VIEJAS INDIAN RESERVATION

ANTHONY R. PICO, CHAIRMAN

KIM M. BACTAD, VICE CHAIRMAN

PAULETIE A. LEWIS, SECRETARY

ANITA R. UQUALLA, TREASURER

VIRGINIA M. CHRISTMAN, COUNCILWOMAN

SANDRA A. BARRE11, COUNCILWOMAN

CLARENCE R. BROWN, JR., COUNCILMAN

AUG ~

RESOLUTION AUTHORIZING TRIBAL COUNCIL

CHAIRMAN TO SIGN APPROVAL OF NEW VIEJAS

TRIBAL GAMING ORDINANCE

Resolution No. Q~73(C~g

WHEREAS, the Viejas Band of Kumeyaay Indians is a Federally recognized sovereign

Tribe (The Tribe) and as such is authorized to exercise its Sovereignty by enacting its own laws

governing its own affairs on the Viejas Reservation, and

WHEREAS, the Tribe wishes to engage in Class II and Class III gaming activity on its

reservation land.s as authorized by 25 U.S.C. § 2702 (The Indian Gaming Regulatory Act), and

WHEREAS, pursuant to the Act and 25 CFR part 522, the Tribe must enact a Tribal

Gaming Ordinance authorizing such desired gaming activit and after such enactment, the Tribe shall

additionaLly be required to submit any such Ordinance to, and receive approval from, the Chairman of the

National Indian Gaming Conmiission ( N1GC),

NOW THEREFORE BE IT RESOLVED, that the Tribal Council of the Viejas Band

of Kumeyaay Indians hereby approves and enacts the attached Tribal Gaining Ordinance,

BE IT FURTHER RESOLVED, that the Tribal Council designates the Chairman of the

Viejas Band, or in his absence the Vice Chairman, as authorized to affix his signature on the

Ordinance signifying approval,

BE IT FURTHER RESOLVED, that upon Tribal Governmental approval of the

Ordinance, the Viejas Tribal Gaming Commissioner is directed to engage in all additional

necessary communications with the National Indian Gaming Commission (NIGC ) to secure the

required approval of the Chairman of the NIGC.

Resolution passed this ~3L,_ day of~.~JZJLj 1998, at a duly noticed meeting of the Viejas

Tribal Council by vote of _~ for, - against, and - abstaining.

P.O. BOX 908

ALPINE, CA 91903

Phone: (619) 445-3810

Fax: (619) 445-5337
Resolution No ô~-~f~ Authorizing Gaming Ordinance

Page Two

Anthony R. Pico, Chairman Kkn M. Bacta ice Chairman

CL a

Paulette A. Lewis, Secretary Anita R. Uqualla, surer

________

4-~5EN1

Clarence R. Brown, Jr., Councilmar/f Sandra A. Barrett, Councilwoman

V mia M. Chi(strnan, Councilwoman
Tribal Gaming Ordinance

Ofthe

Viejas Band of Kumeyaay Indians

Adopted on

July 3L

Date

1998

By Resolution No. 073198
TRIBAL GAMING RDNANCE

VIEJAS BAND OF KUMEYAAY INDIANS

TABLE OF CONTENTS

Page No

Chapter! Definitions 1- 8

Chapter H Ordinance

Purpose 9

Gaming Authorized 9

Ownership of Gaming 9

License Required 9

Use of Gaming Revenues 10

Audit 10

Protection of the Environment and Public

Health and Safety 10

Licenses for Class H and Class III Key Employees and

Primary Management Officials and Gaming Employees

And Non-Gaming Employees 11

Definitions 11

Application Forms 12

Background Investigation 14

Background Investigation of Key Employees

And Primary Management Officials Pursuant

To Section 522.2 (b) of the Rules and Regulations

Of the National Indian Gaming Commission 16

Application Fee 18

Eligibility Determination 18
TABLE OF CONTENTS

Page No

Procedures for Forwarding Applications and

Reports for Key employees and Primary

Management Officials to the National

Indian Gaming Commission 18

Report to the National Indian Gaming

Commission 19

Granting a Gaming License 20

License Suspension 20

ClassifiGaming 21

Repeal 21

Chapter HI Administration and Enforcement

Unauthorized Gaming 22

Ownership Revenues to Benefit Tribe 22

Establishment of the Viejas Gaming

Review Board 23

Review Board Qualifications for Membership 23

Purpose and Authority of Review Board 24

Compensation for Review Board Members 24

Selection of Chairperson 24

Meetings/Hearings 25

Quorum Majority Vote 25

11
TABLE OF CONTENTS

Page No

Establishment and Authority of the Tribal Gaming Commission 25

Monthly Report 26

Prior Notice of Actions 26

Request for Review Board Action 27

Due Process, Appealing Commission Actions 27

Review Boards Findings 27

Notification of Review 28

Appointment of Commissioner 28

Commissioners Contract 28

Termination of Commissioner 28

Duties Of Commissioner 29

Right of Inspection 31

Confidentiality of Information 32

Powers of Delegation 32

Sanctions 33

Limitations Period 33

Violations of Code Punishment 33

Due Process Regarding Enforcement Actions 34

Patrons Disputes 34

Refusal to Pay Winnings 34

111
TABLE OF CONTENTS

Page No

Notice to Patrons 35

Effective Date of Decision 35

Review of Decision 35

Independence of Gaming Office 36

Chapter W Licensing

Issuance of Tribal Gaming License 37

Non-Transferability of License 37

Granting of License 37

Suitability Determination, License Denial 37

Licenses and Regulation of Class ifi Gaming

Activities; Tribal-State Compact Required 41

Failure of Applicant to Disclose Material

Information 41

Temporary Employment Licenses 41

Parameters of Licenses 41

Licensing of Vendors 42

Licensing of Gaming Facility 42

Licensing Fees 43

Gaming Commissioner and Commission

Employees 43

Chapter V Management Contracts

Gaming Commission Approval Required 44

iv
TABLE OF CONTENTS

Page No

Approval of Management Contracts 45

Percentage of Net Revenue Fees 46

Contract Disapproval 46

Modif~ring or Voiding Contract 47

Conveying Interest in Land 48

Fee for Investigation Cost 48

Dispute Resolution 48

Notice 48

Voluntary Resolution 48

Arbitration Procedures 48

Arbitration Costs 49

Arbitration Decision 49

Chapter VI Auditing, Fiscal Oversight, and Internal Controls

Minimum Procedures for Control of Internal

Fiscal Affairs 50

Gaming Office Oversight of Internal Fiscal

Affairs 51

Gaming Offices Right to Conduct Audit 52

Prohibition Against Embezzlement 52

Chapter VII Authorization of(~aming

Prohibition Against Gaming 53

V
TABEL OF CONTENTS

Page No

Grace Period 53

Authorization of Gaming 53

Approval of Gaming Equipment 53

Posting of Rules 54

Gaming Related Activity of the Tribe 54

Chapter Vu Exclusion or Ejection of Individuals

List of Undesirables 56

Prohibition Against Listed Individuals 56

Prohibition Against Certain Individuals 56

Chapter LX -

Unlawful Acts

It is Unlawful for Any Person 57

Prohibition Against Electronic Aids 59

Violations and Sanctions 59

Chapter X National Indian Gaming Commission and Tribal-State Compacts

National Indian Gaming Commission 60

National Indian Gaming Commission-Assessment 60

Compact with the State of California 60

Chapter XI Miscellaneous

Security 61

Surveillance 61

Maintenance of Code and Regulations 61

V
TABLE OF CONTENT

Page No

Compliance with Other Laws 61

Amendments 62

Severability 62

Designated Agent 62

Law Enforcement 62

Effective Date and Supercedure 62

vii
TRIBAL GAMING ORDINANCE

For the

VJEJAS BAND OF KUMEYAA Y INDIANS

CHAPTER I

DEFINITIONS

Section 1.01 Definitions Unless a different code meaning is clearly indicated, the terms

used in this Code shall have the same meaning as defined in the Indian Gaming Regulatory Act,

Public Law 100 §497, 102 Stat. 2467, codified at 25 U.S.C. §~ 2701 et. Seq. (Oct. 17, 1988).

Section 1.02 Calendar Year means the period beginning on the first day of January at

12:00:01 and ending the immediately following December31 at 12:00 oclock midnight

Section 1.03 Chairman means the Chairman of the National Indian Gaming Commission.

Section 1.04 Class I Gaining means:

(a) Social games played solely for prizes of minimal value; or

(b) Traditional forms of Indian gaming when played by individuals in connection with

tribal ceremonies or celebrations.
Section 1.05 Class II Gaming means:

(a) Bingo or làtto ( whether or not electronic, computer, or other technologic aids are used)

when players:

(1) Play for prizes with cards bearing numbers or other designations;

(2) Cover numbers or designations when objects, similarly numbered or designated,

are drawn or electronically determined; and

(3) Win the game by being the first person to cover a designated pattern on such

cards;

(b) If played in the same location as bingo or lotto, pull-tabs, punch boards, tip jars, instant

bingo, and other games similar to bingo;

(c) Non-banking card games that:

(1) State law explicitly authorizes, or does not explicitly prohibit, and are played

legally anywhere in the state; and

(2) Players play in conformity with state laws and regulations concerning hours,

periods of operation and limitations on wagers and pot sizes;

Section 1.06 Class III Gaming means all forms of gaming that are not Class I Gaming

or Class H gaming including but not limited to:

(a) Any banking game including but not limited to:

(1) Card games such as baccarat, chemin de fer, blackjack ( 21), and pal gow

(if played allowing only one pecson or entity the opportunity to bank);

(2) Casino games such as roulette, craps, and keno;

(b) Any gaming device as defined in 15 U.S.C. 117 (a) (1) and electronic or

2
electromechanical facsimiles of any game of chance;

(c) Any sports betting and pari-mutuel wagering including but not limited to wagering

on horse racing, dog racing orjai alai; or

(d) Lotteries.

Section 1.07 Collateral agreement means any contract, whether or not in writing,

that is related, either directly or indirectly, to a management contract or to any rights,

duties or obligations created between a tribe ( or any of its members, entities, or organizations)

and a management contractor or subcontractor ( or any person or entity related to a management

contractor or subcontractor).

