JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

(m) To approve the Gaming Operation’s surveillance floor plan;
(n) To conduct administrative reviews pursuant to this Ordinance;
(0) To license Gaming Facilities pursuant to this Ordinance;

(p) To act as the designated agent to receive all regulatory notices, other than those
notices addressed in Section 4.2 of this Ordinance;

(q) ‘To ensure that all Gaming Activity is conducted honestly and fairly;

(r) To ensure that the Gaming Facility is constructed in a manner that adequately
protects the environment and the public health and safety;

(s) To issue subpoenas and compel the attendance of witnesses for regulatory
proceedings before the Commission;

() To administer oaths and to require testimony under oath before the Commission;
(u) To impose fines, up to $5,000 for each violation of this Ordinance, with each day
that a violation continues being a separate violation and subject to a commensurate fine; and

(v) To seize any money received or obtained by a Patron in violation of this
Ordinance pending a civil forfeiture of such seizure,

5.12. Meetings. Meetings of the Commission shall be held at least once each month and
additionally as directed by the Chairperson of the Conimission. Additional meetings shall be held if
requested by the Chairperson or by at least two other Commissioners, Meetings may be called at any
time, by any means, with unanimous consent of the Commissioners.

5.13 Full-time or Part-time Exclusivity. The Commission shall identify the appropriate work
schedule for its members and employees, Each Commissioner and the Executive Director shall perform
his or her duties and responsibilities on a full-time or part-time basis, as determined by the Commission,
and will not, during his or her tenure in office, be engaged in any other profession or business activity that
may impede the Commissioner or Executive Director’s ability to perform duties on behalf of the
Commission or that competes with the Tribe's interests.

5.14 Reporting Requirements, ‘The Commission shal] adhere to the following reporting
requirements:

(a) The Commission shall meet with the Tribal Council upon request, and no less
than quarterly,

(b) Minutes of all Commission meetings shall be filed with the Secretary of the
Tribal Council within thirty (30) days of their approval.

(c) Summary reports of all matters pertaining to the business of the Commission
shall be provided to the Tribal Council.

hp


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

(a) Any Patron with a Gaming dispute shall be notified of the Patron’s right to
submit a written statement of the facts or circumstances surrounding the dispute. with Senior Gaming
Management. Such written statement must be submitted within five (5) days of the day on which the
dispute occurred. Senior Gaming Management shall have five (5) days to provide a written response to
the Patron, If the dispute is not resolved to the satisfaction of the Patron, the Patron has the right to
contact the Commission to resolve the dispute within thirty (30) days of the day on which the dispute
occurred. If the Patron contacts the Commission to resolve the dispute, Senior Gaming Management will
provide to the Commission copies of the Patron’s statement and Senior Gaming Management's response.

(b) All disputes that are submitted to the Commission for resolution shall be decided
ission based on information provided by the Patron and Senior Gaming Management. The
decision of the Comm shall be in writing copied to the Patron and to Senior Gaming Management,
and shall be ed within fifteen (15) days of submission of the matter to the Commission. The decision
of the Commission regarding any Patron dispute shall be final and shall not be subject to further review
by any court in any jurisdiction.

by the Comm

si

18. Miscellaneous

18.1 Gaming Rules. Gaming operated under this Ordinance shall be consistent with the
Compact and any amendments thereto.

(a) All rules, Regulations and procedures for Games, including the method of play
and the odds and method of determining amounts paid to winners, shall be approved and maintained by
the Commission.

(b) Information regarding betting limits, the method of play. odds and payoff
determinations shall be visibly displayed or available to Patrons in written form in the Gaming Facility,

18.2) Use of Net Gaming Revenues, Net Revenues from the Gaming Operation may only be
used for the following purp (a) to fund Tribal government operations or programs: (b) to provide for
the general welfare of the ‘Tribe and its members; (c) to promote ‘Tribal economic development; (d) to
donate to charitable organizations; and (c) to help fund operations of local government agencies.

18.30 Minimum Imernal Control Standards. ‘Vhe Commission shall promulgate Regulations for
the minimum internal control standards of the Gaming Operation. ‘The minimum internal control
standards shall:

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

I Gaming
ate Gaming

(b) Establish internal control standards for all Class Mand Class
Activities consistent with the requirements of this Ordinance, IGRA, the Compact, and the §
Agency's Uniform Tribal Gaming Regulations.

The Commission shall require the Gaming Operation to implement a system of internal controls that
complies with the minimum internal control standards adopted by the Commission. ‘The Commission
shall monitor and enforce compliance with the minimum internal control standards adopted by the
Commission.



JAMUL INDIAN VILLAGE

AMENDED & R ATED GAMING ORDINANCE

(e) A list of all Persons that directly hold more than 10% of the ownership interests
of the Applicant.

() A list of the Applicant’s officers and directors.

(g) If a publicly-traded company, the Applicant’s ticker symbol and a list of all
exchanges on which the Applicant’s shares are traded

(h) A list of any state or federal government agencies by which the Applicant is
regulated.

(i) A list of any gaming licenses held by the Applicant.

An Applicant for a Financial Source License will be required to provide evidence that the
Applicant is eligible for licensure as a Financial Source (if applicable), and a statement
committing the Applicant to notity the Commission and the State Gaming Agency
promptly of any termination of the Applicant’s eligibility as a Financial Source.

13.6 — Financial Source Application Forms and Procedures - Individual, The Financial Source
Application form for individuals shall contain the following information:

(a) The Applicant’s full name, including all other names used (oral or written),
current home and work addresses and telephone numbers, gender, Social Security Number, place of birth,
date of birth, citizenship, marital information, educational and military background and driver’s license
number(s) and the addresses of his or her residences over the past five years.

(b) The names, current addresses, and telephone numbers of three references who are
not related to the Applicant and who were acquainted with the Applicant when the Applicant resided at
cach of the addresses listed under paragraph (a) above.

(c) A list of the Applicant's current and previous jobs over the preceding five years,
including the names, addresses, and telephone numbers of his or her employers, and the positions held.

(d) A statement as to whether the Applicant has had any past employment with, or
hip interest in, any gaming-related business. If so, the Applicant shall provide a written statement
2 his or her position, the dates during which the position was held, a description of the
Applicant’s ownership interest (when applicable), job responsibilities, the name, address, and telephone
number of the business, and the name and address of an individual who can attest to the accuracy of the
information provided.

(e) A list of all gaming-related licenses for which the Applicant has applied, whether
or not those licenses were granted, whether any disciplinary actions (including fines or temporary
suspensions) were taken with respect to such Gaming-related licenses, and the name, address and
telephone number of the regulatory agencies involved.

(f) A list of all professional and business licenses for which the Applicant has
applied, whether or not those licenses were granted, and the name, address and telephone number of the
regulatory agency involved.

- 28 -


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

(k) such other Person that the Commission determines is an Institutional Investor;
that acquires voting or nonvoting units in the ordinary course of its investment
business and holds those units for investment purposes only and not for the
purpose of causing, directly or indirectly, the election of a majority of the board
of directors or any change in the corporate charter, bylaws, management,
policies, or operations of the business entity in which it holds those securities.

3.30 Jamul Tribal Court means the Intertribal Court of Southern California or such other court
as may be designated by the Tribal Council.

3.31 Key Employee means an individual employed by the Gaming Operation in a supervisory
capacity or empowered to make discretionary decisions who regulate gambling operations, including,
without limitation:

(a) Pit bosses;

(b) Shift bosses;

(c) Credit executives;

(d) Cashier operations supervisors;

(e) Gambling operation managers and assistant managers; or
(N Managers or supervisors of security employees;
(g) Bingo caller;

(h) Custodian of Gaming supplies or cash;

(i) Floor manager;

G) Dealer;

(k) Croupier;

(0) Custodian of Gaming Devices, including individuals with access to cash and/or
accounting records within such Gaming Devices;

(m) If not otherwise included in Section 3.32(a)-(I), any other individual whose total
cash compensation is in excess of fifty thousand dollars ($50,000) per year; or

(n) If not otherwise included in Section 3.32(a)-(m), the four most highly
compensated employees of the Gaming Operation; or

(0) Any other person designated by the ‘Tribe as a Key Employee.



JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

7) Gaming Personnel

71 Age. All Gaming Personnel positions shall be filled by individuals who are at least 21
years of age,

7.2 Compact and Employment Laws. All Gaming Personnel are subject to the Compact and
all employment laws and requirements that are otherwise applicable to employees of the Gaming Facility
or Gaming Operation,

8. Files and Records to be Maintained by the Commission; Confidentiality of Information,

8.1 Confidentiality of Documents, The Commission shall ensure that all records and
information obtained pursuant to the exercise of its authority and responsibilities shall remain confidential
and shall not be
the Gaming Operation. The Commission shall maintain a file of all Ap]
materials submitted pursuant to this Ordinance, together with a record of all actions taken with respect to
those Applications,

8.2 Scope of Confidentiality. Allinformation and data:

(a) Included within any Application for a License and any supporting materials;
(b) Required by the Commission to be furnished to it under this Ordinance or which
may otherwise be obtained relative to the finances, earnings or revenue of any Applicant or Licensee;

(c) Pertaining to an Ap inal record, antecedents or background which
have been furnished to or obtained by the Commission from any source; and

(d) Provided to the members of the Commission or his employees by a governmental
agency or an informant or on the assurances that the information will be held in confidence and treated as
confidential;

(hereinafier, collectively “Appli n Information”) is confidential and may be reviewed only by the
Commission, the Commission staff, and, as necessary, by the NIGC and the State Gaming Agency. The
Commission agrees that the Application Information will be treated as confidential and that releasing the
Application Information to anyone other than the Applicant, the Commission staff, the NIGC or the State
Gaming Agency, as necessary, will require: (1) the prior written voluntary consent of the Applicant, but
only if that consent has been obtained not more than seven (7) days before the disclosure, or in the time
agreed to by the Applicant in the written consent, or (2) a valid subpoena, court order or other compulsory
legal process authorizing the release of the Application Information to someone other than the
Commission, Any Application Information provided by the Commission to the NIGC or the State
Gaming Agency will be governed by the applicable confidentiality and privacy statutes pertaining to the
NIGC and State Gaming Agency.

Unless required to be retained by subpoena, court order, or other compulsory legal process, or because of
an ongoing criminal investigation, all records and Application Information retained by the Executive
Director or the Commission shall be retained for a period of no less than three years from the date of
either the termination of employment of the applicant or, should the applicant never be employed with the

-15-


JAMUL INDIAN VILLAGE

TATED GAMING ORDINANCE.

AMENDED & RI

An annual audit of the Gaming Operation shall be conducted by an
independent, certified public accounting firm in accordance with the auditing and. accounting standards
for audits of casinos of the American Institute of Certified Public Accountants. Copies of the annual audit
will be provided to the Tribal Council, the Commission and Senior Gaming Management. The
Commission shall submit the annual audit to the NIGC upon receipt. All gaming related contracts for
supplies, services, or concessions in excess of twenty-five thousand dollars ($25,000) shall be included
the scope of this audit. Contracts for legal services and accounting services are exempt from this
requirement.

