply with the
provisions of the Compact.

Section 13 — Miscellaneous

13.01 Security. Each Gaming Facility must provide for reasonable security. All security
personnel must be licensed by the Gaming Commission.

13.02 Surveillance. The Gaming Facility shall contain all surveillance equipment, supplies,
and space as deemed necessary by the Gaming Commission for the reasonable protection of
patrons, employees, and Tribal assets. All surveillance systems, equipment, rooms, etc., shall be
under the control and jurisdiction of the Gaming Commission. All surveillance staff shall be
employees of and report only to the Gaming Commission.

13.03 Maintenance of Ordinance and Regulations. Each Licensee shall obtain, maintain and
keep current a copy of the Ordinance and Regulations promulgated thereunder, which shall be
located at the Gaming Facility. That a Licensee may not have a current copy of the Ordinance,
or each of the Regulations of the Gaming Commission, shall not in way diminish the Licensee’s
obligation to abide by the Ordinance and Regulations.

13.04 Amendments. All provisions of this Ordinance are subject to amendment by the Tribal
Council. All Regulations promulgated by the Gaming Commission are subject to proper
revision, repeal, or amendment by the Gaming Commission.

13.05 Severability. If any provision of this Ordinance, or its application to any purpose or
circumstance, is held invalid by a court of competent jurisdiction, the full remainder of the
provision, or the application of the provision through another Person or circumstances, shall not
be affected.

13.06 Captions. The captions and headings contained in this Ordinance are included for
convenience only and shall in no way limit or affect the terms thereunder.

13.07 Sovereign Immunity. Except as expressly provided herein, nothing in this Ordinance
shall be construed as a waiver of the sovereignty immunity of the Viejas Band, including without
limitation, its officers, employees or Tribally-owned entities.

13.08 Consent to Jurisdiction. Any Person who applies for a License under this Ordinance,
applies for employment in any Gaming Operation, enters into any gaming related contract or
agreement with the Gaming Operation or Viejas Band, or enters a Gaming Facility, shall be
subject to this Ordinance and shall be deemed to have consented to the enforcement authority of
the Gaming Commission and the civil jurisdiction of the Viejas Band. Nothing in this section
shall be interpreted to limit, in any way, the civil jurisdiction of the Viejas Band.

34


Section 1 — Definitions ...

1.01
1.02
1.03
1.04
1.05
1.06
1.07
1.08
1.09
1.10
111
1.12
1.13
1.14
1,15
1.16
1.17
1.18
1.19
1.20
1.21
1.22
1.23
1.24
1.25
1.26
1,27
1.28
1.29
1.30
1.31
1.32
1.33
1.34

VIEJAS BAND OF KUMEYAAY INDIANS
TRIBAL CODE

TRIBAL GAMING ORDINANCE

Enacted on XXXXX

Table of Contents

Agreed Upon Procedure:
Chairperson .
Calendar Day
Class I Gaming...
Class II Gamin;
Class II] Gaming
Collateral Agreement
Commissioner!
Compact ......
Gaming Activities ..
Gaming Commissio!
Gaming Employe:
Gaming Facility
Gaming Licens:
Gaming Operatio1
Gaming Resource:
Gaming Resource Supplie
IGRA........
Indian Lands
Indian Tribe
Key Employee.
Licensee
Management Contract
MICS........
Net Revenue

Non-Gaming Employee.
Ordinance .
Person...
Primary Management Officia
Regulations
Review Board
Secretary

AUAAAAA EERE RRR WKWKKKWNNUNNNNNNNN EEE Eee



7.01

(A)

(B)

(©)

@)

(E)

Audit

Notice. The party asserting noncompliance or seeking an interpretation shall
serve written notice on the other party or parties. The notice shall identify the
specific Ordinance provision alleged to have been violated or in dispute and shall
specify in detail the factual basis for the alleged noncompliance or the proffered
interpretation of the Ordinance provision for which interpretation is sought.

Voluntary Resolution. Representatives of the Viejas Band and the other party or
parties shall meet within ten (10) Calendar Days following receipt of the notice in
an effort to resolve the dispute.

Arbitration Procedures. If the dispute is not resolved to the satisfaction of the
parties within thirty (30) Calendar Days after service of the notice set forth above,
the dispute shall be adjudicated through arbitration in San Diego, California.

() The parties shall attempt to agree upon one arbitrator with expertise in the
subject matter of the dispute.

(I) _ If the parties are unable to agree on an arbitrator, each party shall select an
arbitrator within ten (10) Calendar Days of the commencement of the
arbitration and the two (2) arbitrators shall mutually appoint a third
arbitrator within twenty (20) Calendar Days of their appointment. If the
two (2) arbitrators are unable to agree on the appointment of a third
arbitrator within twenty (20) Calendar Days, the third arbitrator shall be
appointed by the American Arbitration Association.

(IL) The arbitrator(s) shall confer with the parties immediately after
appointment to determine an arbitration schedule including whether and to
what extent discovery is required. The arbitrator(s) may set the matter for
an evidentiary hearing or oral argument, or may dispose of the dispute
based upon written submission only.

Arbitration Costs. The cost of arbitration shall be borne equally by the parties,
with one half of the expenses charged to the Viejas Band and one-half charged to
the other party or parties. The parties shall bear their own costs and attorneys’
fees associated with their participation in the arbitration unless the decision of the
arbitrator shall specify otherwise.

Arbitration Decision. The decision of the majority of the arbitrator(s) shall be
final, binding and not subject to appeal. Failure to comply with judgment upon

the award entered in such arbitration proceeding shall be deemed a breach of the
Ordinance.

Section 7 — Auditing, Fiscal Oversight, And Internal Controls

27


4.06 Meetings and Hearings. The Review Board shall not meet more than twice per month
unless deemed necessary by the Chairperson or at special request of the Commissioner. Should
additional meetings be necessary, the Chairperson and Commissioner shall concur on mutually
agreeable dates and times. Meeting and hearings shall take place on the Viejas Reservation.
Meetings and hearing proceedings shall have official minutes recorded by the secretary or
administrative assistant of the Gaming Commission. Records of board meetings and hearings
shall be exempt from state subpoena.

4.07 Quorum; Majority Vote. A quorum shall consist of all three (3) members of the
Review Board. All decisions shall be made by a majority vote of the Review Board members.

4.08 Due Process; Appealing Commission Actions. Any Gaming Commission decision
resulting in approving, disapproving, revoking, suspending, limiting or conditioning a Gaming
License, or the imposition of other sanctions under this Ordinance shall be made by the
Commissioner. Should an applicant or Licensee disagree with the determination of the
Commissioner, the Commissioner shall schedule a hearing with the Review Board to review the
decision, within thirty (30) Calendar Days from the date an applicant files his/her written appeal
with the Gaming Commission.

4.09 Review Board Findings. No later than three (3) Calendar Days following a hearing, the
Review Board shall make findings related to:

(A) _ the credibility of witnesses and facts presented at the hearing;

(B) — whether the action taken by the Commissioner was authorized under the
Ordinance; and

(C) — whether any other action recommended to the Review Board including, but not
limited to fines and forfeitures, should be taken.

4.10 Notification of Review Board Decision. Within ten (10) Calendar Days following the
Review Board making findings under Section 4.09, the Review Board shall inform the subject
and the Gaming Commission in writing of its decision. The Review Board’s decision shall be
binding, final and not subject to further appeal.

Section 5 — Licensing

5.01 Gaming License Requirement. Any Person seeking to conduct, operate or manage any
Gaming Activities shall apply for and receive all the required licenses from the Gaming
Commission prior to engaging in such Gaming Activities. All Gaming Resource Suppliers who
directly or indirectly, provide, have provided, or are deemed likely to provide at least twenty-five
thousand dollars ($25,000) in Gaming Resources in any twelve (12) month period, shall apply
for and receive all the required licenses from the Gaming Commission prior to providing Gaming
Resources. All Gaming Employees shall apply for and receive all the required licenses from the
Gaming Commission prior to employment. Any person seeking to conduct, operate, or manage
Gaming Activities without first obtaining the required licenses shall be deemed in violation of

13


(ii) | Every known criminal charge brought against the applicant
within the last 10 years of the date of the application; and

(iv) Every felony offense of which the applicant has been
convicted or any ongoing prosecution; and

(d) A copy of the eligibility determination made in accordance with
Section 5.08

(F) _ For the purposes of obtaining necessary fingerprints for processing, the
Commissioner and designated agents shall have Tribal law enforcement authority.

(G) Suitability determination and selection of Gaming Commission members is more
specifically set forth later in this Ordinance.