Section 1.08 Commission means the National Indian Gaming Commission.

Section 1.09 Compact means any agreement reached between the Tribe and the State of

California pursuant to 25 U.S.C. §27 10 (d) and approved by the Secretary of the Interior.

Any such agreement shall affect the scope and regulation of Class ffi gaming activities only.

Section 1.10 Electronic, computer or other technologic aid means a device such as

a computer, telephone, cable, television, satellite or bingo blower and that when used--

(a) is not a game of chance but merely assists a player or the playing of a game;

(b) is readily distinguishable from the playing of a game of chance on an electronic

or electromechanical facsimile; and

(c) is operated according to applicable Federal communications law.

3
Section 1.11 Electronic or electromechanical facsimile means any gambling device as

defined in 15 U.S.C. 117(a) (2) or (3).

Section 1.12 Game similar to bingo means any game that meets the requirements for

bingo under Section 1.05 (a) of this part and that is not a house banking game under Section 1.06 of

this part.

Section 1.13 Gaming employee means any person employed by the Viejas gaming

operation engaged in the conduct of Class H or Class ifi Gaming activity as well as any primary

management official or key employee.

Section 1.14 Gaming operation means each economic entity that is licensed by a tribe,

operates the games, receives the revenues, issues the prizes, and pays the expenses. A gaming

operation may be operated by a tribe directly, by a management contractor, or, under certain

conditions, by another person or other entity. The operation also includes all ancillary Casino

activities which enhance or support the gaming operation.

Section 1.15 House banking game means any game of chance that is played with the house

as a participant in the game, where the house takes on all players, collects from all losers, and pays

all winners, and the house can win.

Section 1. 16 Indian lands means:

(a) Land within the limits of an Indian reservation; or

(b) Land over which an Indian tribe exercises governmental power and that is either--

(1) Held in trust by the United States for the benefit of any Indian tribe or

individual; or

(2) Held by an Indian tribe or individual subject to restriction by the United States

against alienation.

4
Section 1.17 Indian tribe means any Indian tribe, band, nation, or other organized group or

community of Indians that the Secretary recognizes as--

(a) Eligible for the special programs and services provided by the United States to Indians

because of their status as Indians and

(b) Having powers of self-government.

Section 1.18 Key employee means:

(a) A person who performs one or more of the following functions:

(1) Bingo caller, supervisor, cashier;

(2) Counting room supervisor; and count and drop personnel;

(3) Chief of security; and security personnel;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Cashier;

(9) Croupier;

(10) Approver of credit;

(ii) Any employee engaged in finance or accounting functions,

(12) Custodian of gambling devices including persons with access to cash and

Accounting records within such devices;

5
(b) If not otherwise included, any other person whose total cash compensation is in excess

of $50,000 per year; or

(c) If not otherwise included, the four most highly compensated persons in the gaming

operation.

Section 1.19 Management contract means any contract, subcontract, or collateral

agreement between an Indian tribe and a contractor or between a contractor and a subcontractor if

such contract or agreement provides for the management of all or part of a gaming operation.

Section 1.20 Net revenues means gross gaming revenues of an Indian gaming operation

less

(a) Amounts paid Out as, or paid for, prizes; and

(b) Total gaming related operating expenses, excluding management fees.

Section 1.21 Non-gaming employee means any employee of the gaming operation who is

not a gaming employee, primary management official or key employee. Non-gaming employees

shall also be licensed by the Tribal Gaming Commission in accordance with any limitations,

restrictions or regulatory requirements deemed appropriate by the Commission.

Section 1.22 Person having a direct or indirect financial interest in a management

contract means:

(a) When a person is a party to a management contract, any person having a direct financial

interest in a management contract;

(b) When a trust is a party to a management contract, any beneficiary or trustee;

6
(c) When a partnership is a party to a management contract, any partner;

(d) When a corporation is a party to a management contract, any person who is a director or

who holds at least 10% of the issued and outstanding stock alone or in combination with another

stockholder who is a spouse, parent, child or sibling; or

(e) When an entity other than a natural person has an interest in a trust, partnership or

corporation that has an interest in a management contract, all parties ofthat entity are deemed to be

persons having a direct financial interest in a Management contract.

Section 1.23 Person having management responsibility for a management contract means

the person designated by the management contract as having management responsibility for the

gaining operation, or a portion thereof.

Section 1.24 Primar, management official means

(a) The person having management responsibility for a management contract;

(b) Any person who has authority:

(1) To hire and fire employees; or

(2) To set up working policy for any portion of the gaming operation; or

(c) The chief financial officer or other person who has financial management responsibility.

Section 1.25 Secretary means the Secretary of the Interior.

Section 1.26 Viejas Tribal Gaming Office (known as the Vie/as Gaming

Commission) means the Viejas Tribe Gaming Office, established as the Tribal Governmental

Gaming regulatory agency.

7
Section 1.27 Viejas Tribal GamingAgent means any of the members or employees of the

Viejas Tribal Gaming Office, or Commission.

Section 1.28 Council means the Viejas Tribal Council.

Section 1.29 Commissioner means the Commissioner of the Viejas Tribal Gaming Office

appointed by the Council as the chief administrator of Viejas Tribal gaming regulatory agency.

Section 1.30 Tribe means the Viejas Band of Kumeyaay Indians.

Additionally, any definitions set forth in any provisions of a compact signed by the Tribe and the

State of California are adopted as if set forth at his point.

Section 1.31 Vie/as Gaming Review Board means a three member board appointed by the

Council for the review and approval of Tribal Gaming regulations promulgated by the

Commissioner and to hear and decide appeals relating to licensing actions, impositions of fines and

patron disputes.

Section 1.32 Words and Terms tense, number and gender. In constructing the provisions

of this Code, save when otherwise plainly declared or clearly apparent from the context;

(a) words in the present tense shall include the future tense;

(b) words in masculine, feminine and neuter genders shall include all genders;

(c) words in the singular shall include the plural, and in the plural shall include the singular.

Section 1.33 Working Days means Monday through Friday except for Federal or Tribal

holiday. -

8
CHAPTER II

ORDINANCE

Section 2.01 Purpose

The Viejas Band of Kumeyaay Indians ( hereinafter Tribe), a Federally recognized

Sovereign Indian Tribe hereby enacts this ordinance to authorize and set the terms for Class II and

Class ifi gaming operations on Tribal lands.

Section 2.02 Gaming Authorized

Class H gaming as defined in the Indian Gaming Regulatory Act, P. L. 100-447, 25 U.S.C.

Section 2703 (7) (a) (IGRA) and by the regulations promulgated by the National Indian Gaming

Commission at 25 C.F.R. § 502.3 (as published in the Federal Register at 57 FR 12382-12393,

April 9, 1993) is hereby authorized. Additionally, all forms of Class ifi gaming set forth in any

Compact between the Tribe and the State of California are authorized.

Section 2.03 Ownership of Gaming

The Tribe shall have the sole propriety interest in and responsibility for the conduct of any

gaming operation authorized by this ordinance ( unless the Tribe elects to allow individually

owned gaming).

Section 2.04 License Required

A Tribal license shall be required for each place, facility, or location on Tribal lands where

gaming occurs pursuant to 25 C.F.R. § 522.4 (b) (6).

9
Section 2.05 Use ofGamingRevenues

A. Net revenues from Class II and Class 111 gaming shall be used only for the following

purposes: to fund Tribal Government operations and programs; provide for the general welfare of

the Tribe and its members; promote Tribal economic development; donate to charitable

organizations; or help fund operations of local government agencies.

B. If the Tribe elects to make per capita payments to Tribal members, it shall authorize such

payments only upon approval of a plan submitted to the Secretary ofthe Interior under 25 U.S.C.

§ 2710 (b) (3).

Section 2.06 Audit

A. The Tribe shall cause to be conducted annually an independent audit of gaming

operations and shall submit the resulting audit reports to the National Indian Gaming Commission.

B. All gaming related contracts that result in the purchase of supplies, services, or

concessions in excess of $25,000.00 annually, except contracts for professional legal and

accounting services, shall be specifically included within the scope of the audit that is

described in subsection A. above.

Section 2.07 Protection ofthe Environment and Public Health and Safety

Class H and Class ifi gaming facilities shall be constructed, maintained and operated in a

manner that adequately protects the environment and the public health and safety.

10
Section 2.08 Licenses for Class II and Class III Key Employees and Priman Management

Officials, and Gaming Employees, and Non-Gaming Employees

All gaming employees, non- gaming employees, key employees and primary management

officials shall apply for and be granted a Tribal gaming license prior to employment in the gaming

operation. The Tribe shall ensure that the policies and procedures set out in this section are

implemented with respect to anyone employed at any Class II or Class ifi gaming enterprise

operated on

Indian lands:

A. Definitions

For the purpose of this section, the following definitions apply:

1. Key employee means

(a) A person who performs one or more of the following functions:

(1) Bingo caller, supervisor, cashier;

(2) Counting room supervisor, personnel, and drop team personnel;

(3) Chief of security, and all security personnel;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9) Any Cashier;

11
(10) Approver of credit; or

(11) Any employee engaged in finance or accounting functions;

(12) Custodian of gambling devices including persons with access to cash and

accounting records within such devices;

(b) If not otherwise included, any other person whose total cash compensation is in

excess of $50,000 per year; or

(c) If not otherwise included, the four most highly compensated persons in the

gaming operation.

2. Primary management official means

(a) The person having management responsibility for a management contract;

(b) Any person who has authority:

(1) to hire and fire employees; or

(2) to set up working policy for any portion of the gaming operation; or

(c) The chief financial officer or any other person who has financial management

responsibility.

B. Application forms

1. The following notice shall be placed on the application form for a gaming employee,

non-gaming employees, key employee, or a primary management official before that

form is filled Out by an applicant:

In compliance with the Privacy Act of 1974, the following information is provided:

Solicitation of the information on this form is authorized by 25 U.S.C. 2701 et seq.