18.4 Annual Audi

18.5 Commission Right to Conduct Audits, The Commission may require audits of the
financial statements of the Gaming Operation and of any Gaming Activity. The Commission shall require
such audits to occur when nev ry to ensure the integrity, security, honesty and fai
Operation and all Gaming Activity. The Commission shall take reasonable steps to coordinate the timing
of these audits with the annual audit, provided that the Commission may require audits to occur at other
times if necessary to preserve the assets of the Tribe or ensure the integrity, security, honesty and fairness
of the Gaming Operation or any Gaming Activity. Such audits may:

(a) Be made by an independent CPA authorized to practice public accounting in the
State of California;

(b) Include an opinion (qualified or unqualified), or if appropriate.
opinion on the financial statements taken as a whole in accordance with standards of the accounting
profession established by rules and requirements of the California State Board of Accountancy and the
American Institute of Certified Public Accountants;

(c) Disclose whether the accounts, records and control procedures maintained by the
Gaming Operation are as required by the Compact, Ordinance or Regulations; and

ming Operation’s system of internal controls to

(d) Provide for a review of the G:
s, or industry practice and report such finding to

deviation from prescribed rules, requireme
jon and Senior Gaming Management.

disclose any
the Comm

ion shall adopt technical standards
tent with the Compact and

. 18.6 9 Ganting Device Technical Standards. Vhe Comm
and specifications for the operation of Gaming Devices and other games cor
any amendments thereto.

18.7 Exclusion or Ejection of Individuals. ‘Vhe Commission shall provide for the
establishment of a list of individuals who are to be excluded or ejected from the Gaming Facility. The list
shall include any individual whose presence in the Gaming Facility is determined by the Commission to
pose a threat to the integrity of Gaming Operation, a threat to the health, safety or welfare of Gaming
Personnel or Patrons, interests of the Tribe, or State of California. Race. religious creed, color, national
origin, ancestry, physical or mental disability, medical condition, marital statu X, age, or s
orientation must not be grounds for placing the name of an individual on the list. The Commission shall
promulgate Regulations providing due process to any individual whose name the Commiss r
considering placing on the exclusion list. It shall be a violation of this Ordinance for any Licensee to
knowingly fail to exclude or eject from a Gaming Facility any individuals placed on the exclusion list. It
shall be a violation of this Ordinance for any individual whose name appears on the exclusion list to enter
into or engage in any Game at the Gaming Facility.

-33-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED
GAMING ORDINANCE

Ordinance No. 2019-01
Adopted: February 20, 2019
Approved by NIGC:



JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

(b) ‘The Commission shall forward all Compliance Certificates to the State Gaming
Agency within ten (10) days of issuance.

12.3. Threshold Licensing Criteria. Vhe Commission may issue a Gaming Facility license if:
(a) The Gaming Facility is located on Indian Lands:

(b) The Gaming Activity to be conducted at the Gaming Facility is Class I! or Class
IIT Gaming as defined by this Ordinance and IGRA; and

(c) The Gaming Facility is authorized by a resolution of the Tribal Council.

12.4 Display of Gaming License. A current valid Gaming Facility License shall be
prominently displayed at each Gaming Facility.

12.5 License Duration. A Gaming Facility License shall be issued for a period of two years,
and shall be reviewed and renewed, if appropriate, every two years thereafter.

12,6 Submission of License to NIGC and State Gaming Agency . The Commission shall
submit to the NIGC and the State Gaming Agency a copy of each Gaming Facility License.

12.7. Notice of Mlegal Gaming Activity. Wf the Commission finds that the Gaming Facility is
operating in violation of this Ordinance, or otherwise presents a threat to the public, the Commission shall
immediately notify the Tribal Council.

13. Financial Source License

13.1 Licensing Process. Financial Sources shall be licensed by the Commission, except if the
State by tribal-state gaming compact, rule or other written determination agrees that licensure of a Person
as a Financial Source is not necessary or otherwise waives such requirement.

13.2. Exemptions. ‘The following Persons do not need to file Applications for a Financial
Source License:

(a) Gaming Resource Suppliers. A licensed Gaming Resource Supplier who
provides financing exclusively in connection with the sale or lease of Gaming Resources obtained from
that supplier shall not be required to obtain a separate Financial Source license.

(b) A federally regulated or state-regulated bank, savings and loan, or other
federally- or state-regulated lending institution;

(c) Any agency of the federal, state, or local government;

(d) Any investor who, alone or in conjunction with others, holds less than 10% of
any outstanding indebtedness evidenced by Bonds issued by the Tribe.

13.3. Registration for Holders of Tribal Bonds. Pursuant to the State Gaming Agency Uniform
Tribal Gaming Regulations, including CGCC-1, CGCC-2, any of the following entities that is an actual or



JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

5.15 Compensation and Annual Budget. The Tribal Council shall determine Commissioner
compensation, Compensation shall be established by the Tribal Council in a manner consistent with the
Tribe’s internal rules and bylaws. At least ninety (90) days prior to the end of each fiscal year, the
Commission shall prepare a budget for the next year’s operation and shall submit the budget to the Tribal
Council. The Tribal Council shall review the operating budget of the Commission in the same fashion as
all other Tribal budgets, In preparing the annual budget, all actual and anticipated surplus funds of the
Commission shall be taken into account. The Tribal Council may adopt, amend or replace the annual
budget.

5.16 Gaming Commission Staff. Commission staff shall be supervised by the Executive
Director. Any staff position, including the position of Executive Director, may only be held by an
individual who meets the standards and qualifications set forth in Section 11.6.

5.17 Ethics.

(a) Commissioners and Commission staff shall not hold financial interests that
conflict with the conscientious performance of their duties.

(b) Commissioners and Commission sta(f shall not engage in financial transactions
using nonpublic information or allow the improper use of such information by others on their behalf to
further any private interest.

(c) Commissioners and Commission staff shall not solicit or accept any gift or other
item of monetary value, including complimentary items or services, from any individual seeking official
action or inaction from, doing business with, or conducting activities regulated by the Commission, or
whose interests may be substantially affected by the Commission. This restriction does not apply to items
of de minimis value or items or services available to all members of the Tribe or to all members of the

Commission.

(d) Commissioners and Commission staff shall not use their positions for private
gain,

{e) Commissioners and Commission staff shall act impartially, in accordance with
all relevant tribal, federal and state laws (where applicable), and shall not give preferential treatment to
any private organization or individual, including to any individuals related to Commissioners or
Commission staff.

(dh) Commissioners and Commission staff shall not engage in outside employment
(including secking or negotiating for future employment) or any other activity that conflicts with their
Commission duties and responsibilities.

(g) Commissioners and Commission staff shall disclose waste, fraud, abuse, and
corruption to appropriate authorities,

(h) Commissioners and Commission staff shall endeavor to avoid any actions
creating the appearance that they are violating the law or the ethical standards listed in this Section 5,17.

-12-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

(b) ‘The position for which the Applicant is applying.

(c) The names, current addresses, and telephone numbers of three references who are
not related to the Applicant and who were acquainted with the Applicant when the Applicant resided at
each of the addresses listed under paragraph (a) above.

(d) A list of the Applicant’s current and previous jobs over the preceding five years,
including the names, addresses, and telephone numbers of his or her employers, and the positions held.

(e) The names and addresses and a brief description of all businesses in which the
Applicant currently holds, or has within the last five years held, an ownership or financial interest.

(0) A description of any existing and any previous employment relationship with the
Tribe or any other Indian tribe, including the position held, the name of the tribe, and the name and
address of an individual who can attest to the accuracy of the information provided.

(g) A description of any current or past non-employee business relationship which
the Applicant has had with the Tribe or any other Indian tribe, including the name of the tribe and the
name and address of an individual who can attest to the accuracy of the information provided.

(h) A statement as to whether the Applicant has had any past employment with, or
ownership interest in, any gaming-related business. If so. the Applicant shall provide a written statement
describing his or her position, the dates during which the position was held, a description of the
Applicant’s ownership interest (when applicable), job responsibilities, the name, address, and telephone
number of the business, and the name and address of an individual who can attest to the accuracy of the
information provided.

(i) A list of all gaming-related licenses for which the Applicant has applied, whether
or not those licenses were granted, and the name, address and telephone number of the regulatory
agencies involved.

G) A list of all professional and business licenses for which the Applicant has
applied, whether or not those licenses were granted, and the name, address and telephone number of the
regulatory agency involved.

(k) A list of all languages that the Applicant can write or speak.

(I) Written permission giving the Commission the right to investigate the
Applicant's background, including his or her criminal record, civil and criminal judgments, and credit
history.

(m) A complete disclosure of any pending civil or criminal action (including any
misdemeanor) against the Applicant, including the name, and address of the police department and court
involved.

(n) A statement as to whether or not the Applicant has ever been charged with a
crime (including any misdemeanor), and if so, the charge, the name and address of the court involved, the
final disposition of the case, and the date of final disposition,

-18-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

(b) The following individuals may not serve as the Executive Director:
(ap) Gaming Personnel;

(2) Individuals related to any Financial Source or Gaming Resource Supplier
(including any principal thereof);

(3) Individuals who would not qualify for a tribal gaming license;
(4) Members of the Commission or the Tribal Council; and

(5) Individuals holding any other elected office within the Tribal
government.

(c) The Executive Director qualifications set forth in this Ordinance may be
modified by the Tribal Council if a vacancy persists for more than three months due to a lack of qualified
applicants.

(d) The Executive Director shall devote his or her entire time and attention to the
duties imposed under this Ordinance and the business of the Commission and shall not pursue any other
business or occupation unless approved by the Commission.

(e) The Executive Director shall not have any pecuniary interest in any business or
company holding a License under this Ordinance.

6.2 Authority of Executive Director.

(a) The Executive Director shall furnish to the Commission such services that the
Commission delegates to the Executive Director to carry out the Commission’s functions;

(b) The Executive Director shall have authority to hire such professional, clerical,
technical and administrative personnel as may be necessary;

(c) The Executive Director may:
qd) Carry out all responsibilities delegated by the Commission;
(2) Negotiate and execute any and all contracts for the purchase of goods
and services as directed by the Commission. Such purchases shall be in accordance with the procurement

policies and procedures of the Tribe;

(3) Hire such staff as appropriate, consistent with the Commission budget;
and

(4) Perform all other duties as delegated by the Commission.