(H) | The investigative reports shall set forth, in detail, the:
() Steps taken in conducting the background investigation;
(I) Results obtained;
(III) Conclusions reached; and
(IV) | The basis for those conclusions.

(00) When a Primary Management Official or key employee is employed by the Tribe,
a complete application file, containing all of the information listed in Section
5.07(B), shall be maintained.

5.09 Suitability Determination; Gaming License Denial. The Commissioner may not grant
a Gaming License to any Person who has been convicted of any felony or gaming offense. The
Commissioner may deny a Gaming License to any Person, or may suspend or revoke the Gaming
License of any Person who:

(A) _ has knowingly and willfully provided false statements or information or omitted
material information on the Gaming License application or background
questionnaire; or

(B) __ is determined to be a Person whose prior activities, criminal record if any, or
reputation, habits, and associations pose a threat to the public interest or to the
effective regulation and control of gaming, or create or enhance the dangers of
unsuitable, unfair, or illegal practices, and methods, and activities in the conduct
of gaming or the carrying on of the business and financial arrangements incidental
thereto, or jeopardizes the integrity or reputation of the Viejas Band or its Gaming
Operation; or

19


policies and procedures set out in this section are implemented with respect to anyone employed
at any Gaming Facility.

(A) — Application forms:

(e) The following notice shall be placed on the application form for a
Gaming Employee, Non-Gaming Employee, Key Employee, or a
Primary Management Official before that form is filled out by an
applicant (the “Privacy Act Notice”):

“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 granted a gaming license.
The information will be used by the Tribal gaming regulatory authorities
and by the 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 by the Tribe or the NIGC 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 NIGC in connection with the issuance, denial, 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 being unable to license you
for 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.”

(i) The following notice shall be placed on the application form for a Key
Employee or Primary Management Officials before that form is filled out
by an applicant (the “False Statement Notice”):

“A false statement on any part of your Gaming License application may be
grounds for denying a Gaming License or the suspension or revocation of a
Gaming License. Also, you may be punished by fine or imprisonment. (U.S.
Code, Title 18, Section 1001.)”

(Il) Existing Gaming Employees, Non-Gaming Employees, Key Employees
and Primary Management Officials who have not filled out applications
with the Privacy Act Notice and False Statement Notice shall be notified
in writing that they shall either:

(a) Complete a new application which contains the Privacy Act Notice
and False Statement Notice; or

15


(A)

(B)

The Gaming Commission shall cause to be conducted annually an independent
audit of Gaming Operations and shall submit the resulting audit reports to the
NIGC.

All gaming related contracts that result in the purchase of supplies, services, or
concessions in excess of $25,000 annually, except contracts for professional legal
and accounting services, shall be specifically included within the scope of the
audit.

7.02 Minimum Procedures for Control of Internal Fiscal Affairs. The Gaming
Commission shall promulgate Regulations for internal controls and fiscal audits of all Gaming
Operations. At a minimum, those Regulations shall:

(A)

(B)

(C)

(D)

(E)
()

(G)

Prescribe minimum procedures for safeguarding the Gaming Operation’s assets
and revenues, including recording of cash and evidences of indebtedness and
mandatory count procedures. Such procedures shall establish a control
environment, accounting system, and control procedures that safeguard the assets
of the organization, assures that operating transactions are properly recorded, and
encourage adherence to prescribed policies;

’ Prescribe minimum reporting requirements to the Gaming Commission of

information that is required by this Ordinance or Regulation;

Provide for the adoption and use of internal audits by Commission auditors and
certified public accountants (CPA) licensed to practice accounting in the State of
California;

Ensure that a uniform code of accounts and accounting classifications are
formulated to assure consistency, comparability and effective disclosure of
financial information. Such code shall require that records be retained that reflect
statistical drop (amount of cash wagered by patrons), statistical win ( amount of
cash won by the Gaming Operation ) and the percentage of statistical win to
statistical drop, or provide similar information, for each type of game or each
gaming device;

Prescribe the intervals at which such information shall be furnished;
Provide for the maintenance of documentation (i.e., checklists, transaction forms,
programs, reports, etc.) to evidence all internal work performed as it relates to the

requirements of this section; and

Provide that all financial statements and documentation referred to in Section
7.01(F) be maintained for minimum of five (5) years.

28


3.06 Monthly Report. The Commissioner shall make at least monthly reports to the Tribal
Council within thirty (30) Calendar Days after the close of the month for which the information
is being required. The report shall at a minimum include a full and complete statement of
auditing activities, expenses and all other financial transactions of the Gaming Commission and
summary of all licensing and enforcement actions.

3.07 Prior Notice of Actions. In promulgating, amending, and repealing Regulations, the
Gaming Commission shall give prior notice of the proposed action to all Licensees and other
Persons whom the Commissioner has reason to believe have a legitimate and bona fide interest
in such proposed action. Said notice shall inform such Persons as to the general nature of the
proposed actions and advise them how they may submit comments on said proposed actions to
the Gaming Commission. Upon receipt of comments from affected parties, the Commissioner
shall schedule a meeting and present the proposed Regulations for approval and adoption. In
emergencies, the Gaming Commission may summarily adopt, amend, or repeal any Regulations
if, at the time, the Commissioner determines such action is necessary for the immediate
preservation of the public peace, health, safety, morals, and good order or general welfare,
together with a statement of facts constituting the emergency. The Commissioner shall schedule
such emergency action for a regular hearing as soon as possible, and not to exceed thirty (30)
Calendar Days after any such emergency action.

3.08 Right of Inspection. The Commissioner and his/her agents, inspectors, and employees
have the authority:

(A) _ to inspect and examine all premises wherein gaming is conducted or gambling
devices or equipment are used, manufactured, sold or distributed;

(B) to inspect all equipment and supplies in, upon or about a Gaming Facility, or
inspect any equipment or supplies wherever located, which may or have been used in the
Gaming Facility;

(C) to summarily to seize and remove from a Gaming Facility (or wherever located)
and impound such equipment or supplies for the purpose of examination, inspection,
evidence, or forfeiture;

(D) to demand immediate access to and inspect, examine and audit all papers, books,
and records of applicants and Licensees, and require verification of income and all other
matters affecting the enforcement of the policy of or any of the provisions of this
Ordinance;

(E) to seize and impound any patron’s winnings which the Gaming Commission has
reason to believe may have been won or obtained in violation of this Ordinance pending a
civil forfeiture hearing on such seizure; and

(F) The Review Board members and the Commissioner shall each have full power

and authority to issue subpoenas and compel the attendance of witnesses for hearing at
any place within the Viejas Band’s Indian Lands, to administer oaths and to require

10


California regarding hours or periods of operation of such card games or
limitations on wagers or pot sizes in such games.

(C) The term Class II Gaming does not include:

() Any banking card games, including baccarat, chemin de fer, blackjack
(21), or

(D Electronic or electromechanical facsimiles of any game of chance or slot
machines of any kind.

1.06 Class III Gaming means all forms of gaming that are not Class I Gaming or Class II
Gaming.

1.07 Collateral Agreement means any contract, whether or not in writing, that is related
either directly or indirectly, to a Management Contract or to any rights, duties, or obligations
created between a tribe (or any of its members, entities, or organizations) and a management
contractor or subcontractor (or any Person or entity related to a management contractor or
subcontractor).

1.08 Commissioner means the chief administrator of the Gaming Commission appointed by
the Tribal Council.

1.09 Compact means any agreement reached between the Viejas Band and the State of
California pursuant to 25 U.S.C. §2710 (d) and approved by the Secretary of the Interior. Any
such agreement shall affect the scope and regulation of Class III Gaming Activities only.

1.10 Gaming Activities means operating Class II Gaming and Class III Gaming authorized
under this Ordinance.

1.11 Gaming Commission shall have the meaning set forth in Section 3 of this Ordinance.
1.12 Gaming Employee means any Person employed by the Gaming Operation engaged in
the conduct of Class II or Class III Gaming Activity as well as any Primary Management Official

or Key Employee.