The purpose of the requested information is to determine the eligibility of individuals

12
to be employed in a gaming operation. The information will be used by National

Indian Gaming Commission members and staff who have need for the information in

the performance of their official duties. The information may be disclosed to

appropriate Federal, Tribal, State, local or foreign law enforcement and regulatory

agencies when relevant to civil, criminal or regulatory investigations or prosecutions

or when pursuant to a requirement by a tribe or the National Indian Gaming

Commission in connection with the hiring or firing of an employee, the issuance or

revocation of a gaming license, or investigations of activities while associated with a

tribe or a Gaming operation. Failure to consent to the disclosures indicated in this

notice will result in a tribes being unable to hire you in a gaming employee, nongaming employee, primary management official or key employee position.

The disclosure of your Social Security Number(SSN) is voluntary. However, failure

to supply a SSN may result in errors in processing application.

2. The following notice shall be placed on the application form for a key employee or

primary official before that form is filled out by an applicant.

A false statement on any part of your application may be grounds for not hiring you,

or for firing you after you begin work. Also, you may be punished by fine or

imprisonment. (U.S. Code, Title 18, section 1001. )

3. Existing gaming employees, non-gaming employees, key employees and primary

management officials who have iot filled out applications with the privacy act notice or false

statement notice as described in section 2.08, B, I and 2 above shall be notified in writing that they

13
shall either:

(a) Complete a new application which contains the appropriate privacy act

notice and/or false statement notice; or

(b) Sign a statement that contains the privacy act and/or false statement notice.

C. Background Investigation: No license shall be granted to any person or entity who has

been determined to be a person or entity whose prior activities, criminal record, if any, or

reputation, habits, and associations pose a threat to the public interest or to the effective

regulation and control of gaming, or create or enhance the dangers of unsuitable, unfair, or

illegal practices, methods, and activities in the conduct of gaming or by the carrying on of the

business and financial arrangements incidental thereto.

1. License Application Minimum Requirements

(a) the Tribe shall request from each license applicant all of the following

information:

(1) Full name, other names used ( oral or written), social security

number (s), birth date, place of birth, citizenship, gender, all languages ( spoken or written);

(2) Currently and for the previous 10 years; business and employment

positions held, ownership interests in those businesses, business and residence addresses, and drivers

license numbers;

(3) The names and current address of at least three personal references,

including one personal reference who was acquainted with the applicant during each period of

residence listed under paragraph (a) (2) of this section;

14
(4) Current business and residence telephone numbers;

(5) A description of any existing and previous business relationships with

Indian Tribes, including ownership interests in those business;

(6) A description of any existing and previous business relationships with

the gaming industry generally, including ownership interest in those business;

(7) The name and address of any licensing or regulatory agency with which

the person has filed an application for a license or permit related to gaming, whether or not such

license or permit was granted;

(8) For each felony for which there is an ongoing prosecution or a

conviction, the charge, the name and address of the court involved, and the date and disposition if

any;

(9) For each misdemeanor conviction or ongoing misdemeanor prosecution

(excluding minor traffic violations), within 10 years of the date of the application, the name and

address of the court involved and the date and disposition;

(10) For each criminal charge ( excluding minor traffic charges ), whether or

not there is conviction, if such criminal charge is within 10 years of the date of the application and is

not otherwise listed pursuant to paragraph (A) (8) or (A) (9) of this section, the criminal charge, the

name and address of the court involved and the date and disposition;

(11) The name and address of any licensing or regulatory agency with which

the person has filed an application for an occupational license or permit, whether or not such license

or permit was granted;

(12) A current photograph;

15
(13) Any other information the Tribe deems relevant; and

(14) Fingerprints consistent with procedures adopted by the Tribe according

to 25 C.F.R. § 522.2 (h). Fingerprints shall be required for employees defined as key employees and

primary management officials only unless otherwise requested by the Tribal gaming commission.

Section 2.09 Background Investigation ofLicense Applicants Pursuant to Section 522.2 (bJ

ofthe Rules and Regulations oldie National Indian Gaming Commission The Tribe shall conduct

an investigation sufficient to make a detennination under Section 2.11. below. In conducting a

background investigation, the Tribe or its agent shall promise to keep confidential the identity of

each person interviewed in the course of the investigation.

1. Pursuant to any approved compact between the Tribe and the State of California

any applicable procedures for Tribal licensing and/or State licensing or certification of all

gaming employees for the conduct of Class ifi gaming are hereby adopted and incorporated by

reference.

2. The minimum procedures for conducting background investigations on license applicants

are:

a. Criminal history check;

b. Civil history check;

c. Financial and credit check;

d. Reference check;

e. Previous business and employment check;

f Relative check;

g. Business and personal associates check;

16
h. Educ~tional verification;

i. Document the disposition of all potential problem areas noted and disqualifying

information needed.

j. Any other investigation deemed necessary or appropriate by the Tribal Gaming

Office.

3. The Tribal Gaming Commissioner is primarily responsible for the conduct of the

background investigations and suitability determinations in consultation with the National Indian

Gaming Commission;

4. The Tribal Gaming Commission shall be responsible for conducting, reviewing and either

approving or disapproving the investigative work;

5. The Tribal Gaming Commissioner is responsible for reporting the results of the

background investigations to the National Indian Gaming Commission for key employees and

primary management officials only.

6. For the purposes of obtaining necessary fingerprints for processing, the Tribal Gaming

Commissioner and designated agents shall have Tribal law enforcement authority.

7. Suitability determination and selection of Gaming Office members is more specifically

Set forth later in this ordinance.

8. The investigative reports shall set forth, in detail, the:

a. Steps taken in conducting the background investigation;

b. Results obtained;

c. Conclusions reached;

d. The basis for those conclusions.

17
Section 2.10 Application Fee The Gaming Office shall set a fee for applications, background

investigations and licenses. All such fees shall be made payable to the Viejas Tribe and

delivered to the Viejas Tribal Treasurer.

Section 2.11 Eligibility Determination The Tribal Gaming Office shall review a persons

prior activities, criminal record, if any, and reputation, habits and associations to make a finding

concerning the eligibility of a Gaming license applicant. If the Gaming Office determines that

licensing of the person poses a threat to the public interest or to the effective regulation of gaming,

or creates or enhances dangers of unsuitable, unfair, or illegal practices and methods and activities in

the conduct of gaming, or jeopardizes the integrity or reputation of the Tribe or its Gaming

Operation, a license shall not be granted.

Section 2.12. Procedures for Forwarding Applications and Reports for Key Employees and

Primary Management O(ficials to the National Indian Gaming Commission

1. When a key employee or primary management official begins work at a gaming

operation authorized by this ordinance, the Gaming Commission shall forward to the National Indian

Gaming Commission a completed application for a gaming license and conduct the background

investigation and make the determination referred to in Section 2.11.

2. The Tribal Gaming Commission shall forward the report referred to in Section 2.13 to the

National Indian Gaming Commission within 60 days after an employee begins work or within 60

days of the approval of this ordinance by the Chairman of the National Indian Gaming Commission.

3. The gaming operation shall not employ as a key employee or primary management

18
official a person who does not have a license.

Section 2.13 Report to the National Indian Gaming Commission

1. Pursuant to the procedures set Out in section 2.09, the Tribal Gaming Office shall prepare

and forward the National Indian Gaming Commission an investigative report on each background

investigation. An investigative report shall include all of the following:

a. Steps taken in conducting a background investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

2. The Gaming Commission shall submit, with the report, a copy of the eligibility

determination made under Section 2.11.

3. If a license is not issued to an applicant, the Gaming Commission:

a. Shall notify the National Indian Gaming Commission;

b. may forward copies of its eligibility determination and investigative report

(ifany ) to the National Indian Gaming Commission for inclusion in the Indian

Gaming Individuals Records System.

4. With respect to license applicants, the Tribal Gaming Office shall retain applications for

licensing and employment and reports (if any) of background investigations for inspection by the

Chairman of the National Indian Gaming Commission or his or her designee for no less than three

(3) years from the date denial or revocation of a license, or termination of employment, whichever is

later.

19
Section 2.14 Granting a Gaming License

1. 1f within a thirty ( 30) day period after the National Indian Gaming Commission receives

a report, the National Indian Gaming Commission notifies the Tribe that it has no objection to the

issuance of a license pursuant to a license application filed by a key employee or a primary

management official for whom the Tribe has provided an application and investigative report to the

National Indian Gaming Commission, the Tribe may issue a license to such applicant.

2. The Tribe shall respond to a request for additional information from the Chairman

of the National Indian Gaining Commission concerning a key employee or a primary management

official who is the subject of a report. Such a request shall suspend the 30-day period under

paragraph 1. of this section until the Chairman of the National Indian Gaming Commission receives

the additional information.

3. If, within the thirty ( 30 ) day period described above, the National Indian Gaming

Commission provides the Tribe with a statement itemizing objections to the issuance of a license to a

key employee or to a primary management official for whom the Tribe has provided an application

and investigative report to the National Indian Gaming Commission, the Tribe shall reconsider the

application, taking into account the objections itemized by the National Indian Gaming Commission.

The Tribe shall make the final decision whether to issue a license to such applicant.

Section 2.15 License Suspension

1. If, after the issuance of a gaming license, the Tribe receives from the National

Indian Gaming Commission or other source, reliable information indicating that a key employee or a

primary management official is not eligible for employment under subsection 3 above, the Gaming

Commission shall suspend such license and shall notify in writing the licensee of the suspension and

20
the proposed revocation.

2. The Gaming Commission shall notify the licensee of a time and place for a

hearing on the proposed revocation of a license.

3. After a revocation hearing, the Gaming Commission shall decide to revoke or to

reinstate a gaming license. The Gaming Commission shall notify the National Indian Gaming

Commission of its decision.

Section 2.16 Class III Gaming In addition to the above, any Tribal-State licensing and/or

certification requirements and procedures for Tribal licensing and/or State certification or licensing

in a Compact between the Tribe and State of California are adopted and incorporated herein by

reference.

Section 2.17 Repeal

Upon approval of this gaming ordinance by the Chairman of the National Indian Gaming

Commission all prior gaming ordinances enacted by the Tribe are hereby repealed.