-14-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

prospective holder of any Bond issued by the Tribe may register with the Commission on comparable
forms utilized by the State Gaming Agency:

(a) Any federal-regulated or state-regulated bank or savings association or other
federal- or state-regulated lending institution;

(b) Any company that is organized as an insurance company, the primary and
predominant business activity of which is the writing of insurance or the reinsuring of risks underwritten
by insurance companies, and that is subject to supervision by the Insurance Commissioner of California,
ora similar official or agency of another state;

(c) Any investment company registered under the federal Investment Company Act
of 1940 (15 U.S.C. § 80a-I et seq.);

(d) Any retirement plan established and maintained by the United States, an agency
or instrumentality thereof, or by a state, its political subdivisions, or any agency or instrumentality of a
state or its political subdivisions, for the benefit of its employees;

(e) Any employee benefit plan within the meaning of Title | of the federal Employee
Retirement Income Security Act of 1974 (29 U.S.C. § 1001 ef seq.);

(f) Any securities dealer registered pursuant to the federal Securities Exchange Act
of 1934 (15 U.S.C. § 78a ef seg.); and

(g) Any entity, all of the equity owners of which individually meet the criteria of this
subsection 13.3,

Registration and renewal of registration under this Section 13.3 shall constitute a finding of suitability in
compliance with the Compact.

13.4 Submission of License to State Gaming Agency . The Commission shall submit to the
State Gaming Agency a copy of each Financial Source License.

13.5 Application Form and Procedures. The Commission shall adopt Financial Source
Application forms to license Financial Sources. At a minimum, the Financial Source Application form
shall contain the following information;

(a) The name of the Applicant, including any trade name to be used and the
Applicant’s principal place of business.

(b) Whether the Applicant is a corporation, limited liability company, limited
partnership or privately-held business entity, including the state in which the Applicant is organized and a
general description of the nature of the Applicant’s principal business.

(c) The name, telephone number and mailing address for the contact person
responsible for the Applicant’s accounts payable and billing information.

(d) The tax reporting status of the Applicant.

7


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

5.6 Gaming Commission Background Investigation, All Commi:
thorough background investigation conducted by the Tribal Council, or its designee. Members of the
Commission may not participate in matters relating to their background investigation. All candidates
shall disclose all current or possible conflicts of interest as part of such background investigation. No
individual shall be eligible for appointment to, or continue services on, the Commission, if

(a) He or she has been convicted of, or entered a plea of guilty or nolo contendere to
any of the following offenses and the conviction has not been pardoned by the Tribe or otherw
removed from the record by executive pardon or state court order:

(1) A felony;
(2) Any offense involving fraud or misrepresentation;

(3) Any gaming related offense, including a violation of the provisions of
any state gaming law made applicable to the Tribe pursuant to federal law or the Compact; or

(b) His or her prior activities, criminal record, or reputation, habits, or associations
pose a threat to the public interest, threaten the effective operation of Gaming, or enhance the dangers of
unsuitable, unfair, or illegal practi methods, or activities in the conduct of Gaming; or

(c) He or she has a present interest in the conduct of any Gaming enterprise (other
than in the Gaming Operation by virtue of his or her membership in the Tribe), or in any business which
provides goods or services to the Gaming Facility or Gaming Operation, or he or she has any personal,
business, or legal relationship which places him or her in a conflict of interest; or

(d) He or she has been convicted ofa crime involving thelt, fraud, or conversion,

5.7 Term of Office. After enactment of this nce, the Tribal Couneil shall appoint the
Chairperson of the Commission for an initial term of four years. After receiving recommendations from
the Commission Chairperson, the ‘Tribal Council shall appoint the remaining members of the
Commission. Appointments of the Commi: shall be for a period of four years. cept that, for
purposes of the terms of the initial Commission members, one shall be appointed for four years, and the
remainder shail be appointed for two years, which shall result in staggered appointments and provide
continuity on the Commission, The Commissioners may be reappointed for successive terms.

s approved by the Tribal Council consistent

5.8 Bylaws. The Commission shall adopt by!
with Tribal law. :

5.9 Removal. Commi:
removed from office before the e:

ioners shall serve at the pleasure of the 1

al Council and may be
piration of their terms by a majority vote of the i

Tribal Coun

5.10 Vacancies. If any Commissioner shall die, resign, be removed, or otherwise be unable to
serve, the Tribal Council shall declare his or her position vacant and shall appoint a successor to fill the
position. The term of office of any individual so appointed shall be for the balance of the unexpired term
for such position.

S11 Duties, Powers and Respon:
all powers, promulgate all Regulations, a:

bilities. The Commi:
me and discharge all res

ion shall perform all duties, exercise
onsibilitics and carry out and affect

-9-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

1 Purpose, Policy and Sole Proprietary Interest

ifat) Purpose and Policy. The purpose of this Ordinance is to set forth the laws of the Tribe
regarding all Gaming Activities conducted on the Tribe's Indian Lands. The Ordinance is intended to
govern the Gaming Activities of all individuals, employees, consultants, business entities, vendors,
boards, committees, commissions and administrative review bodies on the Tribe’s Indian Lands. The
purpose of this Ordinance is to ensure that the Gaming Activities conducted on the Tribe’s Indian Lands
are conducted fairly and honestly, and that all internal departments, enterprises, officials and employees
of the Tribe work cooperatively to advance the best interests of the Tribe in protecting its Gaming
Activities as well as its Patrons. It is the intent of the Tribe that this Ordinance and provisions within
shall be interpreted in a manner so as to comply with the terms of the Compact IGRA and applicable
NIGC regulations.

1.2 Sole Proprietary Interest, The Tribe shalt have the sole proprietary interest in and
responsibility for the conduct of all Gaming Activities authorized by this Ordinance; provided, however,
that the Tribe may, in accordance with IGRA, enter into a management contract for management of all or

part of the Gaming Operation.

13 Name. This Ordinance shall be known as the Jamul Indian Village Gaming Ordinance.
2. Gaming Authorization

2.1 Jurisdiction. This Ordinance is applicable to all Indian Lands under the jurisdiction of
ibe.

the T

2.2 Class H and Class IH! Authorization, Class 1 and Class I] Gaming are each hereby
authorized on the Tribe’s Indian Lands.

2.3 Unauthorized or Unapproved Gaming, Class II and Class III Gaming by any Person on
the Tribe’s Indian Lands except as authorized pursuant to this Ordinance is prohibited.

3. Definitions

This Section shall govern the definitions of words and phrases used in this Ordinance. All words or
phrases not defined in this Section are used in their ordinary and everyday sense.

aH) Affiliate means, with respect to any specified Person, any other Person who directly or
indirectly, through one or more intermediaries, controls, is or becomes controlled by, or is or comes under
common control with the specified Person. For purposes of this definition, “control” means the
possession, direct or indirect, of the power to direct or cause the direction of the management and policies
of a Person, whether through the ownership of voting securities or other interests, by contract,
governmental authority or otherwise.

3.2 Applicant means any Person filing an Application for a Gaming License, Gaming Facility
License, Financial Source License or Supplier License pursuant to Sections 11, 12, 13, and 14 of this
Ordinance.

3 Application means any application for a Gaming License, Gaming Facility License,
Financial Source License, or Supplier License.



JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

than ten (10) days or more than thirty (30) days from the date of the order to show cause. Subject to
Section 11.12(e), no License will be suspended or revoked for the reasons set forth in Section 11.12(a)
until the administrative review by the Commission is concluded and a final written decision is rendered
by the Commission.

(c) Suspension Due to Notice of Information from NIGC. Notwithstanding anything
else herein to the contrary, if, after the issuance of a License, the NIGC notifies the Commission of
reliable information indicating that a Key Employee or Primary Management Official is not eligible for
employment pursuant to 25 CFR § 556.5 (the *NIGC N. ation”), the Commission shall immediately
suspend the License and shall provide the Licensee with written notice of suspension and the reasons for
the proposed revocation. The Commission shall notify the Licensee of the time and place for a hearing on
the proposed revocation of the License. After a revocation hearing conducted by the Commission, the
Commission shall decide to revoke or to reinstate the License. The Commission shall notify the NIGC of
its decision within forty-five (45) days from the date of receipt of the NIGC Notification,

11.13) Temporary Suspension of an Individual’s Lice Temporary suspension of an
individual’s ense is appropriate when the individual’s continued presence in the Gaming Facility or
Gaming Operation poses a direct and immediate threat to the general public or to the safety, health and
welfare of the Tribe.

(a) Grounds for Temporary Suspension. The Commission may suspend the License
of any individual for not more than thirty (30) days if the Commission has good and reliable cause to
believe:

(1) that any of the grounds for suspension or revocation listed in Section
11.12(a) have occurred; and

(2) that the individual’s continued presence in the Gaming Fac! or
Gaming Operation a direct and immediate threat to the general public or to the safety, health and welfare
of the T

pension, The Commission may issue a notice of
jon has cause to believe that any of the reasons in
Section 11.12(a) above apply to the individual. The Commission shall provide written notice to the
individual that states with specificity the grounds upon which it is based, including citations to the
relevant provisions of this Ordinance, and the individual's right to administrative review. The individual
has the right to file a request for review with the Commission within five (5) calendar days of receipt of
the notice of temporary suspension. The Commission shall hold an administrative review on the notice of
temporary suspension within fourteen (14) calendar days of its receipt of the notice of request for review.
At the administrative review, the individual shall have an opportunity to present documentation and any
other information as to the License should not be temporarily suspended. After such administrative
review, and in no event later than thirty (30) days from the issuance of the notice of temporary
suspension, the Commission shall issue a final decision regarding the temporary suspension. Any final
decision of the Commission to condition, grant, deny, suspend or revoke a License may be appealed
pursuant to Section 11.16 of this Ordinance, as applicable.

(b) Procedure for ‘Temporary §
temporary suspension of a License if the Comm

-24-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

The Commission shall not delay or deny the issuance of a temporary license if: (a) a California, lowa,
Ilinois, Nevada, New Jersey, Ohio or Pennsylvania state gaming agency has issued a license to, or made
a determination of suitability with respect to, such Applicant, and (b) no state gaming agency has revoked
or withdrawn such license or determination of suitability.

11.8 Reliance on Previously Issued License. In lieu of completing its own background
investigation, and to the extent that doing so does not conflict with or violate IGRA or the Compact, the
Commission may contract with the State Gaming Agency for the conduct of background investigations,
may rely on a state finding of suitability previously issued under a gaming, compact involving another
tribe, or may rely on a State gaming license previously issued to the Applicant, to fulfill some or all of the
Commission’s background investigation obligation for licensing Applicants.

11.9 Investigation. When an individual submits an Application for a Primary Management
Official or a Key Employee License, the Commission shall:

(a) Conduct a background investigation of the Applicant and create and maintain an
investigative report as to findings and conclusions of the foregoing background investigation, including,
but not limited to:

(1) Steps taken in conducting the background investigation;

(2) The results obtained from the background investigation;

(3) The conclusions reached as a result of the background investigation; and
(4) The basis for those conclusions.

Based upon the results of the background investigation and the written
investigative report, the Commission shall determine the eligibility of the
Applicant to receive a Gaming License.