1.13 Gaming Facility means any premises where Gaming Activities are operated or
conducted.

1.14. Gaming License means a Tribal gaming license issued by the Gaming Commission.

1.15 Gaming Operation means the business enterprise owned by the Viejas Band that
conducts Gaming Activities.

1.16 Gaming Resources means any goods or services provided or used in connection with
Gaming Activities, whether exclusively or otherwise, including, but not limited to, equipment,


6.02 Approval of Management Contracts. The Gaming Commission may approve a
Management Contract entered into by the Viejas Band only if it determines that such
Management Contract provides for:

6.03

6.04

(A)

@®)

(C)

(D)
(€)

(F)

(G) .

adequate accounting procedures that are maintained, and for verifiable financial
reports that are prepared for the Tribal Council on a monthly basis;

access to the daily operations of the Gaming Operation to appropriate Tribal
officials who shall also have a right to verify the daily gross revenues and income
made from any such Gaming Activity;

a minimum guaranteed payment to the Viejas Band that has preference over the
retirement of development and constructions costs;

an agreed ceiling for repayment of development construction costs;

a contract term not to exceed five (5) years, except that, upon the request of the
Viejas Band, the Gaming Commission may authorize a contract term that exceeds
five (5) years but does not exceed seven (7) years if the Gaming Commission is
satisfied that the capital investment required, and the income projections for the
particular Gaming Activities, require additional time;

adequate grounds and mechanisms for the Viejas Band to terminate the
Management Contract, but actual termination shall not require the approval of the
NIGC; and

a hiring preference to Tribal Members and members of other Indian Tribes for
purposes of employment at the Gaming Facility.

Percentage of Net Revenue Fees

(A)

(B)

A Management Contract providing for a fee based upon a percentage of the Net
Revenues of Gaming Activity may be approved by the Gaming Commission if
such percentage fee is reasonable under the circumstances. Except as provided in
this section, such fee shall not exceed 30% of the Net Revenue;

Upon request of the Tribal Council, the Gaming Commission may approve a
Management Contract providing for a fee upon a percentage of the Net Revenue
of the Gaming Activity that exceeds 30% but not more than 40% of the Net
Revenues if the Gaming Commission and Tribal Council are satisfied that the
capital investment required, and income projections, for such Tribal Gaming
Activity require the additional fee.

Disapproval of Management Contracts

The Gaming Commission shall not approve any Management Contract if it determines that:

25


5.13

(B)

(©)

(0)

()

grounds for refusing to grant or renew a Gaming License, suspension or
revocation of a Gaming License, or shall constitute grounds for the imposition of
sanctions by the Gaming Commission or Commissioner.

If the Gaming Commission elects to resolve disputes in a manner other than
revocation of a Gaming License, such agreement shall be made in writing and
supersede any conflicting provisions of this section, so long as the agreement
provides a reasonable avenue for the Viejas Band to ensure a Licensee’s
compliance with all other aspects of this Ordinance.

Acceptance of a Gaming License or renewal on the part of the Licensee shall
constitute the Licensee’s agreement to be bound by all Regulations and conditions
of the Gaming Commission and by the provisions of this Ordinance as the same
are now, or may hereafter be amended or promulgated, and to cooperate fully
with the Commissioner and Gaming Commission.

It is the responsibility of the Licensee to keep informed of the contents of such
Regulations, amendments, provisions, and conditions, and ignorance thereof will
not excuse the violations.

All Gaming Licenses shall have a two (2) year duration and will require renewal
thereafter in accordance with procedures set forth by the Gaming Commission.

Report to the NIGC

(A)

(B)

If a Gaming License is not issued to an applicant, the Gaming Commission:
i¢3) Shall notify the NIGC;

(II) Shall forward copies of its eligibility determination and investigative
report (if any) to the NIGC for inclusion in the Indian Gaming Individual
Records System; and

(Il) — Shall retain applications for licensing and employment and reports (if any)
of background investigations for inspection by the NIGC Chairperson or
his or her designee for no less than three (3) years from the date denial or
revocation of a Gaming License, or termination of employment,
whichever is later.

The Gaming Commission shall retain for no less than three (3) years from the date
of termination of employment of a Primary Management Official or Key
Employee:

69) Applications for licensing;

(Il) __ Investigative reports; and

22


5.12 Parameters of Licenses
5.13. Granting a Gaming License to Key Employee or Primary Management Official
5.14. Gaming License Suspension or Revocation.
5.15 Special Rules Regarding Gaming Commission Employees .
Section 6 — Management Contracts.........sssesssseeeeeeee
6.01 Licensing of Management Contractor Required .
6.02 Approval of Management Contracts.
6.03 Percentage of Net Revenue Fees....
6.04 Disapproval of Management Contracts.
6.05 Modifying or Voiding a Management Contract
6.06 No Conveyance of an Interest in Land
6.07 _ Fee for Investigation Cost
6.08 Dispute Resolution.
Section 7 — Auditing, Fiscal Oversight, And Internal Controls
7.01 AUG eeeceseseeeseseeeeseseseseeeseeneneerercersetencatseeneaeenes
7.02 Minimum Procedures for Control of Internal Fiscal Affairs.
7.03. Gaming Commission Oversight of Internal Fiscal Affairs
7.04 Gaming Commission’s Right to Conduct Audits
7.05 Minimum Internal Control Standards
Section 8 — Patron Disputes
Section 9 — Unlawful Acts; Enforcement ..
9.01 Unlawful Acts ....
9.02 Prohibition against Electronic Aids.
9.03 Prohibition against Embezzlement.
. 9.04 Violations and Sanctions
9.05 Limitations Period..
9.06 Due Process Regarding Enforcement Actions .
Section 10 — Exclusion or Ejection of Indi
10.01 List of Undesirables
10.02 Prohibition against Liste
10.03 Prohibition against Facilitating Underage Gaming.
Section 11 — Facility License; Public Health and Safety ....
11.01 Protection of the Environment and Public Health and Safety
11.02 Licensing of Gaming Facility
Section 12 — NIGC And Tribal-State Compacts
12.01 NIGC; Regulations.
12.02 NIGC; Assessment .
12.03 Compact..........
Section 13 — Miscellaneous
13.01 Security...
13.02 Surveillance.
13.03 Maintenance of Ordinance and Regulations
13.04
13.05
13.06
13.07

iti


1.35 Tribal Council a)
1.36 Tribal Member. 5
1.37. Viejas Band . 5
Section 2 - Gaming Authorization; Ownership 5
2.01 Purpose ...ececseees 5
2.02. Gaming Authorized... 16
2.03 Approval of Class II an +6
2.04 Approval of Gaming Equipment . 6
2.05 Posting of Game Rules 6
2.07 Unauthorized Gaming... re vi
2.08 | Ownership; Revenues to ‘Benefit ‘the Viejas ‘Ban 7
Section 3 — Gaming Commission 2 7
3.01 Establishment and Authority of the Gaming Commission. 8
3.02 Appointment of Commissioner 8
3.03 | Commissioner’s Contract..... 8
3.04 Termination of Commissioner 8
3.05 Duties of Commissioner 8
3.06 Monthly Report.........
3.07 Prior Notice of Actions .
3.08 Right of Inspection.
3.09 Powers of Delegation
3.10 Confidentiality of Information
3.11 Independence of Gaming Commission .
Section 4 — Review Board
4.01 Establishment of the Review Board
4.02 Purpose and Authority of Review Board :
4.03 Review Board Qualifications for Membership 12
4.04. Compensation for Review Board Members..... . 12
4.05 Selection of Chairperson .12
4.06 Meetings and Hearings.. 13
4.07 Quorum; Majority Vote. 13
4.08 | Due Process; Appealing Commission Actions 13
4.09 Review Board Findings............... 13
4.10 Notification of Review Board Decision.
Section 5 — Licensin
5.01 Gaming License Requirement.
5.02 Nature of a Gaming License.
5.03 Gaming License Regulations ..
5.04 Gaming License Fees.....
5.05 Eligibility Determinatio:
5.06 Issuance of a Gaming License.
5.07 Employee Licensing .
5.08 Background Investigation of Gaming License Applicants .17
5.09 Suitability Determination; Gaming License Denial... 19
5.10 Failure of Applicant to Disclose Material Informatio:
5.11. Temporary Gaming Licenses

ii


testimony under oath. Any process or notice may be served in the manner provided for
service of process and notices in civil actions. The Review Board and the Commissioner
may pay such transportation and other expenses of witnesses as it may deem reasonable
and proper. Any Licensee failing to comply with any subpoena shall be subject to
immediate revocation of their Gaming License.

3.09 Powers of Delegation. The Gaming Commission may organize itself into a functional
division as it may deem necessary and from time to time alter such plan of organization as it may
deem expedient. The Gaming Commission shall establish its own budget for operations, and
acquire such furnishings, equipment, supplies, stationery, books, motor vehicles, and other things
as it may deem necessary or desirable in carrying out its functions, and incur such other expenses
within the limit of funds available to it, as it may deem necessary. Within the limits of a Tribal
Council approved budget, the Gaming Commission shall employ and fix the salaries of or
contract for the services of such professional, technical and operational personnel and
consultants as the execution of its duties and the operation of the Gaming Commission may
require. At the Tribal Council’s discretion, said budget may be reviewed and modified by the
Tribal Council every six (6) months. Upon the end of the budget year, any surplus which might
exist shall revert to the Tribal Government. The Commissioner shall keep and maintain a file of
all applications for licenses under this section, together with a record of all actions taken with
respect to such applications. The Commissioner shall keep and maintain such other files and
records as he/she may deem desirable.