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CHAPTER III

ADMINISTRATION AND ENFORCEMENT

Section 3.01 Unauthorized Gaming Any person who commits any act of unauthorized

gaming on this reservation shall be in violation of this Ordinance and shall be prosecuted in the

appropriate court of competent jurisdiction. Prosecution for such a violation in other than Federal

court is not meant to be exclusive; a finding of guilt or innocence shall not deprive the Federal

government from jurisdiction.

Section 3.02 Ownership- Revenues to Benefit Tribe The Tribe shall have the sole

proprietary interest in, and sole responsibility for, the conduct of the gaming activity. Such

provision does not, however, limit the Tribes ability to enter into a management contract wherein

net profits are divided between the Tribe and other parties to the contract. The Tribes share

of net revenues will go entirely to the Tribe and will be used solely for the following purposes:

(a) to ftind 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; or

(e) to help ftind operations of local government agencies.

(f) Net revenues from the gaming establishment may be used to make per capita

payments to members of the Tribe pursuant to a plan approved by the

Secretary of the Interior.

22
Section 3.03 Establishment of/he Viejas Gaining Review Board The Viejas Gaming Review

Board is hereby established. The Gaming Review Board shall consist of three (3) members

appointed by a majority vote of the Council. A Board Member shall serve for three (3 ) years and

may be removed from office prior to the end of their term only for cause and by a unanimous vote of

Council. In order to establish annually staggered terms, the first Board members shall be

appointed by the Council as follows: one (1) member shall serve a three (3) year term, one (1) shall

serve a two (2) year term, and one (1) shall serve a one year (1) year term for the initial appointment

terms only. Therea.fter, all successive terms of appointment shall run for three (3) years. Vacancies

shall be filled within thirty (30) days by the Council.

Section 3.04 Review Board Qual~ficalionsfor Membership Each member shall have a

minimum of a four (4) year college degree and eight (8) years of experience in accounting, gaming

management or gaming regulation, or eight (8) years of law experience, or an equivalent

combination thereof. Each member shall be subject to the same background and licensing standards

as currently required for top-level Casino management positions according to this ordinance and

NIGC regulations. No person shall be eligible to serve as a Viejas Gaming Review Board member

who has been convicted or is currently being prosecuted for any crime of moral turpitude or any

felony. Viejas Gaming Review Board members may not be concurrently employed in any gaming

operation, may not concurrently hold any elected Tribal office, and may not be related to any person

employed by the Tribal Gaming Operation. Board members and their immediate family members

may not engage in any gaming activity at the Viejas Tribal Gaming operation. For the purpose of

this section relative or immediate family member shall be defined as mother, father,

23
(including step, adopted, or in-law for all), son, daughter, brother, sister, grandparent, niece,

nephew, , uncle, aunt and first cousins.

Section 3.05 Purpose andAuthoritv ofReview Board The gaming review board shall be

responsible for the review and approval of any Tribal gaming regulations promulgated by the

Commission under the authority of this ordinance. In addition, the review board shall serve as a

final appeal board to review any disputes between patrons and the gaming operation as well as

review and/or hear any appeals for any contested licensing actions or fines imposed by the

Commission.

Section 3.06 Compensalionfor Review BoardMembers Gaming Review Board members

shall be paid a stipend at a rate to be established annually by the Gaming Office budget, and

approved by the Tribal Council. Initially the stipend shall be at the rate of $350.00 per member per

meeting. Board members shall be reimbursed for actual expenses incurred on Gaming Office

business, including necessary travel expenses. In no event shall compensation be based on a

percentage of net profits from gaming operations of the Tribe.

Section 3.07 Selection of Chairperson The review board shall select annually from its

membership a chairperson, who shall chair all necessary hearings and meetings. If the chairperson

determines that a meeting must be continued or postponed, the chairperson may set the time and date

for additional meeting/hearing times. The Chairperson shall communicate the scheduling of all

meetings/hearings with the Gaming Commissioner.

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Section 3.08 Meetings/Hearings The review board shall not meet more than twice per month

unless deemed necessary by the Chair person or at special request of the Commissioner. Should

additional meetings be necessary, the Board Chairman and Commissioner shall concur on mutually

agreeable dates and times. Meeting and hearings shall take place on the Viejas reservation.

Meetings and hearing proceedings shall have official minutes recorded by the secretary or

administrative assistant of the Commission. Records of board meetings and hearings shall be

exempt from state subpoena.

Section 3.09 Quorum Majority Vote A quorum shall consist of all three (3) members of the

review board. All decisions shall be made by a majority vote of the Board members.

Section 3.10 Establishment andAuthoritv ofthe Tribal Gaming Commission The Viejas

Tribal Gaming Commission is hereby established. The Gaming Commission (also referred to as

Gaming Office) shall exercise all powers necessary to effectuate the purposes of this Code. The

Gaming Commission may exercise any proper power and authority necessary to perform the duties

assigned to it by this Code, and is not limited by the enumeration of powers in this chapter. The

Gaming Commission shall promulgate rules and regulations for the operation of any gaming

establishment and shall hear and resolve all disputes regarding any provision of the Code. In all

decisions, the Gaming Commission shall act to promote and ensure integrity, security, honesty, and

fairness of the operation and administration of gaming and ancillary activities of the gaming

operation. The Gaming Commission shall have the power and authority to deny any application; to

limit, condition, suspend, or restrict any license; make a finding of suitability or approval of a

license, or find suitable the imposition of a fine upon any person or entity licensed, for any cause

25
deemed reasonable by the Gaming Commission.

Section 3.11 Monthly Report The Gaming Commissioner shall make at least monthly reports

to the Council within thirty (30) days after the close of the month for which the information is being

required. The report shall at a minimum include a full and complete statement of auditing activities,

expenses and all other financial transactions of the Commission and summary of all licensing

and enforcement actions.

Section 3.12 Prior Notice ofActions In promulgating, amending, and repealing regulations,

the Gaming Commission shall give prior notice of the proposed action to all licensees and other

persons whom the Commissioner has reason to believe have a legitimate and bona fide interest in

such proposed action. Said notice shall inform such persons as to the general nature of the proposed

actions and advise them as to the manner in which comments on said proposed action shall be

received by the Gaming Commission. Upon receipt of input and comments from affected parties the

Commissioner shall schedule a meeting with the Review Board and present proposed regulations for

approval and adoption. Any disagreements between parties affected by the proposed regulations and

the Commission will be considered by the Review Board prior to adoption. In emergencies, the

Gaming Commission may summarily adopt, amend or repeal any regulation if at the time the

Commissioner determines such action is necessary for the immediate preservation of the public

peace, health, safety, morals, and good order or general welfare, together with a statement of facts

constituting the emergency; provided the Gaming Commissioner and Review Board shall schedule

such emergency action for a regular hearing as soon as possible not to exceed thirty ( 30 ) days after

any such emergency action.

26
Section 3.13 Request for Review BoardAction The General Manager of the Gaming

operation may file a petition in a manner and form approved by the Gaming Review Board

requesting the amendment or repeal of a regulation. Upon receipt of the petition, the Chair of the

Gaming Review Board shall within thirty (30) days schedule the matter for Consideration by the

Review Board pursuant to this chapter, and shall immediately forward a copy of the petition

to the Gaming Commissioner. The Chair of the Gaming Review Board will consult with the

Gaming Commissioner before ruling on any petition and will schedule the matter for hearing only

if the Gaming Review Board disagrees with the Gaming Commissioners recommendation.

Section 3.14 Due Process. Appealing Commission Actions Any Commission decision

resulting in approving, disapproving, revoking, suspending, limiting or conditioning a license, or the

imposition of other sanctions under this Code shall be made by the Commissioner. Should an

applicant or licensee disagree with the determination of the Commissioner, the Commissioner shall

schedule a hearing with the Review Board to review the decision, within thirty (30) working days

from the date an applicant files his/her written appeal with the Gaming Commission.

Section 3.15 Review Boards Findings Following such hearing, the Review Board shall,

within three (3) working days reach a determination concerning:

(a) the accuracy of the facts presented at the hearing;

(b) whether the license in question should be granted, denied, reinstated suspended,

revoked, conditioned, or limited; and

(c) whether any other action recommended to the Review Board including,

but not limited to fines and forfeitures, should be taken

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Section 3.16 Notification ofReview Board Decision Within ten (10) working days following

this determination, the Review Board shall inform the subject and the Commission in writing of the

determination. The determination of the Review Board shall be final and not subject to further

appeal.

Section 3.17 Appointment of Commissioner The Council shall appoint a Commissioner who

shall be responsible for the day-to-day management of the affairs of the Gaming Commission as well

as overseeing the establishment and operation of all gaming activities for compliance with all

applicable Federal, State and Tribal gaming laws and regulations. A detailed background

investigation shall be conducted on the Commissioner before his/her appointment. The

Commissioner shall report directly and only to the Tribal Council. No one convicted of a felony of

any kind or misdemeanor related to gambling or moral turpitude can serve as Commissioner. The

Commissioner shall have no personal interest in the gaming activity. Neither the Commissioner

nor any Commission employees may gamble in the gaming establishment nor have any personal

financial interest in any gaming establishment patron.

Section 3.18 Commissioner Contract. The Commissioner shall be hired on a contract. The

terms of the contract will be negotiated with the Tribal Council and approved by the Council. The

Commissioners compensation shall be part of the negotiations. Compensation for the

Commissioner shall not be based, in whole or in part, on the profitability of the gaming operation.

Section 3. l9Termination of Commissioner The Commissioner shall be terminated

immediately and without the necessity of a vote of the Council upon the Commissioners conviction

in a Federal or State court of competent jurisdiction for any felony, or for any misdemeanor related

28
to gambling or moral turpitude, or upon conviction of any charge that the Council finds relates to the

Commissioners honesty or ability to flulfill his/hers duties. lithe Commissioner is convicted of

violating any part of this Code, he/she shall be immediately terminated. Additionally, the

Commissioner may be terminated for inadequate performance of the duties required, or may

additionally be terminated for associations or conduct that would tend to bring the Commissioners

integrity or gaming operation into disrepute.