(b) Upon completion of the background investigation and a determination of
eligibility for a Gaming License, the Commission shall forward the Applicant’s completed Application
materials and an investigative report with a determination as to whether the Commission intends to
license the Applicant to the NIGC (to the extent required by 25 CFR Part 556) and the State Gaming
Agency (to the extent required by the Compact) no later than sixty (60) days after the Applicant begins
work as a Key Employee or Primary Management Official (the “Notice of Results”). The Notice of
Results shall contain:

(1) Applicant’s name, date of birth, and social security number;

(2) Date on which Applicant began or will begin work as a Key Employee or
Primary Management Official;

(3) A summary of the information presented in the investigative report,
which shall at a minimum include a listing of: (i) license applications filed by Applicant that have
previously been denied; (ii) gaming licenses held by Applicant that have been revoked, even if
subsequently reinstated: (iii) every known criminal charge brought against the Applicant within the last

~21-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

Executive Director...
6.1 Qualifications...
6.2 Authority of Executive Director

Gaming Personnel...
Vell Age...
WA Compact and Employment Laws......

Files and Records to be Maintained by the Commission; Confidentiality of Information.
8.1 Confidentiality of Documents.
8.2 Scope of Confidentiality.

Gaming Surveillance: Powers, Duties and Limitations.

91 Purpose

9.2 Responsibilities...

9.3 Surveillance Records

Gaming Security: Powers, Duties and Limitations...

10.1 Purpose...

10.2. Investigations

10.3 Reports .....

10.4 Responsibilities sce Em apy
Licensing of Primary Management Officials, Key Employees and Gaming Employees ............17

11.1 Summary of Licensing Principles......

1.2 Licenses.......,

11.3 Current and Valid Gaming License Required...

11.4 Application Procedure for Gaming License.
11.5 Non-Key Gaming Employee Licensing
11.6 — QUATEICATIONS .eecseessieecseieeeee

11.7 Temporary Licensure

11.8 Reliance on Previously Issued License ....

11.9 Investigation

11.10 License Issuance; Renewals...
HL.11 Badge.

11.12 Suspension or Revocation of License...

11.13 Temporary Suspension of an Individual's Licens.

Page ii


JAMUL INDIAN VILLAGE
AMENDED & RESTATED GAMING ORDINANCE

TABLE OF CONTENTS

Purpose, Policy and Sole Proprictary Interest
i} Purpose and Policy

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13 Name...
Gaming Authorization
2.1 Jurisdiction...
2.2 Class Il and Class III Authorization...
23 Unauthorized or Unapproved Gaming
Tribal Council: Powers and Duties
4.1 Delegation of Duties
4.2 Registered Agent..
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5.1 Establishment and Purpos:
5.2 Duration and Attributes...
53. Sovereign Immunity of the Tribe
5.4 Assets of the Commission.
5.5 Number of Commissioners; Qualifications; Background Investigation
5.6 Gaming Commission Background Investigation. rp
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5.8 Bylaws...
5.9 Removal.
SOLO  PGLGMCIER Re cccerrosdurete: cs sersontaverrccreesenns tect
5.11 Duties, Powers and Responsibilities
5.12 Meetings
5.13 Fulletime or Part-time Exclusivity.
5.14 Reporting Requirements.

5.15 | Compensation and Annual Budget.
5.16 Gaming Commission Staff.........
S07 WeLFALGS cvscesypnassstcoseasntisonsescitnecis4vnsosanscbra sevesesacerssybinezeConiukeaaa nt een i apa VPA Roan TD PO cert 12



JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

ses of this Ordinance relating to the regulation of the Gaming Operation. In all decisions, the
on shall act to promote and ensure the integrity, security, honesty and fairness of the Gaming
nd administration of all Gaming Activity. No Commissioner shall act independently of the
n. Any such acts may be grounds for removal. Subject to any res! ed in this
Ordinance or in any other applicable law, the Commission is authorized to exercise, by majority vote or
by delegation to the Executive Director, the following responsibilities:

all purpo:
Commi:

(a) To draft internal Commission bylaws and operating procedures appropriate to
implement the provisions of this Ordinance, including conflicts of interest, codes of conduct and
operating procedures that identify the method by which the Commission will monitor and investigate
compliance with applicable Gaming laws;

mendations to the Tribal Council regarding

(b) To consult with and make ree
changes in Tribal Gaming laws and Regulations;

(c) To correspond with the NIGC regarding compliance with the rules and
regulations of that agency. The Commission shall coordinate with the Tribal Council regarding
correspondence with the NIGC on any matter;

(d) To ensure that all fees assessed by the NIGC are paid on a timely basis;

(e) Yo prepare proposals, including budgetary and monetary proposals, the purpose
of which is to enable the Tribe to carry out the purpose and intent of this Ordinance, and to submit the
same for consideration by the Tribal Council; provided, however, that no such proposal shall have any
force or effect unless it is approved by the Tribal Cou

(O} To enforce the requirements of this Ordinance and the Compact with respect to
the Gaming Operation and Facilit

(g) ‘To monitor and investigate the place of business, equipment, facilities, tangible
personal property, and the books, records, papers, vouchers, accounts, documents, and financial
statements of the Gaming Operation, including the inspection of Gaming Equipment and any premises
where Gaming Equipment is distributed, provided that all monitoring and inve: be
conducted pursuant to policies and procedures adopted in conformance with Tribal law and that all
monitoring and investigations are for the purpose of determining compliance with applicable Gaming
laws;

(h) To draft and implement licensing procedures, including the establishment and
imposition of licensing fees, for all Primary Management Officials, Key Employees, Gaming Employees,
Financial Sources, and Gaming Resource Suppliers;

(i) ‘To approve or disapprove the Gaming license of any Applicant;
G) ‘To suspend or revoke any Gaming License;
(k) To develop procedures for the establishment and maintenance of a list of

individuals banned from the Gaming Facility;

(I) ‘To approve the rules, Regulations and procedures for each Game;

-10-


JAMUL INDIAN VILLAGE
AMENDED & RESTATED GAMING ORDINANCE

15.1 License and Application and Renewal Fees.
Entities
16.1 Licensing Criteria.
16.2 Institutional Investor.
Games.
17.1 Who May Not Play

18.3. Minimum Internal Control Standards
18.4 Annual Audit.
18.5 Commission Right to Conduct Audits.
18.6 Gaming Device Technical Standards.
18.7 Exclusion or Ejection of Individuals
18.8 Emergency Evacuation and Preparedness Plans.

18.11 Repeal...

Page iv


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

Gaming Operation, the date of denial of the license, after which such records may be destroyed or
returned to the Applicant or Licensee. It is a violation of this Ordinance for an individual to falsi
destroy, erase or alter any records of any kind or other information relating to the Gaming Operation in a
manner other than as provided in this Ordinance, applicable Regulations or Commission policy,

Ch Gaming Surveillance: Powers, Duties and Limitations

91 Purpose. Vhe purpose of surveillance is to assist in safeguarding the Gaming Operation’s
assets, to deter and detect criminal acts and regulatory violations, and to maintain public confidence and
trust that Gaming at the Gaming Operation is conducted honestly and free of criminal elements and
activity, Gaming Operation surveillance shall include a closed-circuit television surveillance system
consistent with industry standards for gaming facilities of the type and scale operated by the Tribe, which
system shall be approved by, and may not be modified without the approval of, the Commission.

9.2 Responsibilities. Surveillance shall be responsible for all Gaming surveillance activities
includ but not limited to, purchase and maintenance of surveillance equipment. Surveillance is
responsible for the:

(a) Development, implementation, and maintenance of written policies and
procedures for the conduct and integrity of the surveillance department, subject to approval of the
Commission;

(b) Development, implementation, and maintenance of additional procedures
governing the use and release of the surveillance recordings or reports, subject to approval of the
Commission; and

(c) Maintenance of the Gaming Facility surveillance floor plan required pursuant to
the Compact, subject to approval of the Commission. The surveillance floor plan will address
Commission access to the surveillance system, which may include dedicated access, at the Commission’s
discretion.

93 Surveillance Records, Surveillance personnel shall provide to the Commission a copy of
any time-recorded video and accompanying audio (if available) as soon as reasonably practicable after
request, and in no event later than twenty-four hours of such request. Surveillance shall retain video
recordings for at least seven (7) days from the date of original recording or such shorter period of time as
the Commission shall direct.

10. Gaming Security: Powers, Duties and Limitations
10.1 Purpose. The purpose of Gaming sccurity is to assist in safeguarding the Gaming
Operation’s assets and to protect the Gaming Personnel and Patrons by deterring and detecting criminal

acts and regulatory violations.

10.2 Investigations. Gaming security shall be responsible for conducting all investigations and
reports of incidents at the Gaming Facility consistent with the Compact and all applicable Tribal law.

-16-


NAL /A
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May 8, 2019

Erica M. Pinto, Chairwoman
Jamul Indian Village of California
P. O. Box 612

Jamul, CA 91935

Re: Jamul Indian Village Amended & Restated Gaming Ordinance, Ordinance No.
2019-01

Dear Chairwoman Pinto:

I am writing with respect to the February 25, 2019, request of the Jamul Indian Village of
California 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.
2019-06 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, : VE
()

odev O. Chaudhuri
airman

ton, DC 20240 Tel: 202.632.7003 Fox: 202,

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail St

REGIONAL OFFICES — Portland, OR; Socr: klahoma City, OK’


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

3.12 Definitive Agreement means any contract or instrument between the Tribe and the
Manager or its Affiliates which is not a Management Agreement.

3.13. Financial Source means a Person extending or guaranteeing financing, directly or
indirectly, for the purpose of constructing, developing, maintaining, equipping, or operating the Gaming
Facility or Gaming Operation.

3.14 Financial Source License means the permit granted by the Commission to a Financial
Source.

3.15 Games, Gaming, or Gaming Activity means any activity, operation, or game of chance
which is considered Class II or Class II] Gaming.

3.16 Gaming Device has the same meaning as defined in the Compact.

3.17 Gaming Employee means any individual who (a) operates, maintains, repairs, assists in
any Gaming Activity, or is in any way responsible for supervising any such Gaming Activity or
individuals who conduct, operate, account for, or supervise any such Gaming Activity, (b) is an employee
of the Commission with access to confidential information, or (c) is an individual whose employment
duties require or authorize access to areas of the Gaming Facility that are not open to the public.

3.18 Gaming Equipment means any device, machine, paraphernalia, or equipment that is used
or usable in the playing phases of any Gaming Activity, whether or not specifically designed for that
purpose, but excluding tables and chairs normally used in the occupancy of a Gaming Facility.

3.19 Gaming Facility means any building on the Tribe’s Indian Lands in which Gaming
Activities or Gaming operations occur, or in which the business records, receipts, or other funds of the
Gaming Operation are maintained (but excluding offsite facilities primarily dedicated to storage of those
records, and financial institutions), and all rooms, buildings, and areas, including parking lots and
walkways, a principal purpose of which is to serve the activities of the Gaming Operation,

3.20 Gaming Facility License means the official and revocable permission granted by the
Commission to the Gaming Facility allowing the conduct of Gaming.