3.10 Confidentiality of Information. Each member of the Review Board and each employee
of the Gaming Commission shall be required to sign a confidentiality agreement, and will be
responsible for ensuring the strictest standards of confidentiality with all information. All
information provided to the Review Board and Gaming Commission and all information
obtained by the Review Board and Gaming Commission in the performance of their duties shall
be kept confidential and shall not be disclosed to any Person or organization without the written
consent of the Tribal Council. The Review Board and the Commissioner may refuse to reveal, in
any court proceeding, the identity of any informant, or the information obtained from the
informant, or both.

3.11 Independence of Gaming Commission. The Commissioner, Commission Employees,
members of the Tribal Council and their immediate families shall receive no personal
compensation, gift, reimbursement or payment of any kind from any Person doing or wishing to
do business with the Viejas Band relating to gaming nor with any Person wishing to obtain an
unfair advantage in any authorized wager on gaming. Any property received in violation of this
provision, including cash payments, shall be immediately forfeited to the Viejas Band and the
offending Persons shall be prosecuted to the fullest extent possible. Neither the Commissioner
nor any Gaming Commission employees and their immediate families may gamble in the
Gaming Facility nor shall the Commissioner or any Gaming Commission employees have any
personal financial interest in any Gaming Facility, Gaming Operation, or Gaming Resource
Supplier.

Section 4 — Review Board

ll


Section 1 — Definitions

In construing the terms of this Ordinance, except when otherwise plainly declared or clearly
apparent from the context, words in the present tense shall include the future tense, words in the
singular shall include the plural, and vice versa. Unless a different meaning is indicated, the
terms used in this Ordinance shall have the same meaning as defined in IGRA.

1.01 Agreed Upon Procedures means the procedures that an independent certified public
accountant shall employ in order to verify that the Gaming Operation is in compliance with the
internal control standards in the manner provided for in 25 CFR 542.3(f).

1.02 Chairperson means the Review Board member selected annually from the Review
Board’s membership who shall chair all necessary hearings and meetings.

1.03. Calendar Day means any day of the year, including weekends and holidays.
1.04 Class I Gaming means:
(A) Social games played solely for prizes of minimal value; or

(B) _ Traditional forms of Indian gaming when played by individuals in connection
with tribal ceremonies or celebrations.

1.05 Class II Gaming means:

(A) _ The game of chance commonly known as bingo (whether or not electronic,
computer, or other technologic aids are used in connection therewith):

(I) Which is played for prizes, including monetary prizes, with cards bearing
numbers or other designations,

(I) ‘In which the holder of the card covers such numbers or designations when.
objects, similarly numbered or designated, are drawn or electronically
determined, and

(II) In which the game is won by the first person covering a previously
designated arrangement of numbers or designations on such cards,

including (if played in the same location) pull-tabs, lotto, punch boards, tip jars,
instant bingo, and other games similar to bingo, and

(B) — Card games that:

(1) Are explicitly authorized by the laws of the state of California; or

dl) Are not explicitly prohibited by the laws of the state of California and are
played at any location in the state, but only if such card games are played
in conformity with those laws and regulations (if any) of the state of


(viii)

(ix)

(x)

(xi)

(xii)

(xiii)

(xiv)

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;

For each misdemeanor conviction or ongoing misdemeanor
prosecution (excluding minor traffic violations), within the
(10) years of the date of the application, the name and
address of the court involved and the date and disposition;

For each criminal charge (excluding minor traffic charges),
whether or not there is conviction, if such criminal charge
is within ten (10) years of the date of the application, the
criminal charge, the name and address of the court involved
and the date and disposition;

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;

A current photograph;

Any other information the Gaming Commission deems
relevant; and

Fingerprints consistent with procedures adopted by the
Gaming Commission according to 25 C.F.R. §522.2 (h).
Fingerprints shall be required for employees defined as Key
Employees and Primary Management Officials only unless
otherwise requested by the Gaming Commission.

5.08 Background Investigation of Gaming License Applicants Pursuant to Section 522.2
(b) of the Rules and Regulations of the NIGC. The Gaming Commission shall conduct an
investigation sufficient to make a determination under Section 5.09 below. In conducting a
background investigation, the Gaming Commission shall promise to keep confidential the
identity of each Person interviewed in the course of the investigation.

(A)

(B)

Pursuant to any approved compact between the Viejas Band and the State of
California any applicable procedures for Tribal licensing and/or State licensing or
certification of all Gaming Employees for the conduct of Class III Gaming are
hereby adopted and incorporated by reference.

The minimum procedures for conducting background investigations on applicants

are:

Oo

Criminal history check;

17


August 17, 2018

Robert J. Welch, Jr., Chairman
Viejas Band of Kumeyaay Indians
1 Viejas Grade Road

Alpine, CA 91901

Re: Viejas Band Gaming Ordinance and Resolution No. 0705 18
Dear Chairman Welch:

Tam writing with respect to the July 9, 2018 request of the Viejas Band of Kumeyaay
Indians to the National Indian Gaming Commission to review and approve the Tribe’s amended
gaming ordinance. The amended gaming ordinance was adopted by Resolution No. 070518 of
the Tribal Council.

Thank you for providing the amended gaming ordinance for our review. The ordinance is
approved as it is consistent with the requirements of the Indian Gaming Regulatory Act and
NIGC regulations. If you have any questions concerning this letter, please contact Staff Attorney
Austin Badger at (202) 632-7003.

Sincerely,

Prove Pane. thd

Jonodev O. Chaudhuri
Chairman

cc: Tracy Burris, Gaming Commissioner
Viejas Gaming Commission

Gabriel Llerandi, Staff Attorney
Viejas Office of the Attomey General

NEW MAILING ADDRES:



(IV) Custodian of gaming supplies or cash;

(V) Floor manager;

(VI) __ Pit boss;

(VII) Dealer;

(VII) Cashier;

(IX)  Croupier;

(X) — Approver of credit;

(XI Any employee engaged in finance or accounting functions; or

(XII) Custodian of gambling devices including Persons with access to cash and
accounting records within such devices;

(B) _ Ifnot otherwise included, any other Person whose total cash compensation is in
excess of $50,000 per year; or

(C) _ Ifnot otherwise included, the four most highly compensated Persons in the
Gaming Operation.

1.22 Licensee means a Person that has been issued a Gaming License.
1.23 Management Contract means any contract, subcontract, or Collateral Agreement
between an Indian Tribe and a contractor or between a contractor and a subcontractor if such

contract or agreement provides for the management of all or part of a Gaming Operation.

1.24 MICS means the minimum internal control standards promulgated by the Gaming
Commission.

1.25 Net Revenue means gross gaming revenues of a Gaming Operation less:

(A) Amounts paid out as, or paid for, prizes; and

(B) Total gaming-related operating expenses, excluding management fees.
1.26 NIGC means the National Indian Gaming Commission.

1.27 NIGC Chairperson means the chairperson of the NIGC.


furniture, gambling devices and ancillary equipment, implements of Gaming Activities such as
playing cards and dice, furniture designed primarily for Gaming Activities, maintenance or
security equipment and services, and gaming consulting services. Gaming Resources does not
include professional accounting and legal services.

1.17 Gaming Resource Supplier means any Person who directly or indirectly manufactures,
distributes, supplies, vends, leases, or otherwise purveys Gaming Resources to the Gaming
Operation or Gaming Facility, provided that the Gaming Commission may exclude a purveyor of
equipment or furniture that is not specifically designed for, and is distributed generally for use
other than in connection with, Gaming Activities, if the purveyor is not otherwise a Gaming
Resource Supplier, the compensation received by the purveyor is not grossly disproportionate to
the value of the goods or services provided, and the purveyor is not influence over the Gaming
Operation.

1.18 IGRA means the “Indian Gaming Regulatory Act”, Public Law 100 §497, 102 Stat.
2467, codified at 25 U.S.C. §§2701 et seq. (Oct. 17, 1988).