Section 3.20 Duties of Commissioner The Commissioner shall perform all duties, exercise

all powers, assume and discharge all responsibilities, and carry out and effect all purposes of this

Code relating to the regulation of all gaming activity. In all decisions, the Commissioner shall act to

promote and ensure integrity, security, honesty, and fairness of the operation and administration of

all gaming activity. The Commissioners duties shall include but not be limited to the following:

(a) Negotiating contracts for payments by the Tribe for the provision of security,

surveillance, outside independent auditing services. Such contracts must be approved

by the Council and shall not constitute a waiver ofjurisdiction by the Tribe;

(b) Correspond with the National Indian Gaming Commission and do whatever is

necessary to ensure compliance with the rules and regulations of that agency.

Specifically, the Commissioner, with approval of the Tribal Council, shall

arrange for an annual outside audit of authorized gaming and will provide a copy to

the National Indian Gaming Commission.

(c) The Commissioner will assure that all gaming activity is conducted in a manner

which adequately protects the environment and the publics health and safety;

(d) The Commissioner will ensure that background investigations are conducted

29
pursuant to section 2.09 on all primary management officials, key employees, gaming

employees and non-gaming employees of any gaming establishment and that

oversight of such officials and their management is conducted on an ongoing basis.

The Commissioner will make suitability determinations on the granting of Ti-ibal

licenses for all of the gaming operation employees. The Commissioner shall

immediately notify the National Indian Gaming Commission of the issuance of such

licenses for primary management officials and key employees. The Commissioner

will review all license applications and background investigations to ensure that no

person shall be eligible for employment if that persons prior activities, criminal

record (if any ), or reputation, habits and associations pose a threat to the public

interest or to the effective regulation of gaming or create or enhance the dangers of

unsuitable, unfair, or illegal practices and methods and activities in the conduct of

gaming or jeopardize the integrity or reputation of the Tribe or its Gaming Operation.

The Commissioner shall notify the National Indian Gaming Commission of the

results of such background checks before the issuance of such licenses to primary

management officials and key employees.

(e) Hiring, pursuant to the approval of the Tribal Council, such professional,

clerical, technical and administrative personnel as may be necessary to carry out the

provisions of this Code.

(f) Inspect, review and copy all records, documents, equipment and facilities,

or anything else necessary and pertinent to enforcement of any provisions of this

Code.

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(g) Make decisions and execute any sanctions on any person subject to the

jurisdiction of this Code, as deemed necessary, appropriate and lawful.

Section 3.21 Right ofInspection The Commissioner and his/her agents, inspectors, and

employees have the authority:

(a) to inspect and examine all premises wherein gaming is conducted or gambling

devices or equipment are used, manufactured, sold or distributed;

(b) To inspect all equipment and supplies in, upon or about a gaming establishment,

or inspect any equipment or supplies wherever located, which may, or have been used

in the gaming establishment;

(c) Summarily to seize and remove from a gaming establishment (or wherever

located) and impound such equipment or supplies for the purpose of examination,

inspection, evidence, or forfeiture;

(d) to demand immediate access to and inspect, examine and audit all papers,

books, and records of applicants and licensees, and require verification of income and

all other matters affecting the enforcement of the policy of or any of the provisions of

this Code;

(e) To seize and impound any patrons winnings which the Gaming office has

reason to believe may have been won or obtained in violation of this Code pending a

civil forfeiture hearing on such seizure;

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

and authority to issue subpoenas and compel the attendance of witnesses for hearing

at any place within the Reservation, to administer oaths and to require testimony

31
under oath. Any process or notice may be served in the manner provided for service

of process and notices in civil actions. The Review Board and the Commissioner

may pay such transportation and other expenses of witnesses as it may deem

reasonable and proper. Any licensee failing to comply with any subpoena shall be

subject to immediate revocation of their gaming license.

Section 3.22 Confidentiality ofInformation Each member of the Viejas Gaming Review

Board and each employee of the Tribal Gaming Commission shall be required to sign a

confidentiality agreement, and will be responsible for ensuring the strictest standards of

confidentiality with respect to all information. All information provided to the Viejas Gaming

Review Board and Gaming Commission and all information obtained by the Board and Tribal

Gaming Commission in the performance of its duties, shall be kept confidential and shall not be

disclosed to any person or organization without the written consent of the Viejas Tribal Council.

The Review Board and the Commissioner may refuse to reveal, in any court proceeding the identify

of any informant, or the information obtained from the informant, or both the identity and the

information.

Section 3.23 Powers ofDelegation The Viejas Tribal Gaming Commission may organize

itself into a functional division as it may deem necessary and from time to time alter such plan of

organization as it may deem expedient. The Tribal Commission shall establish its own budget for

operations, and acquire such furnishings, equipment, supplies, stationery, books, motor vehicles, and

other things as it may deem necessary or desirable in carrying out is functions, and incur such other

expenses within the limit of funds available to it, as it may deem necessary. Within the limits of a

Council approved budget, the Gaming Commission shall employ and fix the salaries of or contract

32
for the services of such professional, technical and operational personnel and consultants as the

execution of its duties and the operation of the Gaming Commission may require. At the Councils

discretion, said budget may be reviewed and modified by the Council every six (6) months. Upon

the end of the budget year, any surplus which might exist shall revert to the Tribal Government. The

Commissioner shall keep and maintain a file of all applications for licenses under this chapter,

together with a record of all actions taken with respect to such applications. The Commissioner shall

keep and maintain such other files and records as he/she may deem desirable.

Section 3.24 Sanctions Any person who engages in activities on property subject to the

provisions of this Gaming Code without a license, in violation of any license or terms imposed

thereon, in violation of terms of suspension, or in violation of the Code, including any person who

unlawfully trespasses upon any premises licensed by this Code without the consent of the licensee

and/or the Gaming Office shall be in violation of this code and be subject to sanctions in accordance

with the provisions of Section 3.26 hereinafter.

Section 3.25 Limitations Period No fine shall be assessed nor any action taken for any

violation under the preceding section unless the action is initiated within two ( 2 ) years of the

commission of the offense.

Section 3.26 Violations of Code Punishment Any violation of this Code may be punished

by a fine of no more than Five Thousand Dollars ( $5, 000.00 ) for each separate count or violation.

Each day of violation shall constitute a separate count or violation under this Code. A violator may

also be required to pay costs, storage fees, and auction or sales fees. All property used or which may

be used in activities in each and every separate violation of this Code may become the property

33
of the Tribe; persons may be prohibited from trespassing on premises licensed under this Code,

licenses may be suspended, revoked, or limited and gaming establishments may be closed.

All such action shall be taken at the discretion of the Gaming Commission, subject to the right of

appeal to the Viejas Gaming Review Board. Winnings found to have been received in violation of

this Code shall be forfeited and become the property of the Tribe.

Section 3.27 Due Process Regarding Enforcement Actiong The Gaming Commission shall

promulgate regulations protecting due process rights of all individuals subject to the enforcement of

this Code. Such regulations shall, at a minimum:

(a) provide standards for emergency or summary suspension of license;

(b) provide fair notice and opportunity for hearing before the Gaming Commission

regarding any revocation or suspension of license, and regarding any enforcement

action taken pursuant to this Code; and

(c) provide the right to appeal, de novo, any Gaming Commission disciplinary or

enforcement action to the Viejas Gaming Review Board.

Section 3.28 Patron Disputes

(a) Refusal to Pay Winnings Whenever the Gaming Facility Operator refuses

payment of alleged winnings or machine credits to a patron, and the Gaming Facility Operator and

the patron are unable to resolve the dispute to the satisfaction of the patron, and the dispute involves:

( I ) At least five hundred dollars ($500), the Gaming Facility Operator shall

immediately notify the Tribal Gaming Commission. The Tribal Gaming

Commission shall conduct whatever investigation it deems necessary and

shall determine whether payment should be made; or

34
(2) Less than five hundred dollars ($500) and the patron and operator do not

come to an agreement, the Gaming Facility Operator shall inform the patron

of his or her right to request that the Tribal Gaming Commission conduct an

investigation. Upon request of the patron, the Tribal Gaming Commission

shall conduct whatever investigation it deems necessary and shall determine

whether payment should be made.

(b) Notice to Patrons The Tribal Gaming Commission shall mall written notice by

certified mail, return receipt requested, to the Gaming Facility Operator and the patron of the

decision resolving the dispute within thirty (30) days after the date that the Tribal Gaming

Commission first receives notification from the Gaming Facility Operator or a request to conduct an

investigation from the patron. Such notice shall include an explanation of the decision.

(c) Effective Date of Decision The decision of the Tribal Gaming Commission is

effective on the date it is received by the aggrieved party as reflected on the return receipt.

(d) Review of Decision Within thirty ( 30 ) days after the date of receipt of the

written decision, the aggrieved party may file a petition with the Gaming Review Board. Upon

receipt of the petition the Chair of the Review Board shall immediately forward a copy of the

petition to the Gaming Commissioner. The Gaming Review Board shall promulgate procedures to

determine whether patron disputes are eligible for a hearing and for the conduct of any hearing. The

Gaming Review Board shall take into consideration the prior decision and other documentation

provided to it by the patron, the Gaming Commission, and the Gaming Facility Operator.

The Chairman of the Review Board shall then issue a written decision and mail it to the parties

35
pursuant to the procedures set forth in Section 3.28 (b). The decision of the Viejas Gaming Review

Board shall be final and binding upon the patron and the Gaming Facility Operator and shall not be

subject to judicial review, dispute resolution or other legal action.

Section 3.29 Independence of Gaming OffIce The Commissioner, Commission Employees,

members of the Council and their immediate families shall receive no personal compensation, gift,

reimbursement or payment of any kind from any person doing or wishing to do business with the

Tribe relating to gaming nor with any person wishing to obtain an unfair advantage in any

authorized wager on gaming. Any property received in violation of this provision, including cash

payments, shall be immediately forfeited to the Tribe and the offending persons shall be prosecuted

to the ftillest extent possible. The Gaming Commission shall cooperate to the fullest extent possible

with any Federal or State law enforcement agency to pursue prosecution under applicable Federal or

State law.

36
Chapter IV

Licensing

Section 4.01 Issuance of Tribal Gaming Licenses The Gaming Office shall

consult with appropriate law enforcement officials concerning any gaming licenses it may issue. 1f

after issuance of a gaming license by the Gaming Commission Office, reliable information is

received that a licensed employee does not meet the standard established under Section 2.11 of this

Code, the Gaming Office shall suspend such license.