3.21 Gaming License means the official and revocable permission granted by the Commission
to an Applicant in order to be a Primary Management Official, Key Employee, or Gaming Employee.
Nothing herein shall create a property interest in the issuance or retention of a Gaming License.

3.22 Gaming Operation means the 'Tribe’s business enterprise that offers and operates Gaming
ties.

3.23 Gaming Personnel means any individual employed by the Gaming Operation.

3.24 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, 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 Class II] Gaming consulting services, “Gaming Resources” does not include professional accounting
and legal services.



JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

3.4 ° Bond means any security within the meaning of the Securities Act of 1933 (15 U.S.C. §
77a et seg.) that constitutes an evidence of indebtedness issued pursuant to a trust indenture between the
issuer of the security and a trustee who has a right to enforce the terms of the bonds on behalf of all
holders of the bonds.

Bo) Class 1 Gaming means social games solely for prizes of minimal value or traditional
forms of Indian gaming engaged in by individuals as a part of, or in connection with, Tribal ceremonies or
celebrations.

3.6 Class 1 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) in which:

(1) ‘The game is played for prizes, including monetary prizes, with cards
bearing numbers or other designations.

(2) The holder of the card covers such numbers or designations when
objects, similarly numbered or designated, are drawn or electronically determined.

(3) ‘The game is won by the first individual covering a previously designated
arrangement of numbers or designation 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.

(b) Card games which:
(1) Are explicitly authorized by the laws of the State; or
(2) Are not explicitly prohibited by the laws of the State 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 regarding hours or periods of operation of such card games or limitations
on wagers or pot sizes in such card games. Class I] Gaming does not include any banking card games,
including baccarat, chemin de fer, or blackjack (twenty-one), or electronic or electro-mechanical
facsimiles of any game of chance or slot machines of any kind.
abi Class HI Gaming means all forms of Gaming that are not Class [or Class II.
3.8 Commission means the Jamul Gaming Commission as established by this Ordinance.

3.9 Commissioner means a duly appointed member of the Jamul Gaming Commission.

3.10 Compact means the Gaming compact between the Tribe and the State of California
including all subsequent amendments thereto, authorized by IGRA or other applicable law.

3.11 Compliance Certificate means a certificate issued by a qualified building and safety
expert which states that the construction of the Gaming Facility complies with the Tribe’s applicable
building and safety codes.



aa

JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

11.12 Suspension or Revocation of License.

(a) Grounds for Suspension or Revocation. The Commission may suspend or revoke
any License it has issued for any of the following reasons if such reasons are material;

() The Licensee has willfully withheld pertinent information or has made
false statements on an Application;

(2) The Licensee has willfully promoted, played, or participated in any
Gaming Activity operated in violation of Tribal, state or federal law, or has violated any provision of this
Ordinance;

(3) The Licensee has improperly offered something of value to a
Commissioner or any other individual in an attempt to avoid or circumvent any applicable law;

(4) ‘The Licensee has willfully been involved in the falsification of books or
records which relate to the operation of Gaming Activity;

(5) ‘The Licensee has been convicted of, or has entered a plea of guilty or
nolo contendere to, any crime involving gaming, fraud, theft, embezzlement or other activity which, if it
had been perpetrated at his or her place of employment, would injure or pose a threat to the public
interest, the integrity of the Gaming Activity, or the effective operation of Gaming, or would enhance the
dangers of unfair, unsuitable, or illegal gaming practices;

(6) ‘The Licensee has willfully refused to comply with any lawful directive
of the Tribe, the federal government, or any court of competent jurisdiction;

(7) The Licensee has been determined to have present or prior activities,
criminal record, or reputation, habits or associations which pose a threat to the public interest or to the
effective operation of Gaming, or create or enhance the dangers of unsuitable, unfair, or illegal practices
or methods or activities in the conduct of Gaming;

(8) The Licensee no longer meets the explicit License qualifications set forth
in this Ordinance; or

(9) The Commission receives reliable information from the State Gaming
Agency that the Licensee is unsuitable for a License.

It is the intent of the Tribe when adopting this Ordinance that the Commission shall consider the gravity
of an offense and whether such offense occurred on multiple occasions or was an isolated instance, when
considering whether it is appropriate to suspend or revoke a License under this Ordinance.

(b) Procedure for Suspension or Revocation, Whenever the Commission shall have
cause to believe that any of the reasons under Section 11.12(a) apply to any Person who holds a License
issued by the Commission, the Commission shall serve upon the Person an order to show cause why the
License should not be suspended or revoked. The order to show cause shall state with specificity the
grounds upon which it is based, including citations to the relevant sections of this Ordinance, the time and
Place for the administrative review, and notice that the Person shall have the opportunity to present
documentation and any other relevant information. ‘The administrative review shall be set for not less

“PRIS


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

ten (10) years of the date of the Application; and (iv) every felony of which the Applicant has been
convicted or any ongoing prosecution of Applicant for a felony; and

(4) A copy of the eligibility determination made under 25 CFR § 556.5.

(c) For a thirty-day period, beginning when the NIGC receives a report submitted
pursuant to Section 11,9(b) above, the Chairman of the NIGC may request additional information from
the Commission concerning the individual who is the subject of a report. Such a request shall suspend the
thirty-day period until the Chairman receives the additional information.

(d) If, within the thirty-day period described in Section 11.9(c) above, the NIGC
provides the Commission with a statement itemizing objections to the issuance of a License, the
Commission shall reconsider the Application, taking into account the objections itemized by the NIGC.
The Commission shall make the final decision whether to issue a License to the Applicant.

(c) All Applications, background investigations, investigative reports, suitability
determinations, findings and decisions of the Commission shall be retained in the Commission’s files for
a period of at least five years.

(ph In the event that the Commission does not se an Applicant, the Commission
shall notify the NIGC and forward copies of the Commission’s eligibility determination and Notice of
Results to the NIGC.

(g) Within thirty (30) days after the issuance of a permanent License to a Primary
Management Official or to a Key Employee, the Commission shall notily the NIGC of its issuance.

11.10 License Issuance; Renewals. Any Gaming License issued pursuant to the requirements
of this Section 11 shall be effective from the date of issuance and shall state on its face the name of the
Gaming Employee, and the date that the Gaming License became effective, Such a Gaming License shall
be effective for two years from the date of issuance and shall be renewed every two years thereafter.
Applicants for a renewal of a Gaming License shall provide to the Commission updated materials, as
requested, on the appropriate renewal Applications. Applicants for a renewal shall not be required to
resubmit historical data already available to the Commission. Additional background investigations shall
not be required of Applicants for a renewal unless the Commission determines, based upon the disclosure
or discovery of new information, that there is a need for further information concerning the Applicant’s
continuing eligibility for a Gaming License.

11.11 Badge. Any individual who holds a Gaming License issued pursuant to this Ordinance
must wear in plain view at all times while in the Gaming Facility an identification badge issued by the
Comn n. The badge must display, at am jum, a photograph of the individual and an identification
number that is adequate to enable the Commission to readily identify the individual and determine the
validity and date of expiration of his or her Gaming License.

5925


JAMUL INDIAN VILLAGE
AMENDED & RESTATED GAMING ORDINANCE

11.14 Notice to Tribal Council.

11.15 Record of Proceedings ..

11.16 Appeals.

11.17 Reconsideration. 0
Gaming Facility License 5
12.1 Compliance with Applicable Standards p
Lek? EB TCD VERTED enc recececEeDE RE ne POE ECE CELE EERE ETEIPEAH 25
12.3. Threshold Licensing Criteria

12.4 Display of Gaming License...

12.5 License Duration... 3 meena

12.6 Submission of License to NIGC and State one) ae

12.7 Notice of Illegal Gaming Activity.

Financial Source License

13.1 Licensing Process.

13.2 Exemptions...

13.3. Registration for Holders of Tribal Bonds

13.4 — Submission af License to State Gaming Agency n.sisessessssissseriscsserersecessscesscessensseeiies 27
13.5 Application Form and Procedures.

13.6 Finanetal Source Application Forms and Procedures - Individual.

13.7 Rellance on Previously Issued License c.sssiscsssssesssnisssiecseeess croceconcoce- oem cEKCERTONTAeE

13.8 Duration; Renewal Process

13.9 Dispute Resolution

Gaming Resource Supplier License

14.1 Licensing Process.

14.2 Submission of License to State Gaming Agency.

14.3. Application Forms and Procedures w+

14.4 Exemptions

14.5 Manager Licensing Process.

14.6 Reliance on Previously Issued License ..

14.7 Duration; Renewal Process

14.8 Dispute Resoltton eccssesessessessscssersrssesssesssecssssnsanssssssecsssssssasseccesesssessssessasetasssveessesssssssssesss 30

Page iii


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

(i) Commissioners and Commission staff shall fully comply with internal
Commission bylaws governing conflicts of interest and codes of conduct.

G) Commissioners shall disclose to the Tribal Council any conflicts of interest. The
Executive Director shall disclose to the Commission any conflicts of interest. Commission staff members
shall disclose to the Executive Director any conflicts of interest. If there is a real or apparent conflict of
interest related to any matter before the Commission, the Commissioner subject to the conflict of interest
shall not take part in a decision related thereto.
6. Executive Director.

6.1 Qualifications. The position of Executive Director of the Commission is hereby created.
The Commission shall appoint the Executive Director, subject to confirmation of the appointment by the
Tribal Council.
(a) Qualifications. To serve as the Executive Director, an individual:
(1) Must be at least 21 years of age;
(2) Must have a minimum of five years in any combination of the following:
(A) Post-secondary education;
(B) Gaming training;
(C) | Gaming experience in one or more of the following areas:
(i) Gaming laws or regulations;
(ii) Gaming operations;
(iii) Gaming licensing;
(iv) Auditing;
(v) Indian law;
(vi) Administrative reviews;
(vii) | Background investigations;
(viii) Surveillance;
(ix) Law enforcement; or
(x) Business administration or business management.

(3) Must meet all other qualifications set forth in this Ordinance, including
the standards and qualifications set forth in Section 11.6.

-13-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

14.4 Exemptions. The Commission may exclude Providers of Non-Gaming Services from the
Supplier License requirement (a) if the Providers of Non-Gaming Services provide services or purvey
equipment or furniture that is not specifically designed for, and is distributed generally for use other than
in connection with, Gaming Activities, (b) if the Provider of Non-Gaming Services does not additionally
provide Gaming Equipment to the Gaming Facility or Gaming Operation, (¢) if the compensa
received by the Provider of Non-Gaming Services is not grossly disproportionate to the value of the
goods or services provided, and (d) if the Provider of Non-Gaming Services is not otherwise a Person
who exercises a significant influence over the Gaming Operation, The Commission may adopt separate
Application fonns and procedures to license or otherwise register Providers of Non-Gaming Services than
those used by Gaming Resource Suppliers.