1.19 Indian Lands means:
(A) Land within the limits of an Indian reservation; or
(B) Land over which an Indian Tribe exercises governmental power and that is either-

00) Held in trust by the United States for the benefit of any Indian Tribe or
individual; or

(1) Held by an Indian Tribe or individual subject to restriction by the United
States against alienation.

1.20 Indian Tribe means any Indian tribe, band, nation, or other organized group or
community of Indians that the Secretary recognizes as:

(A) _ Eligible for the special programs and services provided by the United States to
Indians because of their status as Indians; and

(B) Having powers of self-government.

1.21. Key Employee means:
(A) _ A Person who performs one or more of the following functions:
0) Bingo caller, supervisor, cashier;
(i) ~—- Counting room supervisor; and count and drop personnel;

(1) Chief of security; and security personnel;


employees may not participate in matters relating to their own background investigations. Such
background investigations shall be performed under the direction of the Commissioner.

Section 6 — Management Contracts

6.01 Licensing of Management Contractor Required

(A)

(B)

()

)

Any Management Contract entered into by the Viejas Band for the operation and
management of Gaming Activity must provide that the management contractor
obtain a Gaming License. Prior to issuing a Gaming License to a management
contractor, the Gaming Commission shall require and obtain the following
information:

00)

ay

(ain)

(Iv)

the name, address, and other additional pertinent background information
on each person or entity (including all officers and management officials
comprising such entity) having direct financial interest in, or management
responsibility for the management contractor, and in the case of a
corporation, those individuals who serve on the board of directors of such
corporation and each of its stockholders who hold (directly or indirectly)
10% or more of its issued and outstanding stock;

a description of any previous experience that each Person listed pursuant
to Section 6.01(A)(1) has had with other gaming contracts with Indian
Tribes or with the gaming industry generally, including specifically the
name and address of any licensing or regulatory agency with which such
Person has had a contract relating to gaming;

Any further or additional information as may be required under the
Compact;

Any further or additional information as may be required under existing
rules and Regulations for Management Contracts required by IGRA;

Any Person listed pursuant to Section 6.01(A)(1) shall be required to respond to
such written or oral questions that the Gaming Commission may propound.

For purposes of this Ordinance, any reference to the Management Contract shall
be considered to include any Collateral Agreements to such Management Contract
that relate to the Gaming Activity.

After the Gaming Commission has determined that a management contractor is
suitable for licensure, and has given its approval of the Management Contract, the
Gaming Commission shall submit such contract to the NIGC for approval. Any
Management Contract shall be void until the NIGC has approved it.

24


(ID Eligibility determinations.

5.14 Granting a Gaming License to Key Employee or Primary Management Official.

5.15

(A)

(B)

()

Tf, within a thirty (30) Calendar Day period after the NIGC receives a report, the
NIGC notifies the Viejas Band that it has no objection to the issuance of'a
Gaming License pursuant to a Gaming License application filed by a Key
Employee or Primary Management Official for whom the Gaming Commission
has provided an application and investigative report to the NIGC, the Gaming
Commission may issue a Gaming License to such applicant. Within 30 days after
the issuance of the license, the Gaming Commission shall notify the NIGC of its
issuance.

The Gaming Commission shall respond to a request for additional information
from the NIGC Chairperson concerning a Key Employee or Primary Management
Official who is the subject of a report. Such a request shall suspend the thirty (30)
Calendar Day period under Section 5.15(A) until the NIGC Chairperson receives
the additional information.

If, within the thirty (30) Calendar Day period described above, the NIGC provides
the Gaming Commission with a statement itemizing objections to the issuance of
a Gaming License to a Key Employee or Primary Management Official for whom
the Gaming Commission has provided an application and investigative report to
the NIGC, the Gaming Commission shall reconsider the application, taking into
account the objections itemized by the NIGC. The Commissioner shall make the
final decision whether to issue a Gaming License to such applicant.

Gaming License Suspension or Revocation

(A)

@)

(©)

If, after the issuance of a Gaming License, the Gaming Commission receives from
the NIGC or other source, reliable information indicating that a Licensee is not
eligible for licensure, the Gaming Commission shall suspend such Gaming
License and shall notify in writing the Licensee of the suspension and the
proposed revocation.

The Gaming Commission shall notify the Licensee of a time and place for a
hearing on the proposed revocation of the Gaming License.

After a revocation hearing, the Gaming Commission shall decide whether to
revoke or reinstate the Gaming License. The Gaming Commission shall notify
the NIGC of its decision within 45 days of receiving notice from the NIGC.

5.16 Special Rules Regarding Gaming Commission Employees. Gaming Commission
employees shall not require licensing but must pass the background screening and suitability
determination set forth in Sections 5.07 through 5.09 of this Ordinance. Gaming Commission

23


13.08
13.09
13.10
13.11

Consent to Jurisdiction .
Agent for Service ..
Law Enforcement...
Effective Date and Repeal

iv


this Ordinance and shall be subject to fines and penalties as set forth herein. Nothing in this
section shall prohibit a Person from being temporarily employed in a Gaming Activity or as a
Gaming Employee after being hired for a short period of time, not to exceed thirty (30) Calendar
Days, pending the grant of a temporary license in conformance with background investigation
and licensing procedures adopted by the Gaming Commission.

5.02 Nature of a Gaming License. A Gaming License is a revocable privilege, and the
issuance of a license shall not create any vested right. A Gaming License is personal to the
Licensee and may not be reassigned or transferred.

5.03 Gaming License Regulations. The Gaming Commission shall promulgate Regulations
governing the issuance, renewal, denial, suspension and revocation of Gaming Licenses. Such
Regulations shall meet or exceed the requirements for licensing of Class III Gaming pursuant to
the terms and conditions of the Compact.

5.04 Gaming License Fees. The Gaming Commission shall set fees for applications,
background investigations and Gaming Licenses, subject to approval by the Tribal Council. All
such fees shall be made payable to the Viejas Band and delivered to the Viejas Tribal Treasurer.

5.05 Eligibility Determination. The Gaming Commission shall review a Person’s prior
activities, criminal record, if any, and reputation, habits and associations to make a finding
concerning the eligibility for receipt of a Gaming License. If the Gaming Commission
determines that licensing 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, or jeopardizes the integrity or reputation of
the Viejas Band or the Gaming Operation, a Gaming License shall not be granted.

5.06 Issuance of a Gaming License.
(A) | The Commission, upon completion of appropriate background investigation and
suitability determination shall either grant or deny a Gaming License. The issuance of a
Gaming License shall be done only provided that:
0) A completed Gaming License application has been received;
(I) All applicable licensing fees have been paid; and
(II) No objection has been raised by the NIGC or the State of California.
(B) The Gaming Commission may license a Primary Management Official or Key
Employee applicant after submitting a notice of results of the applicant’s background
investigation to the NIGC.
5.07 Employee Licensing. All Gaming Employees, Non- Gaming Employees, Key

Employees and Primary Management Officials shall apply for and be granted a Gaming License
prior to employment in the Gaming Operation. The Gaming Commission shall ensure that the

14


@)

10)
0)

(K)

_ (Ly

(M)

(N)

(0)

(P)

Q)

(R)

manipulate with intent to cheat, any component of a gaming device in a manner
contrary to the designed and normal operational purpose for the component, with
knowledge or hope that the manipulation affects the outcome of the game or prize
or with knowledge of any event that affects the outcome of the game or prize;

solicit funds or anything of value from any patron or employee;

unlawfully take or attempt to take any chips, coin(s), token(s) machine credits
currency, or anything of value from any patron or employee on the premise;

refuse to leave the Gaming Facility when appropriately advised to do so by a
member of management, security, or the Gaming Commission;

damage or attempt to damage either intentionally or negligently any property,
gaming device or equipment, or any article belonging to the Viejas Band, patron,
employee, or Tribal corporation;

make any wager either directly or indirectly in any Class If Gaming Activity, if
such Person is under eighteen (18) years of age, or Class III Gaming Activity, if
such Person is under twenty-one (21) years of age;

either intentionally or negligently cause injury or harm to any patron, or employee
or threaten to do so;

possess any chips, tokens, cards, device, paraphernalia, etc., that could reasonably
be concluded as useful in cheating, defrauding, manipulating, or altering any
game, gaming device equipment, machine, computer, or supplies;

aid, conspire, collude or assist in any way with any other Person to win or have
any unfair advantage to win or otherwise acquire anything of value unfairly;

offer or attempt to offer anything of value to a Licensee in an attempt to induce
the Licensee to act or refrain from acting in a manner contrary to the duties of the
Licensee under applicable law; and

take any action which interferes with or prevents the Gaming Commission from
fulfilling its duties and responsibilities under this Ordinance or other applicable
law or regulation.