Section 4.02 Non Transferability of License Any license issued pursuant to the provision

of this Code is valid only for the person or entity at the place of business shown on the face thereof.

It is not assignable or otherwise transferable to any other person or entity for any other location

without approval of the Commissioner.

Section 4.03 Granting ofLicense The Commission, upon completion of appropriate

background investigation and suitability determination shall either grant or deny a license. The

issuance of a license shall be done only provided that,

(a) A completed license application has been received;

(b) All applicable licensing fees have been paid;

(c) No objection has been raised by Federal or State Gaming Officials.

Section 4.04 Suitability Determination. License Denial The Commissioner may not grant a

license to any applicant who has been convicted of any felony or gaming offense. The

Commissioner may deny a license to any applicant ( employee or vendor), or may suspend

37
or revoke the license of any employee or vendor who:

(a) has knowingly and willfully provided false statements or information or omitted

material information on his or her license application or background questionnaire;

or

(b) is determined to be a person whose prior activities, criminal record if any, or

reputation, habits, and associations pose a threat to the public interest or to the

effective regulation and control of gaming, or create or enhance the dangers of

unsuitable, unfair, or illegal practices, and methods, and activities in the conduct of

gaming or the carrying on of the business and financial arrangements incidental

thereto, or jeopardizes the integrity or reputation of the Tribe or its Gaming

Operation; or

(c) has violated, failed or reftised to comply with the provisions, requirements,

conditions, limitations or duties imposed by any provision of this ordinance, the

Compact, or any provision of any Federal, State, or Tribal Gaming Regulations, or

when any such violation has occurred upon any premises occupied or operated by any

such person or over which he or she has substantial control;

(d) knowingly causes, aids, abets, or conspires with another to cause any person or

entity to violate any of the laws of this State or the applicable rules of the State or

Tribal Gaming Office, or the provisions of the Compact;

(e) has obtained a State Gaming license or certification or Tribal license by fraud,

misrepresentation, concealment or through inadvertence or mistake;

(f) has been convicted of ,or forfeited bond upon a charge of, or plead guilty to,

forgery, larceny, extortion, conspiracy to defraud, willful failure to make required

38
payment or reports to any Government, whether Tribal, State, or the United States; or

of any crime, whether a felony or misdemeanor, involving any gaming activity,

misappropriation of funds or physical harm to individuals or moral turpitude;

(g) makes a misrepresentation of~ or fails to disclose a material fact to the Federal,

State, or the Tribal Gaming Regulatory authorities;

(h) is subject to current prosecution or pending charges, or a conviction which is

under appeal, for any of the offenses included under subsection (g ) of this Section;

provided that the Gaming Commission may defer decision upon the application

during the pendency of such prosecution or appeal;

(i) has had a gaming license issued by any State or Tribe in the United States

revoked or denied;

(j) has demonstrated a willful disregard for compliance with Gaming Regulatory

authority in any jurisdiction, including suspension, revocation, denial of application

or forfeiture of license;

(k) has pursued or is pursuing economic gain in an occupational manner or context

which is in violation of the criminal laws of any state if such pursuit creates probable

cause to believe that the participation of such person in gaming or related activities

would be detrimental to the proper operation of an authorized gaming or related

activity in this State. For the purposes of this paragraph, occupational manner or

context shall be defined as the systematic planning, administration, management or

execution of an activity for financial gain;

(1) is a career offender or a member of a career offender organization or an

39
associate of a career offender or career offender organization in such a manner which

creates probable cause to believe that the association is of such a nature as to be

detrimental to the proper operation of the authorized gaming or related activities in

this State. For the purpose of this paragraph, career offender shall be defined as any

person whose behavior is pursued in an occupational manner or context for the

purposes of economic gain utilizing such methods as are deemed criminal violations

of Tribal law, Federal law or the laws and the public policy of this State. A career

offender organization shall be defined as any group of persons who operate together

as career offenders;

(m) is a person whose prior activities, criminal record, if any reputation, habits and

associations pose a threat to the public interest of the Tribe or to the effective

regulation and control of Gaming, or creates or enhances the dangers of unsuitable,

unfair or illegal practices, methods, and activities in the conduct of gaming, or the

carrying on of the business and financial arrangements incidental thereto; or

(n) fails to provide any information requested by Tribal Gaming Office within

fourteen (14) days of the request for the information.

40
Section 4.05 Licenses and Regitlation of Class III Gaming Activities; Tribal State Compact

Compliance The Gaming Office shall follow each, every, and all of the requirements for licensing

and regulation of Class HI gaming pursuant to the terms and conditions of any compact between the

Tribe and the State of California.

Section 4.06 Failure ofApplicant to Disclose Material Information An applicant for

licensing shall make true and full disclosure of all information to the Gaming Commission necessary

or appropriate to carry Out the policies of this Tribe relating to licensing and control of the gaming

operation. It is the duty of the applicant to disclose all information material to whether the

applicants involvement with gaming would jeopardize or compromise the Tribal interest, whether

or not the applicant has been specifically requested to provide that information. It shall constitute a

violation of this Code to fail to disclose, to mislead or to misstate any such material information to

the Commission.

Section 4.07 Temporar,~ Employment Licenses The Gaming Commission may issue a

temporary license to any person or entity applying for a license to work in or do business with a

licensed gaming establishment which shall be valid pending the completion of a background

investigation of the applicant. In no event shall such temporary license be valid for longer than

180 days.

Section 4.08 Parameters ofLicenses Violation of any material provision of this Code or any

of the Gaming Offices regulations by a licensee, its agent, or employee shall be deemed contrary to

the public health, safety, morals, good order and general welfare of the Viejas Tribe and the

41
inhabitants of the Viejas Reservation, and shall be deemed grounds for refusing to grant or

renew a license, suspension or revocation of a license, or shall constitute grounds for the imposition

of sanctions by the Gaming Office or Commissioner. If the Commission elects to resolve disputes in

a manner other than revocation of a license, such agreement shall be made in writing and supersede

any conflicting provisions of this section, so long as the agreement provides a reasonable avenue for

the Tribe to ensure a licensees compliance with all other aspects of this Gaming Code. Acceptance

of a gaming license or renewal on the part of the licensee shall constitute the licensees agreement to

be bound by all regulations and conditions of the Commission or Gaming Office and by the

provisions of this Code as the same are now, or may hereafter be amended or promulgated, and to

cooperate fully with the Commissioner and Gaming Office. It is the responsibility of the licensee to

keep informed of the contents of such regulations, amendments, provisions, and conditions, and

ignorance thereof will not excuse violations. All licenses shall have not more than a two year

duration and will require renewal thereafter in accordance with procedures set forth by the

Commission.

Section 4.09 Licensing of Vendors The Gaming Office may authorize, require, and issue

such licenses as the Gaming Office by regulation may provide, to any person or entity to engage in

the selling, distributing, or otherwise supplying of gambling equipment or paraphernalia, gaming

services, and any other equipment, supplies, materials, etc. for use in connection with the licensed

Gaming Facility or operation.

Section 4.10 Licensing of Gaming Facility Each Tribal Gaming Facility shall be licensed by

the Tribal Gaming Commission. Prior to the issuance of a facility license the Gaming Commissioner

shall:

42
(a) determine that the facility is constructed in conformance with all applicable

building codes;

(b) ensure that Security and Surveillance systems are in place to adequately provide

for the safety and security of employees and patrons and for the protection of Tribal

assets;

(c) ensure that all employees are properly licensed and that the facility is otherwise

in compliance with all applicable gaining laws and regulations.

Section 4.11 License Fees Licensing fees shall be established by the Commission and

approved by the Tribal Council.

Section 4.12 Gaming Commissioner and Commission Employees The Gaming

Commissioner and employees shall not require licensing unless otherwise provided for by a

Compact. However eligibility for employment will be at least as stringent as that for any licensing

of a primary management official, including liii! background checks.

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CHAPTER V

MANAGEMENTCONTRACTS

Section 5.01 Gaming Commission Approval Required

(a) Any management contractor shall be licensed by the Tribal Gaming Office. Prior to licensing

any management contract entered into by the Tribe for the operation and management of any

class H and/or Class ifi gaming activity must be submitted to the Gaming Commission for approval,

but before approving such contract, the Gaming Commission shall require and obtain the following

information:

(i) the name, address, and other additional pertinent background information on each

person or entity( including all officers and management officials comprising such entity)

having direct financial interest in, or management responsibility for such contract and in the

case of a corporation, those individuals who serve on the board of directors of such

corporation and each of its stockholders who hold ( directly or indirectly) 10 % or more of

its issued and outstanding stock;

(ii) a description of any previous experience that each person listed pursuant to

subsection ( i ) has had with other gaming contracts with Indian tribes or with the gaming

industry generally, including specifically the name and address of any licensing or regulatory

agency with which such person has had a contract relating to gaming.

(iii) Any further or additional information as may be required under a TriballState

Compact entered into between the Tribe and the State;

(iv) Any further or additional information as may be required under existing rules and

44
regulations for management contracts required pursuant to IGRA

(b) Any person listed pursuant to subsection (a) (i) shall be required to respond to such written or

oral questions that the Gaming Commission may propound in accordance with its responsibilities

under this section.

(c) For purposes of this Code, any reference to the management contract described in CFR 25

Section 5.01

(a) shall be considered to include all collateral agreements to such contract that relate to the gaming

activity.

(d) After the Gaming Commission has given its approval of a management contract, the Gaming

Commission shall submit such contract to the National Indian Gaming Commission for its approval.

Any such contract shall be void until the National Indian Gaming Commission has approved it.