14.5 9 Manager Licensing Process. ‘Vhe Manager and those Affiliates and Related Persons
required to be licensed pursuant to Section 16 of this Ordinance shall submit Applications to the
Commission in the manner provided within Section 14.3(a) within 120 days of submission of a
Management Agreement to the NIGC. The Commission shall, afier its background investigation of such
Applicant, render a decision as to whether such Applicant is eligible for licensure within 120 days of
receipt of the aforementioned Applications.

14.6 Reliance on Previously Issued License. In lieu of completing its own background
investigation, and to the extent that doing so does not conflict with or violate IGRA or the Compact, the
Commission may contract with the State Gaming Agency for the conduct of background investigations,
may rely on a state finding of suitability previously issued under a gaming compact involving another
tribe, or may rely on a State gaming license previously issued to the Applicant, to fulfill some or all of the
Commission's background investigation obligation.

A Supplier License shall be issued for a period of two
years, and shall be reviewed and renewed, if appropriate, every two years thereafter. Applicants for a
renewal of a Supplier License shall provide to the Commission updated materials, as requested, on the
appropriate renewal Applications. Applicants for a renewal shall not be required to resubmit historical
data already available to the Commission. Additional background investigations shall not be required of
Applicants for a renewal unless the Commission determines. based upon the disclosure or discovery of
new information, that there is a need for further information concerning the Applicant's continuing
eligibility for a License.

14.7 Duration, Renewal Proces,

14.8 Dispute Resolution, Any Person aggrieved by a final decision of the Commission to
grant, or deny an Application for a Supplier License, or to suspend or revoke a Supplier License may
utilize the dispute resolution procedures set forth in Section 11.16 as applicable.

15. Fees

15.1 ense and Application and Renewal Fees. ‘The Commission shall establish a fee
schedule for Applications and License renewals. Unless specifically waived by the Commission, all
Persons applying for a License shall be required to pay application and investigation fees when due,
including a reasonable deposit for costs that may be incurred in connection with the License i
imates of investigation costs will be provided to Applicants upon request. The Commission will set
the Application fges and any applicable License renewal fees at amounts reflecting the actual cost to the
Conmnission of enforcing this Ordinance and conducting inve igations.



JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

16. Entities

16.1 Licensing Criteria. For Applicants who are business entities, the licensing provisions of
this Ordinance shall apply to the entity as well as:

(a) each of its officers and directors;

(b) cach of its principal management employees, including any chief executive
officer, chief financial officer, chief operating officer, and general manager;

sor partners, if an unincorporated busir

(c) cach of its ows

(d) cach of its shareholders who owns more than 10% of the shares of the
corporation, if a corporation, or members who own more than a 10% membership interest of the limited
liability company, if a limited liability company; and

(e) Each Person (other than a Financial Source exempt under Section 13.2 of thi
Ordinance) that, alone or in combination with others, has provided financing in connection with any
Gaming A y at the Gaming Operation, if that Person provided more than 10% of:

(1) the start-up capital;
(2) the operating capital over a 12-month period; or
(3) a combination thereof.

any commonality of the characteristics identified in (a)
s. those entities may be deemed to be a single entity.

For purposes of this Section, where there
through (e) inclusive between any two or more entit

16.2. /nstitutional Investor. \n the event an Institutional Investor directly or indirectly holds
shares of a corporation or membership interests in an Applicant or Licensee or parent company of an
Applicant or Licensee through its Affiliates, then such Institutional Investor shall not be required to
submit an Application unless such Institutional Investor indirectly holds, through its Affiliates, more than
25% of the issued and outstanding shares or membership interests of an Applicant or Licensee or parent
company of an Applicant or Licensee.

7. Games

17.1 Who May Not Play. Wt is the policy of the Tribe that certain individuals for whom
conflicts of interest exist may not participate in Gaming Activities conducted at the Gaming Facility. Ata
minimum, members and staff of the Commission, the Executive Director, and members of Senior aming
Management may not participate in any Gaming Activity on the ‘Tribe's Indian Lands. Senior Gaming
Management shall develop and maintain a standard operating procedure that ident other positions and
any applicable restrictions on Gaming Activity conducted at the Gaming Facility on file with the
Commission. “

17.2 Patron Disputes. Any Patron of the Gaming Facility who has a dispute. disagreement or
other vance that involves any Gaming Activity offered at the Gaming Facility shall have their dispute
resolved in the following manner.

-31-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

(0) A disclosure of any civil or criminal judgments rendered against the Applicant,
including the case number, a description of the judgment, and the name and address of the court involved.

(p) Any other information that might bring into question the Applicant’s fitness to be
employed within a Gaming Facility.

(q) Each Application shall include an affirmative consent of the Applicant to the
jurisdiction of the Commission for purposes of processing the Application.

(r) Each Application shall be accompanied by a sworn statement that the Applicant
will abide by all applicable Tribal and federal laws, Regulations and policies.

(s) Each Application shall be accompanied by a written statement that the Applicant
has read, understands and approves of notices and NIGC requirements related to:

(1) The Privacy Act of 1974;
(2) False statements; and
(3) - Credit reporting.

(0) Each Application shall be accompanied by a photograph of the Applicant. All
Applicants for a Primary Management Official license or Key Employee License are required to submit
cards. The Commission is hereby identified as the law enforcement a responsible for
taking fingerprints. Following receipt of an Applicant’s fingerprint cards, the Commission will forward
an Applicant’s fingerprint cards to the NIGC for a criminal history check through the Federal Bureau of
Investigation National Crime Information Center.

The Commission shall amend the Application and investigation procedure for a Gaming License in the
event that the Tribe receives notice that the Application and investigation procedure must be modified to
conform to the standards of the NIGC.

11.5 Non-Key Gaming Employee Licensing. Non-Key Gaming Employees must be licensed
by the Commission. Non-Key Gaming Employee Applicants will submit an Application for a Non-Key
Gaming Employee license to the Commission on such a form or in such manner as the Commission may
requi The Ap, tion for a Non-Key Gaming Employee License shall contain all information
necessary for the Commission to investigate the Non-Key Gaming Employee’s background, including his
or her criminal record, civil and criminal judgments, and credit history, but shall not require all of the
information detailed in Section 11.4 for Primary Management Officials and Key Employees: If the
Commission determines that the Applicant is suitable for licensure based on the Commission’s review of
the Application and the results of the criminal history check, the Commission will license the Non-Key
Gaming Employee. Non-Key Gaming Employees are not required to undergo the complete investigation
procedures set forth in Section 11.9 of this Ordinance.

11.6 Qualifications. The Commission shall conduct a criminal history check on all
Applicants.

hall review an Applicant's prior
ions to make a determination,

(a) Eligibility for Licensure. The Commission
activities, criminal record, if any, and reputation, habits and associ

~19-


CERTIFICATION OF SECRETARY

I, Carlene A. Chamberlain, Secretary of the Jamul Indian Village of California (the “Tribe”), pursuant to
Article 10, Section 4 of the Constitution of the Tribe, hereby certify that the foregoing document entitled
A RESOLUTION TO APPROVE AN AMENDMENT TO THE AMENDED & RESTATED GAMING
ORDINANCE AND APPROVE RESUBMISSION TO THE NIGC, Resolution No. 2019-06 and the
certification following is an exact copy of the document, as it exists in the records of the Tribe.

Signed this 20th day of February, 2019.

Va, ted) Lhanrbesfiees
Carlene A. Chamberlain z H
Secretary of the Jamul Indian Village

ERTIFICATION BY TRIBA: UNCIL

This is to certify that this Resolution No. 2019-06 (A RESOLUTION TO APPROVE AN
AMENDMENT TO THE AMENDED & RESTATED GAMING ORDINANCE AND APPROVE
RESUBMISSION TO THE NIGC), was adopted by the Tribal Council of the Tribe at a duly called
meeting with a quomim present on February 20, 2019, by a vote of 5 FOR, 8 OPPOSED, and _|_
ABSTAINING,

ficd M, Pinto, Chairwoman Miéhael Hurt, Vice Chairman

Tribal Council Tribal Council
Richard Tellow, Treasurer Teresa Cousins, Council Member
Tribal Council Tribal Council
Ch: (4b ee.
si
Christopher Pinto, Council Member lames Cuero JII, Council Member

Tribal Council Tribal Council

Tribal Council


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

3.32 License shall mean a Gaming License, Gaming Facility License, Financial Source
License or Supplier License issued pursuant to the provisions of this Ordinance.

3.33 Licensee means any Person who has been issued a valid and current License.

3.34 Major Gaming Resource Supplier means any Gaming Resource Supplier who provides in
excess of $500,000.00 of equipment, goods, supplies or services to the Gaming Operation or Gaming
Facility in any consecutive twelve month period.

3.35 Management Agreement means an NIGC approved contract between the Tribe and a
Manager that provides for management of all or part of the Gaming Operation.

3.36 © Manager means any Gaming Resource Supplier with whom the Tribe has entered into a
Management Agreement.

3.37 Net revenues means gross Gaming revenues of the Gaming Operation less (a) amounts
paid out as, or paid for, prizes, and (b) total Gaming-related operating expenses, including all those
expenses of the Gaming Operation commonly known as operating expenses and non-operating expenses
consistent with professional accounting pronouncements, excluding management fees.

3.38 | NIGC means the National Indian Gaming Commission.

3.39 Non-Key Gaming Employee means a Gaming Employee who is not a Key Employee.

3.40 Ordinance means this Jamul Indian Village Amended & Restated Gaming Ordinance, as
it may from time to time be amended.

3.41 Patron means any individual who participates as a player in Gaming Activity at the
Gaming Facility.

3.42 Person means any person or entity, whether a natural person, trustee, corporation, general
partnership, limited partnership, limited liability company, limited liability partnership, trust, estate,
business association, Indian tribe (including the Tribe), commission, instrumentality, firm, joint venture,
governmental authority, Affiliate of the Tribe, or otherwise.

3.43 Primary Management Official means:

(a) The individual(s) having management responsibility for a Management
Agreement;

(b) Any individual who has authority to (i) hire and fire Key Employees, or (ii) to set
operations policy for the Gaming Operation, including employment policies;

(c) The chief financial officer or other individual who has financial management
responsibility; or

(d) Any other person designated by the Tribe as a Primary Management Official.



JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

5.2 Duration and Attributes. The Commission shall have perpetual existence and succession
in its own name, unless dissolved under Tribal law. The Tribe reserves unto itself the right to bring suit
against any Person in its own right, on behalf of the Tribe, or on behalf of the Commission, whenever the
ie considers it necessary to protect the sovereignty, rights, and interests of the Tribe or the
Commission.

5.3 Sovercign Immunity of the Tribe. The Commission irrevocably waives its right to assert
sovereign immunity in connection with any of the following proceedings or situations: (a) an
administrative hearing or arbitration contemplated under this Ordinance; or (b) in any appeal to the Jamul
Tribal Court and any courts (o which the decisions of the Jamul Tribal Court may be appealed.