9.02 Prohibition against Electronic Aids. Except as specifically permitted by the
Commissioner, no Person shall possess with the intent to use, or actually use, either by himself
or herself, or in concert with others, any calculator, computer or other electronic or
electromechanical device to assist in projecting an outcome of any Class II or Class III Game, to
keep track of or analyze the cards having been dealt, to change the probabilities of any Class II
or Class III Game, or the playing strategies to be utilized.

31


9.03 Prohibition against Embezzlement. Any delay, maneuver or action of any kind which
in the opinion of the Commissioner is effectuated by any Licensee to unlawfully divert gaming
or other proceeds properly belonging to the Viejas Band shall constitute grounds for taking
sanctions against that Licensee. If the Gaming Commission finds an unlawful diversion was
conducted or attempted, it shall sanction the Licensee.

9.04 Violations and Sanctions. Any Person who violates the terms of this Ordinance shall be
subject to sanctions, fines, prosecution, exclusion, and any other action authorized by applicable
law. A violation of this Ordinance may be punished by a fine of no more than $5,000 for each
separate count or violation. Each Calendar Day of violation shall constitute a separate count or
violation under this Ordinance: Any Person violating this Ordinance may also be required to pay
costs, storage fees, and auction or sales fees. All property used or which may be used in
activities in each and every separate violation of this Ordinance may become the property of the
Viejas Band; Persons may be prohibited from trespassing on premises licensed under this
Ordinance, licenses may be suspended, revoked, or limited and Gaming Facilities may be closed.
All such action shall be taken at the discretion of the Gaming Commission, subject to the right of
appeal to the Review Board. Winnings found to have been received in violation of this
Ordinance shall be forfeited and become the property of the Viejas Band. ~
9.05 Limitations Period. No fine shall be assessed, nor any action taken by the Gaming
Commission, for any violation of this Ordinance unless such action is initiated within two (2)
years of the Gaming Commission’s discovery of the violation.

9.06 Due Process Regarding Enforcement Actions. The Gaming Commission shall
promulgate Regulations protecting due process rights of all individuals subject to the
enforcement of this Ordinance. Such Regulations shall, at a minimum:

(A) _ provide standards for emergency or summary suspension of a Gaming License;

(B) provide fair notice and opportunity for hearing before the Gaming Commission
regarding any revocation or suspension of a Gaming License, and regarding any
enforcement action taken pursuant to this Ordinance; and

(C) _ provide the right to appeal, de novo, any Gaming Commission disciplinary or
enforcement action to the Review Board.

Section 10 — Exclusion or Ejection of Individuals

10.01 List of Undesirables. The Gaming Commission may, by regulation, provide for the
establishment of a list of Persons who are to be excluded or ejected from any Gaming Facility.
The list may include any Person whose presence in the Gaming Facility is determined by the
Gaming Commission to pose a threat to the interests of the Viejas Band, the gaming public, or to
the Gaming Activity.

32


()

@)

(€)

()

(@)

(A)

00)
()

(K)

has violated, failed or refused to comply with the provisions, requirements,
conditions, limitations or duties imposed by any provision of this Ordinance, the
Compact, or any provision of any Federal, State, or Tribal gaming
laws/regulations, or when any such violation has occurred upon any premises
occupied or operated by any such Person or over which such Person has
substantial control;

knowingly causes, aids, abets, or conspires with another to cause any Person to
violate any provision of this Ordinance, the Compact, or any provision of any
Federal, State, or tribal gaming laws/regulations;

has obtained a state or tribal gaming license or certification by fraud,
misrepresentation, concealment or through inadvertence or mistake;

has been convicted of, or forfeited bond upon a charge of, or plead guilty to,
forgery, larceny, extortion, conspiracy to defraud, willful failure to make required
payment or reports to any government, whether tribal, State, or the United States;
or U.S. Government Agency at any level, or filed false reports therewith, or of
any similar offense(s), or of bribing or otherwise unlawfully influencing a public
official or employee of an Indian Tribe, a state, or the U.S. Government, or of any
crime, whether a felony or misdemeanor, involving any Gaming Activity,
misappropriation of funds or physical harm to individuals or moral turpitude;

makes a misrepresentation of, or fails to disclose a material fact to the Gaming
Commission, federal, or state authorities;

is subject to current prosecution or pending charges, or a conviction which is
under appeal, for any of the offenses included under Section 5.09(F); provided
that the Gaming Commission may defer decision upon the application during the
pendency of such prosecution or appeal;

has had a gaming license issued by any state or Indian Tribe revoked or denied;

has demonstrated a willful disregard for compliance with gaming regulatory
authority in any jurisdiction, including suspension, revocation, denial of
application or forfeiture of a gaming license;

has pursued or is pursuing economic gain in an occupational manner or context
which is in violation of the criminal laws of any state if such pursuit creates
probable cause to believe that the participation of such Person in gaming or
related activities would be detrimental to the proper operation of an authorized
gaming or related activity in California. For purposes of this Ordinance,
“occupational manner or context” shall be defined as the systematic planning,
administration, management or execution of an activity for financial gain;

20


Exhibit A


deems necessary to ensure the integrity of such activity and to ensure compliance with all
applicable Federal laws and regulations. Gaming Commission approval with regard to
compliance with applicable gaming laws and regulations shall be required for any contracts
related to any such gaming related activities. For the purposes of this section, such gaming
related activities shall include but not be limited to:

(A) manufacture, development, assembly, sales, or distribution of any gaming
machines, devices, equipment, software, or components thereof;

(B) _ joint ventures with other tribes, entities, persons, etc., related to Gaming Activity;

(C) management or service contracts with any other Indian Tribe, entities, Persons,
etc., related to Gaming Activities; and

(D) any financial loans, grants or other relationship with any Indian Tribe, entity,
Person etc., related to Gaming Activity.

2.07 Unauthorized Gaming. Any Person who commits any act of unauthorized gaming on
the Viejas Band’s Indian Lands shall be in violation of this Ordinance. If the Gaming
Commission should have reasonable cause to believe any such violation occurred, it may impose
licensing sanctions, fines, prosecution and exclusion.

2.08 Ownership; Revenues to Benefit the Viejas Band. The Viejas Band shall have the sole
proprietary interest in, and sole responsibility for, the conduct of the Gaming Activity. Such
provision does not, however, limit the Viejas Band’s ability to enter into a Management Contract
wherein net profits are divided between the Viejas Band and other parties to the contract. The
Viejas Band’s share of Net Revenues will go entirely to the Viejas Band and will be used solely
for the following purposes:

(A) _ to fund Tribal government operations or programs;

(B) _ to provide for the general welfare of the Viejas Band and its members;

(C) _ to promote Tribal economic development;

(D) _ to donate to charitable organizations;

(E) _ to help fund operations of local government agencies; or

(F) Net Revenues from the Gaming Operation may be used to make per capita

payments to members of the Viejas Band pursuant to a plan approved by the
Secretary.

Section 3 — Gaming Commission


administration of all Gaming Activity. The Commissioner’s duties shall include but not be
limited to the following:

(A)

(B)

(©)

(D)

()

®)

(G)

Negotiating contracts for payments by the Viejas Band for the provision of
security, surveillance, outside independent auditing services. Such contracts must
be approved by the Tribal Council and shall not constitute a waiver of jurisdiction
by the Viejas Band.

Correspond with the NIGC and do whatever is necessary to ensure compliance
with the rules and regulations of that agency. Specifically, the Commissioner,
with approval of the Tribal Council, shall arrange for an annual outside audit of
authorized gaming and will provide a copy to the NIGC.

The Commissioner will assure that all gaming activity is conducted in a manner
which adequately protects the environment and the public’s health and safety;

The Commissioner will ensure that background investigations are conducted on
all Primary Management Officials, Key Employees, Gaming Employees and Non-
Gaming Employees of any Gaming Facility and that oversight of such officials
and their management is conducted on an ongoing basis. The Commissioner will
make suitability determinations on the granting of Tribal licenses for all of the
Gaming Operation employees. The Commissioner shall immediately notify the
NIGC of the issuance of such licenses for Primary Management Officials and Key
Employees. The Commissioner will review all Gaming License applications and
background investigations to ensure that no Person shall be eligible for
employment if that Person’s prior activities, criminal record (if any), or
reputation, habits and associations pose a threat to the public interest or to the
effective regulation of gaming or create or enhance the dangers of unsuitable,
unfair, or illegal practices and methods and activities in the conduct of gaming or
jeopardize the integrity or reputation of the Viejas Band or its Gaming Operation.
The Commissioner shall notify the NIGC of the results of such background
checks before the issuance of such licenses to Primary Management Officials and
Key Employees.