Section 5.02 Approval ofManagement Contracts The Gaming Commission may approve

any management contract entered into by the Tribe pursuant to this Chapter only if it determines that

such contract provides at least:

(a) for adequate accounting procedures that are maintained, and for verifiable financial reports that

are prepared for the Council on a monthly basis;

(b) for access to the daily operations of the gaming operation to appropriate Tribal officials who

shall also have a right to verify the daily gross revenues and income made from any such Tribal

gaming activity;

(c) for a minimum guaranteed payment to the Tribe that has preference over the retirement of

development and constructions costs;

(d) for an agreed ceiling for repayment of development construction costs;

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(e) for a contract term not to exceed five years, except that, upon the request of the Tribe, the

gaming Commission may authorize a contract term that exceeds five years but does not exceed

seven years if the Gaming Commission is satisfied that the capital investment required, and the

income projections, for the particular gaming activity require additional time;

(f ) for grounds and mechanisms for terminating such contract, but actual contract termination shall

not require the approval of the National Indian Gaming Commission;

(g) for preference to Tribal members and non-member Indians in hiring of employees for the

gaming establishment.

(h) for all which may be required by the IGRA.

Section 5.03 Percentage ofNet Revenue Fees

(a) A management contract providing for a fee base upon a percentage of the net revenues of a

Tribal gaming activity may be approved by the Gaming Commission if such percentage fee is

reasonable in light of surrounding circumstances. Except as provided in this Section, such fee shall

not exceed 30% of the net revenue;

(b) Upon request of the Council, the Gaming Commission may approve a management contract

providing for a fee upon a percentage of the net revenue of a Tribal gaming activity that exceeds

30% but not more than 40% of the net revenues if the Gaming Commission and Council are satisfied

that the capital investment required, and income projections, for such Tribal gaming activity require

the additional fee.

Section 5.04 Contract Disapproval The Gaming Commission shall not approve any contract

if it determines that:

(a) Any person listed pursuant to CFR 25 Section 5.01 (a) (i):

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(i) is an elected member of the council;

(ii) has been or subsequently is convicted of any felony or gaming offense;

(iii) has knowingly and willfully provided materially important false statements of

information to the Gaming Commission or the Tribal officials who negotiate such

contracts or has refused to respond to questions propounded pursuant to CFR 25

Section 5.01 (b); or

(iv) has been determined to be a person whose prior activities, criminal record if any,

or reputation, habits, and associations pose a threat to the public interest or to the

effective regulation and control of gaming, or create or enhance the dangers of

unsuitable, unfair, or illegal practices, methods, and activities in the conduct of

gaming or the carrying on of the business and financial arrangements incidents

thereto;

(b) The management contractor has, or has attempted to unduly interfere or to influence for

its gain or advantage any decision or process of Tribal government relating to gaming

activity;

(c) The management contractor has deliberately or substantially failed to comply with the

terms of this management contract or the provisions of this Code or any regulations adopted

pursuant to this Code or the Indian Gaming Regulatory Act.

Section 5.05 Modifying or Voiding Contract The Gaming Commission, after notice and

hearing, shall have the authority to require appropriate contract modifications or may void any

contract if it subsequently determines that any of the provisions of this Chapter have been violated.

If the Tribe elects to contractually agree to resolve disputes in a manner other than the revocation of

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a license, such contractual agreement shall supersede any conflicting provisions of this section, so

long as the agreement provides a reasonable avenue for the Tribe to ensure a licensees compliance

with all other aspects of this Gaming Code.

Section 5.06 Conveying Interest in Land No management contract for the operation of a

gaming activity regulated by this Code shall transfer or, in any other manner, convey any interest in

Tribal land or other real property.

Section 5.07 Fee for Investigation Cost The Gaming Commission shall require a potential

Contractor to pay a fee to cover the actual cost of the investigation necessary to reach a

determination required in Section 5.04 of this Chapter.

Section 5.08 Dispute Resolution If any dispute arises as to the proper compliance with or

interpretation of the foregoing Sections of this chapter and appendices, the procedures set forth in

this Section shall apply.

(a) Notice The party asserting noncompliance or seeking an interpretation shall serve

written notice on the other party or parties. The notice shall identify the specific Ordinance

provision alleged to have been violated or in dispute and shall specify in detail the factual basis for

the alleged noncompliance or the proffered interpretation of the Ordinance provision for which

interpretation is sought.

(b) Voluntary Resolution Representatives of the Tribe and the other party or parties shall

meet within ten (10) days following receipt of the notice in an effort to resolve the dispute.

(c) Arbitration Procedures If the dispute is not resolved to the satisfaction of the parties

within thirty (30) days after service of the notice set forth above, the dispute shall be adjudicated

through arbitration in California or such other place as the parties may agree as follows:

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(1) The parties shall attempt to agree upon one arbitrator with expertise in the

subject matter of the dispute.

(2) If the parties are unable to agree on an arbitrator, each party shall select an

arbitrator within ten (10) days of the commencement of the arbitration and the

two (2) arbitrators shall mutually appoint a third arbitrator within twenty (20)

days of their appointment. If the two (2) arbitrators are unable to agree on the

appointment of a third arbitrator within twenty (20) days, the third arbitrator

shall be appointed by the American Arbitration Association.

(3) The arbitrator(s) shall confer with the parties immediately after appointment

to determine an arbitration schedule including whether and to what extent

discovery is required. The arbitrator(s) may set the matter for an evidentiary

hearing or oral argument, or may dispose of the dispute based upon written

submission only.

(d) Arbitration Costs The cost of arbitration shall be borne equally by the parties, with one

half of the expenses charged to the Tribe and one-half charged to the other party or parties. The

parties shall bear their own costs and attorneys fees associated with their participation in the

arbitration unless the decision of the arbitrator shall specify otherwise.

(e) Arbitration Decision The decision of the majority of the arbitrator(s) shall be final,

binding and unappealable. Failure to comply with judgement upon the award entered in such

arbitration proceeding shall be deemed a breach of the Ordinance.

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Chapter Vi

Auditing, Fiscal Oversight, and Internal Controls

Section 6.01 Minimum Proceduresfor Control ofInternal Fiscal Affairs The Gaming

Commission shall promulgate regulations for internal controls and fiscal audits of all gaming

operations. At a minimum, those regulations shall:

(a) Prescribe minimum procedures for safeguarding the gaming operations assets and

revenues, including recording of cash and evidences of indebtedness and mandatory count

procedures. Such procedures shall establish a control environment, accounting system, and

control procedures that safegaurd the assets of the organization, assures that operating

transactions are properly recorded, and encourage adherence to prescribed policies;

(b) Prescribe minimum reporting requirements to the Gaming Commission;

(c) Provide for the adoption and use of internal audits by Commission auditors and

Certified Public Accountants licensed to practice accounting in the State of California.

(d) Ensure that a uniform code of accounts and accounting classifications are formulated to

assure consistency, comparability and effective disclosure of financial information. Such

code shall require that records be retained that reflect statistical drop (amount of cash

wagered by patrons), statistical win ( amount of cash won by the gaming operation) and the

percentage of statistical win to statistical drop, or provide similar information, for each type

of game or each gaming device.

(e) Prescribe the intervals at which such information shall be ftirnished;

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(f) Provide for the maintenance of documentation (i.e., checklists, transaction forms,

programs, reports, etc) to evidence all internal work performed as it relates to the

requirements of this section; and

(g) Provide that all financial statements and documentation referred to in section (t) be

maintained for minimum of five (5) years.

Section 6.02 Gaming Commission Oversight ofInternal Fiscal Affairs The Gaming

Commission shall, by regulation ensure the conduct of audits of the financial statements of all

gaming operations at least annually. Such audits must:

(a) be made by outside independent Certified Public Accountants holding a permit issued

by the State of California to practice public accounting, such accountants shall be selected by and

contracted with the Gaming Commission;

(b) include an opinion that the financial statement fairly and accurately present the financial

condition of the gaming operation in accordance with generally accepted accounting principals

(GAAP) and in accordance with the Governmental standards of accounting and the gaming auditing

standards established by 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 regulations promulgated by the Gaming Commission; and

(d) provide for preliminary review of the internal control structure upon adoption of the

policies and procedures by the entity, provide an opinion regarding the adequacy of controls, to

disclose any deviation from prescribed rules and regulations, and report such findings to the Gaming

Commission and management.

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Section 6.03 Gaming Commissions Right to Conduct Audit The Gaming Commission shall

be able to retain its own staff auditors and accountants, or contract an accountant(s), to conduct its

own audits of any gaming operation.

Section 6.04 Prohibition Against Embezzlement Any delay, maneuver or action of any kind

which in the opinion of the Commissioner is effectuated by any licensee to unlawfully divert

gaming or other proceeds properly belonging to the Tribe shall constitute grounds for taking

sanctions against that licensee. If the Gaming Commission finds an unlawful diversion was

conducted or attempted, it shall sanction the licensee. Sanctions may include fining, revoking,

suspending, limiting or refusing to renew the license, or prosecution.

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CHAPTER VII

A UTHOR!Z4 TION OF GAMING

Section 7.01 Prohibition Against Gaming. No person licensed by the Gaming Commission

shall engage, conduct or condone any game unless such game is approved by the Gaming

Commission and regulations for rules governing such game have been duly promulgated by the

Gaming Commission and approved by Gaming Review Board.

Section 7.02 Grace Period. The prohibition contained in Section 7.01 shall not apply to those

games already being played as of the date of enactment of this Code, provided however, that the

licensee conform to the rules promulgated hereunder within five (5) days of such promulgation.

Section 7.03 Authorization of Gaming. The Gaming Commission may authorize the playing

of any Class H game not prohibited by the laws of the State of California. The Gaming Commission

shall promulgate regulations for rules governing all authorized games, including regulations

governing the equipment (chips, dice, cards, tiles, devices, etc. ) used in such game. Any provision

in the Tribes Compact with the State of California providing for testing, notice to, and comment

from the State, shall be complied with before any game is authorized by the Gaming Commission.

When there is reasonable cause to question the classification of a game (i.e. Class II or Class Ill)

the Tribal Gaming Commission shall authorize such games to be conducted as Class II, unless or

until the National Indian Gaming Commission rules otherwise or until a court of competent

jurisdiction has ruled otherwise.

Section 7.04 Approval of GamingEguipment The Gaming Commission shall have the

discretion to review and approve all gaming equipment and other devices used in the gaming

operation as to quality, design, integrity, fairness, honesty, and suitability.

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(a) The Gaming Commission may require a prototype or sample of any model of gaming

equipment or other device used in the gaming operation to be placed in the custody of the

Commissioner and retained as a control for comparison purposes.