5.4 Assets of the Commission. The Commission shall have only those assets specifically
assigned to it by the Tribe or acquired in its name by the Tribe. No activity of the Commission shall
implicate or involve assets of Tribal members or the Tribe that are not assigned to the Commission in
writing. Nothing in this Ordinance or any activity of the Commission shall implicate or in any way
involve the credit of the Tribe,

5.5 Number of Commissioners; Qualifications; Background Investigation.

(a) Number of Commissioners. The Commission shall be comprised of three
Commissioners appointed by a majority vote of the Tribal Council. ‘There shall be among them a
Chairperson, a Vice-Chairperson and one other Commissioner.

(b) Qualifications. ‘To serve on the Commission, an individual:
(1) Must be an enrolled member of the Tribe:
(2) Must be at least 21 years of age; and

(3) Must meet all other qualifications set forth in this Ordinance or in the
bylaws of the Commission.

(c) The following individuals may not serve as Commissioners:
(1) Gaming Personnel;

(2) Individuals related to any Financial Source or Gaming Resource Supplier
(including any principal thereof);

(3) Individuals that would not qualify for a tribal gaming license; and
(4) Members of the Tribal Council.
(d) The Commi:

the Tribal Council if'a vacancy persists on the Commis
qualified applicants,

ioner qualifications set forth in this Ordinance may be modified by
ion for more than three months due to a lack of

(e) The Commission qualifications set forth in this Ordinance may be waived on a
case-by-case basis as deemed appropriate and necessary by the Tribal Council.

~8-


WHEREAS, the Tribal Council, pursuant to the aforementioned authority, adopted the Jamul Indian
Village Amended & Restated Gaming Ordinance, Ordinance No. 2018-05, on December 10, 2018

("Amended & Restated Gaming Ordinance"); and

WHEREAS, the Tribal Council submitted the Amended & Restated Gaming Ordinance for review and
approval by the NIGC and pursuant to such review, the NIGC requested a minor revision to the Amended
& Restated Gaming Ordinance with respect to recordkeeping requirements; and

WHEREAS, the Tribal Council withdrew the Amended & Restated Gaming Ordinance from the NIGC
review and desires to revise the Amended & Restated Gaming Ordinance to comply with applicable
NIGC regulations and resubmit the Amended & Restated Gaming Ordinance to the NIGC for further
review and approval.

NOW THEREFORE BE IT RESOLVED, that the Tribal Council hereby amends the last paragraph of
Section 8,2 of the Amended & Restated Gaming Ordinance as follows:

Unless required to be retained by subpoena, court order, or other compulsory legal
process, or because of an ongoing criminal investigation, all records and Application
Information retained by the Executive Director or the Commission shall be retained fora
period of no less than three years from the date of either the termination of employment
of the applicant or, should the applicant never be employed with the Gaming Operation,
the date of denial of the license, after which such records may be destroyed or returned to
the Applicant or Licensee. It is a violation of this Ordinance for an individual to falsify,
destroy, erase or alter any records of any kind or other information ing to the Gaming
Operation in a manner other than as provided in this Ordinance, applicable Regulations or
Commission policy.

BE IT FURTHER RESOLVED, that, except as modified herein, all other provisions of the Amended &
Restated Gaming Ordinance shall remain the same and the Amended & Restated Gaming Ordinance, as
revised herein, shall be renumbered Ordinance No. 2019-01, and such revised Amended & Restated
Gaming Ordinance, upon approval by the NIGC of the revised Amended & Restated Gaming Ordinance,
shall repeal and replace all tribal gaming ordinances and amendments currently in effect.

BE IT FURTHER RESOLVED, the Tribal Council adopts, approves and certifies the Amended and
Restated Gaming Ordinance, as amended herein, (including, without limitation, any and all waivers of
sovereign immunity contained therein).

BE IT FINALLY RESOLVED, the Chainvoman of the Tribal Council is hereby authorized, empowered
and instructed to: (i) submit the Amended & Restated Gaming Ordinance (as revised herein) to the NIGC
for review and approval; and (ii) to take all necessary actions to comply with the NIGC submission
requirements and to facilitate the submission of the Amended & Restated Gaming Ordinance (as revised
herein).



JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

(g) A complete disclosure of any pending civil or criminal action against the
Applicant, including the name, and address of the police department and court involved.

(h) A statement as to whether or not the Applicant has ever been charged with a
crime and if so, the charge, the name and address of the court involved, the final disposition of the case,
and the date of final disposition.

(i) A disclosure of any civil or criminal judgments rendered against the Applicant,
including the case number, a description of the judgment, and the name and address of the court involved.

13.7 Reliance on Previously Issued License, In lieu of completing its own background
investigation, and to the extent that doing so does not conflict with or violate IGRA or the Compact, the
Commission may contract with the State Gaming Agency for the conduct of background investigations,
may rely on a state finding of suitability previously issued under a gaming compact involving another
tribe, or may rely on a State gaming license previous! ed to the Applicant, to fulfill some or all of the
Commission's background investigation obligation.

13.8 Duration; Renewal Process. A Financial Source License shall be issued for a period of
two years, and shall be renewed every two 's thereafter. Applicants for a renewal of a Financial
Source License shall provide to the Commission updated materials, as requested. on the appropriate
renewal Applications. Applicants for a renewal shall not be required to resubmit historical data already
available to the Commission. Additional background investigations shall not be required of Applicants
for a renewal unless the Commission determines, based upon the disclosure or discovery of new
information, that there is a need for further information concerning the Applicant's continuing eligibility
for a License.

13.9 Dispute Resolution, Any Person aggrieved by a final decision of the Commission to
grant, or deny an Application for a Financial Source License, or to end or revoke a Financial Source
License may utilize the dispute resolution procedures set forth in Sections 11.16.

14. Gaming Resource Supplier License

14.1 Licensing Process. Any Gaming Resource Supplier who provides, has provided, or has
an agreement to provide at least $25,000 in Gaming Resources in any twelve month period, or who has
received as compensation for providing Gaming Resources to the Gaming Facility or Gaming Operation
valued at $25,000 or more in any consecutive twelve month period within the twenty-four month period
immediately preceding application, shall be licensed by the Commission prior to the sale, lease. or
distribution of any such Gaming Resources to the Gaming Facility or Gaming Operation.

14.2 Submission of License to State Gaming Agency. The Commission shall submit to the
State Gaming Agency a copy of each Supplier License.

14.30 Application Forms and Procedures. The Commission shall adopt forms consistent with
the standards set forth in this Ordinance. All Supplier License Application forms shall, at a minimum,
require the name of the Applicant, the address of the Applicant's principal place of business, and evidence
that the Applicant is eligible for licensure as a Gaming Resource Supplier.

~29-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

10.3. Reports. Gaming security shall provide to Senior Gaming Management and the
Commission a complete copy of all Incident reports. The procedure for recording of all Incidents shall be
consistent with the requirements of the Compact.

10.4. Responsibilities. Gaming security is responsible for the;

(a) Development, implementation, and maintenance of written policies and
procedures for the conduct and integrity of Gaming security, subject to approval of the Commission; and

(b) Development, implementation, and maintenance of additional procedures
governing the use and release of Incident reports, subject to approval of the Commission.

1. Licensing of Primary Management Officials, Key Employees and Gaming Employees

11.1 Summary of Licensing Principles. All persons in any way connected with the Gaming
Operation or Facility who are required to be licensed or to submit to a background inyestigation under
IGRA and the Compact, including, but not limited to, all Gaming Employees and Gaming Resource
Suppliers, and any other person having a significant influence over the Gaming Operation must be
licensed by the Commission.

11.2 Licenses. The Commission shall issue Licenses for all Persons for which a License is
required under IGRA and the Compact, including:

(a) Class II and Class II] Gaming Facilities;
(b) Key Employees;

(c) Primary Management Officials;

(d) Gaming Employees;

(e) Financial Sources; and

(0) Gaming Resource Suppliers.

11.30 Current and Valid Gaming License Required. All Primary Management Officials and
Key Employees employed by the Gaming Operation must possess a valid Gaming License or have an
Application for a Gaming License pending.

11.4 Application Procedure for Gaming License. Every individual seeking employment as a
Primary Management Official or as a Key Employee shall submit a Gaming License Application and
additional supplemental information to the Commission on such forms or in such manner as the
Commission may require. At a minimum, Applications for Primary Management Official and Key
Employee shall contain the following information,

(a) The Applicant’s full name, including all other names used (oral or written),
current home and work addresses and telephone numbers, gender, Social Security Number, place of birth,

date of birth, citizenship, and driver’s license number(s) and the addresses of his or her residences over
the past five years.

Says


RESOLUTION OF THE TRIBAL COUNCIL OF THE
JAMUL INDIAN VILLAGE OF CALIFORNIA

RESOLUTION NO: 2019-06
A RESOLUTION TO APPROVE AN AMENDMENT TO THE AMENDED &
RESTATED GAMING ORDINANCE AND APPROVE RESUBMISSION TO
THE NIGC

WHEREAS, the Jamul indian Village of California ("Tribe") is a federally”

recognized Indian tribe possessing inherent powers of self-government and is ]
governed by the Constitution of the Jamul Indian Village of California adopted —

April 1, 2017 and approved by the Regional Director, Bureau of Indian Affairs on
April 28, 2017 (the "Constitution"); and

WHEREAS, pursuant to Article 4, Section | of the Constitution, the General
Council of the Tribe is the governing body of the Tribe (the "General Council"); and

WHEREAS, pursuant to Article 9, Section 1 of the Constitution, the General
Council retains the power to establish ordinances governing the conduct of tribal
members and any person engaged in activities within the jurisdiction of the Tribe, to
provide for the maintenance of law and order and the administration of justice and to
administer tribal assets and manage all economic affairs of the Tribe; and

WHEREAS, pursuant to Article 4, Section 2 of the Constitution, the General
Council may, by resolution, delegate its authority to the Tribal Council of the Tribe

(the "Tribal Council”), and

WHEREAS, the General Council approved the Jamul Indian Village Gaming
Ordinance pursuant to Resolution No. 2013-07, approved by the NIGC July 1, 2013,
as amended by Resolution No. 2015-43, approved by the NIGC February 11, 2016

("Gaming Ordinance"); and

WHEREAS, pursuant to Section 18.12 of the Gaming Ordinance, the General
Council delegated its authority to the Tribal Council to approve amendments to the
Gaming Ordinance; and

WHEREAS, the Tribal Council is empowered pursuant to the Constitution to carry
forth any duties and authority delegated to it from the General Council; and

WHEREAS, pursuant to the Indian Gaming Regulatory Act, 25 U.S.C. §2701 et
seq., the Tribe is required to adopt a gaming ordinance for regulation of gaming
activity on its trust land and obtain approval of such gaming ordinance by the
National Indian Gaming Commission ("NIGC"); and

WHEREAS, any amendments of the Gaming Ordinance require approval of the
NIGC; and

jarnulind


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

11.14 Notice to Tribal Council. Prior to any suspension or revocation of the License of any
member of Senior Gaming Management, the Commission shall provide written notice to the Tribal
Council seventy-two (72) hours prior to the issuance of the suspension or revocation.