Hiring, pursuant to the approval of the Tribal Council, such professional, clerical,
technical and administrative personnel as may be necessary to carry out the
provisions of this Ordinance.

Inspect, review and copy all records, documents, equipment and facilities, or
anything else necessary and pertinent to enforcement of any provisions of this
Ordinance.

Making decisions and execute any sanctions on any Person subject to the
jurisdiction of this Ordinance, as deemed necessary, appropriate and lawful.


Tribal Council Resolution

Adopting the Tribal Gaming Ordinance
No.: \

Page 2 of 2

NOW, THEREFORE BE IT RESOLVED THAT THE TRIBAL COUNCIL HEREBY
CERTIFIES AND DULY APPROVES AND AUTHORIZES, AFTER MOTION AND
UPON THE VOTE OF THE MAJORITY OF COUNCIL MEMBERS, THE FOLLOWING:

Tribal Council adopts and approves the ordinance attached as Exhibit A.

Tribal Council hereby directs the Commissioner of the Viejas Tribal Gaming
Commission to submit to the Chairperson of the National Indian Gaming Commission for review
and approval the ordinance attached as Exhibit A, and to take all such action that is necessary to
make the ordinance effective.

The Chairperson of the Viejas Band, or in the Chairperson's absence, the Vice
Chairperson, is hereby authorized to take any required action and to execute on behalf of the
Viejas Band, any and all documents required to further the purposes of this resolution.

Upon approval of the ordinance attached as Exhibit A by the Chairperson of the National
Indian Gaming Commission, this resolution shall supersede and replace all prior resolutions
passed by Tribal Council related to the Tribal Gaming Ordinance.

CERTIFICATION
ae. or Jul ; : ;
Resolution passed this 9 day of Y y , 2018, at a duly noticed meeting of the Viejas
Tribate i for gainst, and _O abstaining.

Alosen +

Victor Ei Woods, Vice Chairman

az Lf Crres Jj

Rene Curo, Tribal Secretary Samuel Q. Brown, Tribal Treasurer

Absent Mri! BL
Adrian M. Brown, Councilman Gabriel T. TeSam,4r., Councilman

i

Kevin M. Cargyéss, Councilman



(C)
)

Compliance. The Gaming Commission shall monitor and enforce compliance
with the MICS in the manner provided for in 25 CFR 542.3(g).

Enforcement. Any failure to adopt MICS, perform Agreed-Upon Procedures,
prevent or obstruct the exercise of any of the Gaming Commission’s powers, or
comply with the MICS, is a violation of this Ordinance and subject to
enforcement action by the Gaming Commission.

Section 8 — Patron Disputes

The Gaming Commission shall promulgate regulations governing the administration and
resolution of patron disputes related to the play or operation of any Gaming Activities in a
manner consistent with IGRA and obligations set forth in the Compact.

Section 9 — Unlawful Acts; Enforcement

9.01 Unlawful Acts. It is unlawful for any Person to:

(A)

@)

(C)

(D)

€)

®

(G)

alter or misrepresent the outcome of a game or other event on which wagers have
been made after the outcome is determined but before it is revealed to the players;

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 knowledge
of any event that affects the outcome of the game or knowledge that is the subject
of the bet or wager;

aid anyone in acquiring such knowledge under Section 9.01(B) for the purpose of
increasing or decreasing a bet or wager, or for the purpose of determining the
course of play contingent upon that event or outcome;

claim, collect or take, or attempt to claim, collect or take, money or anything of
value in or from a gambling game with intent to defraud, without having made a
wager contingent thereon, or to claim, collect or take an amount greater than the
amount won;

knowingly to entice or induce another to go to any place where a gambling game
is being conducted or operated in violation of the provisions of this section, with
the intent that the other Person play or participate in that gambling game;

place or increase a bet or wager after acquiring knowledge of the outcome of the
game or event which is the subject of the bet or wager, including past-posting and
pressing bets;

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 or wager,
including pinching bets;

30


(©)

(D)

(€)

(I) Civil history check;

(U1) Financial and credit check;

(IV) Reference check;

(V) Previous business and employment check;
(VI) _ Relative check;

(VID Business and personal associates check;
(VIII) Educational verification;

(IX) Document the disposition of all potential problem areas noted and
disqualifying information needed; and

(X) _ Any other investigation deemed necessary or appropriate by the Gaming
Commission.

The Commissioner is primarily responsible for the conduct of the background
investigations and suitability determinations in consultation with the NIGC.

The Gaming Commission shall be responsible for conducting, reviewing, and
either approving or disapproving the investigative work.

The Commissioner is responsible for notifying the results of the background
investigations to the NIGC for Key Employees and Primary Management
Officials within 60 days after the applicant begins work.

@ The reporting of results shall include the following information:

(a) The applicant’s name, date of birth and social security number;

(b) The date on which the applicant began, or will begin, working as a
Primary Management Official or key employee;

(c) A summary of the information presented in the investigative
report, including:

(i) Licenses that have previously been denied;

(ii) | Gaming licenses that have been revoked, even if
subsequently reinstated;

18


VIEJAS vata

Alpine, CA 91903
# | Viejas Grade Road

TRIBAL GOVERNMENT Alpine, CA 91901
Robert J. Welch, Jr., Chairman Phone: 619.445.3810
Victor E. Woods, Vice Chairman Fax: 619.445.5337
Rene Curo, Tribal Secretary viejas.com

Samuel Q. Brown, Tribal Treasurer
Adrian M. Brown, Councilman
Gabriel T. TeSam, Jr., Councilman
Kevin M. Carrizosa, Councilman

TRIBAL COUNCIL RESOLUTION
APPROVING AND ADOPTING TRIBAL GAMING ORDINANCE

Resolution No. 0104 1%

WHEREAS, the Viejas Band of Kumeyaay Indians, (appearing in the U.S. Federal Register as
the Capitan Grande Band of Diegueno Mission Indians of California: Viejas (Baron -
Long) Group of Capitan Grande Band of Mission Indians of the Viejas Reservation,
California) (the “Viejas Band”) is a self-governing federally recognized Indian Tribe
exercising sovereign authority over the lands of the Viejas Indian Reservation:

WHEREAS, on January 16, 2013, the Tribal Council previously adopted a Tribal Gaming
Ordinance pursuant to Resolution No. 011613 to govern gaming activities taking place on
the Viejas Indian Reservation. :

WHEREAS, the Tribal Council desires to adopt a new ordinance that shall supersede and
replace the currently operative Tribal Gaming Ordinance; and

WHEREAS, the National Indian Gaming Commission expressed concerns regarding the tribal
gaming ordinance approved by the Tribal Council on May 17, 2018 and submitted to the
National Indian Gaming Commission by the Viejas Tribal Gaming Commissioner soon
thereafter, but which never took effect, and

WHEREAS, the Tribal Council has reviewed the ordinance attached as Exhibit A and desires
that it shall take effect upon approval by the Chairperson of the National Indian Gaming
Commission.


(A) _ Any Person listed pursuant to CFR 25 Section 5.01(a)(i):
(D is an elected member of the Tribal Council;
(I) has been or subsequently is convicted of any felony or gaming offense;

(IID) has knowingly and willfully provided materially important false
statements of information to the Gaming Commission or the Tribal
officials who negotiate such contracts or has refused to respond to
questions propounded pursuant to CFR 25 Section 5.01(B); or

(IV) has been determined to be a Person whose prior activities, criminal record
if any, or reputation, habits, and associations pose a threat to the public
interest or to the effective regulation and control of gaming, or create or
enhance the dangers of unsuitable, unfair, or illegal practices, methods,
and activities in the conduct of gaming or the carrying on of the business
and financial arrangements incidents thereto;

(B) The management contractor has, or has attempted to unduly interfere or to
influence for its gain or advantage any decision or process of Tribal Council of
the Gaming Commission relating to the Gaming Activity, including without
limitation, the decision or process of negotiating and entering into a Management
Contract; or

(C) | The management contractor has deliberately or substantially failed to comply with
the terms of this Management Contract or the provisions of this Ordinance or any
Regulations adopted pursuant to this Ordinance or IGRA.

6.05 Modifying or Voiding a Management Contract. The Gaming Commission, after
notice and hearing, shall have the authority to require appropriate modifications or may void any
Management Contract if it subsequently determines that any of the provisions of this Ordinance
have been violated.

6.06 No Conveyance of an Interest in Land. No Management Contract shall transfer or, in
any other manner, convey any interest in Tribal land or other real property of the Viejas Band,
whether held in fee or in trust.