(b ) The Gaming Commission may contract with any outside independent Gaming Test

Laboratory or other professional expertise it deems necessary or appropriate to ensure the

integrity of gaming devices, equipment, supplies, etc.

(c) Any evidence that gaming equipment or other devices used in the gaming

operation have been tampered with or altered in any way, which would affect the integrity,

fairness, honesty or suitability of the equipment or device shall be immediately reported to

the Gaming Commission.

Section 7.05 Posting ofRules The Rules of each authorized game offered at any duly

licensed establishment shall be posted in a conspicuous location and shall be clearly legible.

Section 7.06 Gaming RelatedActivitv of the Tribe The Tribal Gaming Commission shall

have full jurisdiction for regulatory compliance and enforcement of any other gaming related activity

that the Tribe may elect to conduct. The Gaming Commission shall promulgate such regulations

as it deems necessary to ensure the integrity of such activity and to ensure compliance with all

applicable Federal laws and regulations. Gaming Commission approval with regard to compliance

with applicable gaming laws and regulations, shall be required for any contracts related to any such

gaming related activities. For the purposes of this section, such gaming related activities shall

include but not be limited to:

(i) manufacture, development, assembly, sales, or distribution of any gaming machines,

devices, equipment, software, or components thereof

(ii) joint ventures with other tribes, entities, persons, etc., related to gaming activity;

54
(iii) management or service contracts with any other Tribes, entities, persons, etc., related

to gaming activities.

(iv) any financial loans, grants or other relationship with any Tribe, entity, person etc.,

related to gaming activity.

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Chapter VIII

Exclusion or Ejection ofIndividuals

Section 8.01 List of Undesirables. The Gaming Commission may, by regulation, provide for

the establishment of a list of persons who are to be excluded or ejected from any duly licensed

gaming operation. The list may include any person whose presence in the gaming establishment is

determined by the Gaming Commission to pose a threat to the interests of the Tribe, the gaming

public, or to licensed gaming.

Section 8.02 Prohibition Against Listed Individuals It shall be violation of this Code for any

licensed employee to knowingly fail to exclude or eject from the gaming establishment any person(s)

placed on the list referred to in Section 8.01. It shall be a violation of this Code for any person

whose name appears on the list referred to in Section 8.01 to enter into or engage in any game at a

duly licensed gaming establishment, and any such presence shall be considered trespassing.

Section 8.03 Prohibition Against Certain Individuals It shall be a violation of this Code for

any licensee who knowingly fails to exclude or eject from the gaming establishment any individual

who is under the age of eighteen years and engaging in gaming activity.

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Chapter I

Unlawful Acts

Section 9.01 his Unlawful for any Person

(a) to alter or misrepresent the outcome of a game or other event on which wagers have

been made after the outcome is determined but before it is revealed to the players;

(b) to place, increase or decrease a bet or to determine the course of play after acquiring

knowledge, not available to all players, of the outcome of the game or knowledge of any

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

wager;

(c) to aid anyone in acquiring such knowledge as set forth in subparagraph (b), for the

purpose of increasing or decreasing a bet or wager, or for the purpose of detennining the

course of play contingent upon that event or outcome;

(d) to claim, collect or take, or attempt to claim, collect or take, money or anything of value

in or from a gambling game with intent to defraud, without having made a wager contingent

thereon, or to claim, collect or take an amount greater than the amount won;

(e) knowingly to entice or induce another to go to any place where a gambling game is

being conducted or operated in violation of the provisions of this chapter, with the intent that

the other person play or participate in that gambling game;

(f) to place or increase a bet or wager after acquiring knowledge of the outcome of the

game or event which is the subject of the bet or wager, including past posting and pressing

bets;

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(g) to reduce the amount wagered or cancel the bet after acquiring knowledge of the

outcome of the game or other event which is the subject of the bet or wager, including

pinching bets; and

(h) to manipulate with intent to cheat, any component of a gaming device in a manner

contrary to the designed and normal operational purpose for the component, with knowledge

or hope that the manipulation affects the outcome of the game or prize or with knowledge of

any event that affects the outcome of the game or prize;

(i) to solicit funds or anything of value from any patron or employee;

(j) to unlawfully take or attempt to take any chips, coin(s), token(s) machine credits

currency, or anything of value from any patron or employee on the premise;

(k) to refuse to leave the gaming establishment when appropriately advised to do so by a

member of management, security, or the Tribal Gaming Commission;

(I) to damage or attempt to damage either intentionally or negligently any property, gaming

device or equipment, or any article belonging to the Tribe, patron, employee, or Tribal

corporation;

(m) under the 18 years of age to make any wager either directly or indirectly in any

Class II or Class 111 gaming activity;

(o) to either intentionally or negligently cause injury or harm to any patron, or employee or

threaten to do so;

(p) to possess any chips, tokens, cards, device, paraphernalia, ect., that could reasonably be

concluded as useful in cheating, defrauding, manipulating, or altering any game, gaming

device equipment, machine, computer, or supplies;

(q) for any employee to aid, conspire, collude or assist in any way any other employee or

58
patron to win or have any unfair advantage to win or otherwise acquire anything of value

unfairly.

Section 9.02 Prohibition Against Electronic Aids Except as specifically permitted by the

Commissioner, no person shall possess with the intent to use, or actually use, at any table game,

either by himself or in concert with others any calculator, computer or other electronic, electrical, or

electromechanical device to assist in projecting an outcome at any table game, to keep track of or

analyze the cards having been dealt, to change the probabilities of any table game or the playing

strategies to be utilized.

Section 9.03 Violations and Sanctions Any patron or employee who commits any violation

of this Chapter shall be deemed to have committed a violation of this code. If the Commission

should have reasonable cause to believe any such violation was committed, it may impose licensing

sanctions, fines, prosecution and exclusion.

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CHAPTER X

NATIONAL INDIAJ~T GAMING COMMISSION

AJVD TRIBAL -

STATE COMPACTS

Section 10.01 National Indian Gaming Commission Regulalions. Notwithstanding any

provision in this Gaming Code or any regulations promulgated thereunder, the Tribal Gaming

Commission is fully empowered to comply with all regulations promulgated by the National Indian

Gaming Commission, (NTGC), including but not limited to, all requirements to report ordinances,

contracts, license applications, background checks, and other information to the National Indian

Gaming Commission. The Viejas Tribal Gaming Commissioner shall also serve as the designated

agent as required under the National Indian Gaming Commission regulations.

Section 10.02 National Indian Gaming Commission Assessment Notwithstanding any

provisions in the Gaming Code or any regulation promulgated thereunder, the Tribal Gaming

Commission is fully empowered to ensure compliance with all assessments authorized by the

National Indian Gaming Commission. Such assessments shall be directed to be paid by the Gaming

operation.

Section 10.03 Compact with the State of California Notwithstanding any provision in this

Gaming Code or any regulation promulgated thereunder, the Gaming Commission is fully

empowered to comply with the provisions of any compact between the Tribe and the State of

California.

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CHAPTER XI

MISCELLANEOUS

Section 11.01 Security Each licensed gaming establishment must provide for reasonable

security. All security personnel must be licensed by the Gaming Commission.

Section 11.02 Surveillance The Gaming facility shall provide all surveillance equipment,

supplies, and space as deemed necessary by the Tribal Gaming Commission for the reasonable

protection of patrons, employees, and Tribal assets. All surveillance systems, equipment, rooms,

ect., shall be under the control and jurisdiction of the Tribal Gaming Commission. All surveillance

staff shall be employees of and report only to the Tribal Gaming Commission.

Section 11.03 Maintenance of Code and Regulations. Each licensee shall obtain, maintain

and keep current a copy of the Gaming Code and regulations promulgated thereunder, which shall be

located at the premises used for the conduct of any licensed gaming activity. The Code and

regulations shall be produced by the licensee and shown to any authorized person upon demand.

That a licensee may not have a current copy of the Code, or each of the regulations of the Gaming

Commission, shall not in way diminish the licensees obligation to abide by the Code and

regulations.

Section 11.04 Compliance with Other Laws The construction, maintenance and operation of

any facility in which gaming and related activities are to take place shall be in a manner which

adequately protects the environment and the public health and safety and shall comply with any

otherwise applicable Tribal and Federal laws relating to environmental protection and public health

and safety.

61
Section 11.05 Amendments All provisions of this Gaming code are subject to amendment by

the Viejas Tribal Council. All regulations promulgated by the Gaming Commission are subject to

proper revision, repeal or amendment by the Gaming Commission and Review Board.

Section 11.06 Severability If any provision of this Code, or its application to any purpose or

circumstance, is held invalid by a court of competent jurisdiction, the full remainder of the provision,

or the application of the provision through another person or circumstances, shall not be affected. If

any provision of this Code is determined to be in conflict with any Federal or State Gaming laws or

regulations, or future Tribal State Compact, the applicable Federal or State laws and regulations or

compact provisions shall prevail as applicable to that conflicting provision of this Code only. The

remainder of this Code shall remain valid and in effect.

Section 11.07 DesignatedAgent The designated agent for notice of any official

determination, order, or notice of violation by the NIGC as required by 25 C.F.R. §519.1 is the

Commissioner of the Tribal Gaming Commission;

Section 11.08 Law Enforcement The designated law enforcement agency as required by

IGRA is the San Diego County Sheriff Department. The procedures set forth in Section 2.09 above

describe the steps taken for a complete investigation. Criminal history checks shall be processed

both on a State and Federal level.

Section 11.09 Effective Date and Supercedure This Tribal Gaming Ordinance shall take

effect when signed by the Tribal Chairman and upon receipt of approval of the Chairman of the

National Indian Gaming Commission. Upon receipt of approval of the Chairman of the NIGC, this

Tribal Gaming Ordinance shall supercede and replace any and all other Tribal Gaming Codes,

Ordinances, laws or resolutions previously adopted or enacted by the Council or Chairman of

the Viej as Band of Kumeyaay Indians.

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END OF THE TRIBAL GAMING CODE OF THE VIEJAS BAND OF KUMEYAAY INDIANS

DULY ADPOTED THIS 31 DAY OF JULY 199j

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