11.15 Record of Proceedings. ‘The Commission shall maintain a complete and accurate record
of all proceedings relating to the issuance, denial, temporary suspension, suspension, revocation of all
Licenses and of the imposition of any fines on a Licensee or imposition of a condition on a License.
Records pertaining to the issuance, denial, temporary suspension, suspension, revocation of a License and
of the imposition of any fines on a Licensee or imposition of a condition on a License shall be
confidential and be handled in compliance with Section 8.

11.16 Appeals. Any Person aggrieved by a final decision of the Commission to condit
grant, deny, suspend or revoke a License or impose any fines on a Licensee may file a petition with the
Commission requesting a hearing to reconsider the decision, and shall have the right to appeal such
decision to the Tribal Council in accordance with such rules and regulations as may be promulgated by
the Tribal Council for that purpose. If the Gaming Commission or Tribal Council reverses a prior
licensure decision and issues a license to an application or licensee, such license shall not be issued for
more than one (1) year, shall be subject to the renewal procedures set forth herein, an such reversal order
and issuance of a license shall only be valid if to do so would not place the Tribe in violation of the
Compact or of any applicable law. The Tribal Council may, by resolution, delegate its duties described in
this Section 11.16 to the Tribal Court. A temporary suspension of an individual's license will be reviewed
pursuant to Section 11.13(b) prior to any appeal.

11.17 Reconsideration, In the event the Commission suspends, conditions, revokes, terminates,
or fails to renew a License afler an administrative hearing or appeal, and such Person is thereafter able to
obtain a license or determination of suitability from a state gaming agency, such Person shall have a right
to request that the Commission reconsider its prior determination. In such event, the Commission shall
promptly reconsider its prior determination in good faith.

12. Gaming Facility License

12.1 Compliance with Applicable Standards. ‘The construction and maintenance of any
Gaming Facility, and the operation of Gaming Activities, shall be conducted in a manner that adequately
protects the environment and the public health and safety, and shall comply with requirements of the
Gaming Compact and all other applicable health, safety, and environmental standards.

12.2. Licensing Requirement. The Commission is responsible for licensing the Gaming
Facility located on the Indian Lands after receiving information regarding the following:

(a) The Gaming Facility meets all applicable health and safety standards.

() ‘To show compliance with applicable health and safety standards. Senior
Gaming Management shall submit certified copies of Compliance Certificates.

(2) If health and safety standards are not met, proof must be submitted by
Senior Gaming Management of the process of improvements that will place the Gaming Facility in
compliance with the applicable standards.

-25-


JAMUL INDIAN VILLAGE
AMENDED & RESTATED GAMING ORDINANCE

18.8 Emergency Evacuation and Preparedness Plans. For the purpose of ensuring the
physical safety of the Gaming Operation and its Patrons and Gaming Personnel, and any other individuals
present in the Gaming Facility, the Commission shall develop and implement an Emergency Evacuation
and Preparedness Plan in compliance with the State Gaming Agency’s Uniform Tribal Gaming
Regulations.

18.9 Minors. The Gaming Operation shall not permit individuals under the age of 18 to be
present in any room in which Gaming Activities are being conducted unless the individual is enroute to a
non-Gaming area of the Gaming Facility. The Gaming Operation shall prohibit individuals under the age
of 2] to be present in any area in which Gaming Activities are being conducted and in which alcoholic
beverages may be consumed, unless the individual is enroute to a non-Gaming area of the Gaming
Facility.

18.10 Severability. Should a provision of this Ordinance or the application of a provision of
this Ordinance be determined to be invalid, the invalidity shall not affect the other provisions of this
Ordinance.

18.11 Repeal, This Ordinance shall repeal and supersede all previous Gaming ordinances
adopted by the Tribe. This Ordinance shall also repeal and supersede all other Tribal policies,
regulations, rules, motions, memoranda, and other similar acts which are inconsistent with this Ordinance.
Specifically, the Jamul Indian Village Gaming Ordinance, adopted on April 3, 2013, approved by the
NIGC on July 1, 2013, including any amendments thereto is repealed by this Ordinance,

18.12 Amendments, All provisions of this Ordinance are subject to amendment by the Tribal
Council. All amendments to this Ordinance shall be effective upon the date of passage by the Tribal
Council and approval by the Chairman of the NIGC. In the event that the Tribe or the Commission enact
any law, ordinance or regulation (including amendments to this Ordinance) which is more stringent or
burdensome than applicable federal or State legal requirements or the terms of the Compact, then the
provisions of this Ordinance shall apply.

18.13 Effective Date. This Ordinance shall take effect immediately upon its approval by the
Chairman of the NIGC.

-34-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

pursuant to this Ordinance, concerning the suitability for licensure of Applicants. No license shall be
issued to an Applicant if it is determined that employment of an Applicant would pose 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.

(b) No individual shall be licensed as a Primary Management Official, Key
Employee or Gaming Employee if:

(1) He or she has been convicted of, or entered a plea of guilty or nolo
contendere to any of the following offenses and the conviction has not been pardoned by the Tribe or
otherwise removed from the record by executive pardon or state court order:

(A) A felony;
(B) Any offense involving fraud or misrepresentation; or
(C) Any Gaming related offense;

(2) His or her prior activities, criminal record, if any, and reputation, habits,
and associations pose a threat to the public interest, threaten the effective operation and regulation of
Gaming, or create or enhance the dangers of unsuitable, unfair, or illegal practices, methods, or activities
in the conduct of Gaming;

(3) The credit history of the Applicant is deemed unacceptable or
warrants further investigation because it contains a finding of excessive past due unsecured
credit accounts, including collection, totaling more than $20,000, excluding medical and student
loan accounts;

(4) He or she is not an individual of good character, honesty or integrity; or

(5) His or her application to the State Gaming Agency for licensure or a
determination of suitability, or for a renewal of such a licensure or determination, has been denied or has
expired without renewal.

(c) Each Person who has a License shall have a continuing obligation to inform the
Commission immediately upon the occurrence of any circumstance or event which may disqualify the
Person from obtaining or retaining a License. Failure to report any such occurrence may result in
suspension or revocation of the Application or License and immediate termination from employment.

11.7 Temporary Licensure. ‘The Commission shall develop standards and procedures for the
temporary licensure of Applicants who have filed an Application for a License. An Applicant who has
submitted an Application as a Primary Management Official or Key Employee may be given a temporary
License for a period of ninety (90) days. No Primary Management Employee or Key Employee shall
continue to be employed if that Primary Management Employee or Key Employee does not have a license
within ninety (90) days from the start of employment with the Gaming Operation. For purposes of
temporary licensure, the Commission shall rely upon a state gaming license or finding of suitability
previously issued to the Applicant from a California, lowa, III Nevada, New Jersey, Ohio, or
Pennsylvania state gaming agency for purposes of satisfaction of a preliminary background investigation.

~20-


JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

3.25 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 definition of Gaming Resource Supplier does not include 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
ces provided, and the purveyor is not otherwise a person who exercises a significant influence over
the Gambling Operation.

3.26 — Incident means an accident, event or omission involving any individual on the premises
of the Gaming Facility which results in injury, damage to property, loss of revenue, any unusual
interruption in the conduct of any Game, or a deviation from normal operating policies and procedures.

3.27 Indian Gaming Regulatory Act or [GRA means Public Law 100- 497, 102 Stat. 2426, 25
U.S.C. § 2701, et seq., as amended.

3.28 Indian Lands means all lands within the exterior boundaries of the reservation of the
and any lands title to which is either held in trust by the United States for the benefit of the Tribe or
individual or held by the Tribe or individual subject to restriction by the United States against alienation
and over which the Tribe exercises governmental power.

3.29 Institutional Investor means any:
(a) bank as defined in Section 3(a)(6) of the Federal Securities Exchange Act;
(b) banking, chartered, or licensed lending institution;

(c) insurance company as defined in Section 2(a)(17) of the Investment Company
Act of 1940, as amended;

(d) chartered or licensed life insurance company or property and casualty insurance
company;

(e) investment company registered under Section 8 of the Investment Company Act
of 1940, as amended;

(f investment advisor registered under Section 203 of the Investment Advisors Act
of 1940, as amended;

(g) collective trust funds as defined in Section 3(¢)(11) of the Investment Company
Act of 1940, as amended;

(h) closed end investment trust;

(i) employee benefit plan or pension fund that is subject to the Employee Retirement
Income Security Act of 1974, as amended;

G) a slate or federal government pension plan; or



JAMUL INDIAN VILLAGE

AMENDED & RESTATED GAMING ORDINANCE

3.44 Providers af Non-Gaming Services means a Gaming Resource Supplier that does not
provide Gaming Equipment or services: directly related to Gaming Activities. Providers of Non-Gaming
Services provide goods or services to the Gaming Facility including, but not limited to equipment,
transportation, food, linens, janitorial supplies, and maintenance or security services.

3.45 Regulation means a Gaming regulation adopted by the Commission in accordance with
the terms of this Ordinance.

3.46 Related Person means an officer, director, shareholder (if the shareholder directly holds
more than 5% of the outstanding shares), manager, or member of the Manager or the Manager's
Affiliates,

3.47 Senior Gaming Management means the Gaming Operation’s general manager, assistant
general managers, Gaming directors and assistant Gaming directors,

3.48 — State means the State of California.

3.49 State Gaming Agency means the entities authorized to investigate, approve, and regulate
gaming licenses pursuant to the Gambling Control Act (Chapter 5, commencing with Section 19800) of
Division 8 of the California Business and Professions Code, and includes, but is not limited to, the
California Gambling Control Commission.

3.50 Supplier License means the permit granted by the Commission to a Gaming Resource
Supplier.

3.51 Tribal means of or pertaining to the Tribe.

3.52 Tribal Council means the elected governing body of the Tribe exercising authority
pursuant to Article 9, Section 2 of the Constitution of the Jamul Indian Village.

3.53 Tribe means the Jamul Indian Village.
4. ‘Tribal Council: Powers and Dutics

4.1 Delegation of Duties. The Tribal Council delegates certain duties and responsibilities to
the Commission under Section 5 of this Ordinance.

4.2 Registered Agent. ‘The Chairperson of the Tribe shall be the designated and registered
agent to receive notice of violations, orders, or determinations that are issued pursuant to IGRA or the
Compact,

5. Jamul Gaming Commission

Sal Establishment and Purpose. There shall be a Commission whose purpose is to exercise
the delegated authority and responsibilities enumerated in this Ordinance. The Commission shall be
primarily responsible for carrying out the Tribe’s regulatory responsibilities under IGRA and this
Ordinance. It is the responsibility of the Commission to conduct on-site regulation of the Gaming
Operation in order to enforce the terms of the Compact, IGRA and this Ordinance.