6.07 Fee for Investigation Cost. The Gaming Commission shall require a management
contractor to pay a fee to cover the actual cost of the investigation, suitability determination, and

contract review required under this Ordinance.

6.08 Dispute Resolution. If any dispute arises as to the proper compliance with or
interpretation of this Section 6, the following procedures shall apply.

26


13.09 Agent for Service. The designated agent for notice of any official determination, order,
or notice of violation by the NIGC as required by 25 C.F.R. §519.1 is the Commissioner of the
Gaming Commission.

13.10 Law Enforcement. Each applicant for a Key Employee or Primary Management
Official shall be required to have fingerprints taken as part of the license application procedure.
Fingerprints shall be taken by the Gaming Commission. Fingerprints will then be forwarded to
the NIGC for processing through the FBI and NCIC to determine the applicant's criminal history,
if any. Nothing herein shall prohibit the Gaming Commission from accessing CLETS as
provided by the Compact.

13.11 Effective Date and Repeal
This Ordinance shall take effect upon receipt of approval of the NIGC Chairperson. Upon
receipt of such approval, this Ordinance shall repeal, supersede and replace any and all other

Tribal Gaming ordinances, laws or resolutions previously adopted or enacted by the Tribal
Council.

35


(L) _ isacareer offender or a member of a career offender organization or an associate
of a career offender or career offender organization in such a manner which
creates probable cause to believe that the association is of such a nature as to be
detrimental to the proper operation of the authorized gaming or related activities
in California. For the purpose of this section, “career offender “shall be defined
as any Person whose behavior is pursued in an occupational manner or context for
the purposes of economic gain utilizing such methods as are deemed criminal
violations of tribal law, federal law or the laws and the public policy of California.
A career offender organization shall be defined as any group of Persons who
operate together as career offenders;

(M) _ isa Person whose prior activities, criminal record, if any reputation, habits and
associations pose a threat to the public interest of the Viejas Band or to the
effective regulation and control of Gaming Activities, or creates or enhances the
dangers of unsuitable, unfair or illegal practices, methods, and activities in the
conduct of gaming, or the carrying on of the business and financial arrangements
incidental thereto; or

(N) _ fails to provide any information requested by the Gaming Commission within
fourteen (14) Calendar Days of the request for the information.

5.10 Failure of Applicant to Disclose Material Information. An applicant for licensing
shall make true and full disclosure of all information to the Gaming Commission necessary or
appropriate to carry out the policies of the Viejas Band relating to licensing and control of the
Gaming Operation. It is the duty of the applicant to disclose all information material to whether
the applicant’s involvement with gaming would jeopardize or compromise the Tribal interest,
whether or not the applicant has been specifically requested to provide that information. It shall
constitute a violation of this Ordinance to fail to disclose, to mislead or to misstate any such
material information to the Gaming Commission.

5.11 Temporary Gaming Licenses. The Gaming Commission may issue a temporary
Gaming License to any Person or entity applying for a Gaming License to work in or do business
with the Gaming Operation which shall be valid pending the completion of a background
investigation of such Person. In no event shall such temporary Gaming License be valid for
longer than one hundred eighty (180) Calendar Days. In no event shall the Gaming Operation
employ an individual in a Primary Management Official or Key Employee position who does not
have a license after 90 days of beginning work at the Gaming Operation. The Gaming Operation
shall not employ as a Key Employee or Primary Management Official a Person who does not
have a Gaming License.

5.12 Parameters of Licenses.
(A) _ Violation of any material provision of this Ordinance or any of the Gaming
Commission’s Regulations by a Licensee, its agent, or employee shall be deemed

contrary to the public health, safety, morals, good order and general welfare of the
Viejas Band and the inhabitants of the Viejas Reservation, and shall be deemed

21


1.28 Non-Gaming Employee means any employee of the Gaming Operation who is not a
Gaming Employee, Primary Management Official or Key Employee. Non-Gaming Employees
shall also be licensed by the Gaming Commission in accordance with any limitations, restrictions
or regulatory requirements deemed appropriate by the Gaming Commission.

1.29 Ordinance means this Gaming Ordinance authorizing and setting the terms for Class IT
and Class II] Gaming Operations on the Viejas Band's Indian Lands.

1.30 Person includes any natural person, corporation, limited liability company, partnership,
association, Gaming Resource Supplier, or other form of business association.

1.31 Primary Management Official means:
(A) _ The Person having management responsibility for a Management Contract;
(B) Any Person who has authority:
63) To hire and fire employees; or
(II) To set up working policy for any portion of the Gaming Operation; or

(C) The chief financial officer or other Person who has financial management
responsibility.

1.32 Regulations means the regulations of the Gaming Commission promulgated under or in
furtherance of this Ordinance.

1.33. Review Board shall have the meaning set forth in Section 4 of this Ordinance.
1.34 Secretary means the Secretary of the Interior.
1.35 Tribal Council means the duly elected governing body of the Viejas Band.
1.36 Tribal Member means any individual who has been determined by the Viejas
Enrollment Committee to be eligible for enrollment in the Viejas Band, or by having previously
been qualified by the 1999 enrollment listing as set forth in the official records of the Viejas
Enrollment Committee.
1.37 Viejas Band means the Viejas Band of Kumeyaay Indians.

Section 2 — Gaming Authorization; Ownership

2.01 Purpose. The Viejas Band hereby enacts this Ordinance to authorize and govern Gaming
Activities on the Viejas Band’s Indian Lands.


3.01 Establishment and Authority of the Gaming Commission. The Gaming Commission
is hereby established. The Gaming Commission shall exercise all powers necessary to effectuate
the purposes of this Ordinance. The Gaming Commission may exercise any proper power and
authority necessary to perform the duties assigned to it by this Ordinance, and is not limited by
the enumeration of powers in this section. The Gaming Commission shall promulgate rules and
Regulations for the operation of any Gaming Facility and shall hear and resolve all disputes
regarding any provision of the Ordinance. In all decisions, the Gaming Commission shall act to
promote and ensure integrity, security, honesty, and fairness of the operation and administration
of gaming and ancillary activities of the Gaming Operation. The Gaming Commission shall
have the power and authority to: deny any application; limit, condition, suspend, or restrict any
Gaming License; make a finding of suitability or approval of a Gaming License; or impose a fine
upon any Person or entity licensed, for any cause deemed reasonable by the Gaming
Commission.

3.02 Appointment of Commissioner. The Tribal Council shall appoint a Commissioner who
shall be responsible for the day-to-day management of the affairs of the Gaming Commission as
well as overseeing the Gaming Facility and Gaming Operation for compliance with all applicable
Federal, State and Tribal gaming laws and Regulations. The Commissioner shall report directly
and only to the Tribal Council. The Commissioner shall have no personal interest in the Gaming
Activity. No one convicted of a felony of any kind or misdemeanor related to gambling or moral
turpitude can serve as Commissioner. To ensure that the Commissioner and the Gaming
Commission are shielded from tribal politics and insulated from any actual or perceived conflict
of interest related to the regulation of Gaming Activity by the Gaming Commission (including,
without limitation, licensing, investigation, surveillance, audit or enforcement), Viejas Tribal
Members are not eligible to hold the position of Commissioner.

3.03 Commissioner’s Contract. The Commissioner shall be hired on a contract. The terms
of the contract will be negotiated with and approved by the Tribal Council. The Commissioner’s
compensation shall be part of the negotiations. Compensation for the Commissioner shall not be
based, in whole or in part, on the profitability of the Gaming Operation.

3.04 Termination of Commissioner. The Commissioner shall be terminated immediately
and without the necessity of a vote of the Tribal Council upon the Commissioner’s conviction in
a Federal or State court of competent jurisdiction for any felony, or for any misdemeanor related
to gambling or moral turpitude, or upon conviction of any charge that the Tribal Council finds
relates to the Commissioner’s honesty or ability to fulfill his/her duties. If the Commissioner is
convicted of violating any part of this Ordinance, he/she shall be immediately terminated.
Additionally, the Commissioner may be terminated for inadequate performance of the duties
required, or may additionally be terminated for associations or conduct that would tend to bring
the Commissioner’s integrity or Gaming Operation into disrepute.

3.05 Duties of Commissioner. The Commissioner shall perform all duties, exercise all
powers, assume and discharge all responsibilities, and carry out and effect all purposes of this
Ordinance relating to the regulation of all Gaming Activity. In all decisions, the Commissioner
shall act to promote and ensure integrity, security, honesty, and fairness of the operation and