MAR 1 9 2OOi 

Mr. Bradley G. Bledsoe Domes 

Dorsey & Whitney, LLP 

650 Town Center Drive 

Suite 1850 

Costa Mesa, CA 92626- 1925 

Re: Cuyapaipe Band of Mission Indians, Approval of Tribal Ordinance No: 00-25 

Dear Mr. Domes: 

This letter is in response to your request, on behalf of the Cuyapaipe Band of Mission Indians 

('Band"), for the National Indian Gaming Commission ('NIGC") to review and approve the 

Band's Gaming Ordinance No: 00-25 adopted by the Band on September 21, 2000, and received 

by our office on January 22,2001. This letter constitutes approval of your submission under the 

Indian Gaming Regulatory Act ("IGRA"). It is important to note that the gaming ordinance is 

approved for gaming only on Indian lands, as defined in the IGRA, over which the Band has 

jurisdiction. 

With approval of the Band's Gaming Ordinance, the Band's Tribal Gaming Commission is 

required to conduct background investigations on its key employees and primary management 

officials. The NIGC expects to receive a completed application for each key employee iind 

primary management official, pursuant to 25 C.F.R. 556.5(a), and an investigative report on 

each background investigation, pursuant to 25 C.F.R. § 556.5@), before the Tribal Gaming 

Commission issues a license to a key employee or primary management official. 

Thank you for submitting the Gaming Ordinance for review and approval. The NIGC staff and I 

look forward to working with you and the Band on future gaming issues. 

Montie R. Deer 

Chairman 

cc: Tony J. Pinto, Chairman 

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NICC.GOV 

REGIONAL OFFICES Portland. OR; Sacramento. CA; Phoenix. AZ; St. Paul. MN; Tulsa. OK 
ORDINANCE OF THE CUYAPAIPE BAND OF MISSION INDIANS 

CUYAPAIPE INDIAN RESERVATION 

ALPINE, CALIFORNIA 

ORDINANCE NO: 00-25 , . :- 

,- - '!- 

DATE APPROVED: September 21,2000 

SUBJECT: APPROVAL OF GAMING ORDINANCE, TITLE 400 OF THE 

EWIIAAPAAYP TRIBAL CODE 

WHEREAS: The Cuyapaipe Band of Mission Indians, also known as the Ewiiaapaayp 

Community of Kumeyaay Indians, and the Cuyapaipe Community of Diegueno 

Mission Indians of the Cuyapaipe Reservation, California (hereinafter "Tribe") is 

a federally recognized Indian tribe; 

WHEREAS: The Cuyapaipe Reservation was established on February 10, 1891, following an 

Executive Order on January 12, 1 891 and Act of the U.S. Congress (26 Stat. 71 2- 

714 c.65); 

WHEREAS: The Constitution of the Tribe provides that the governing body of the Tribe shall 

be the General Council; 

WHEREAS: The Constitution of the Tribe provides that the General Council has the power to: 

(i) exercise the powers of self-government and self-determination; (ii) to exercise 

jurisdiction extending to lands now and hereafter comprising the Cuyapaipe 

Indian Reservation, California, (iii) to manage, lease, contract or otherwise deal 

with Tribal assets and community resources of the Tribe; (iv) to propose 

amendments to the Tribe's Constitution; and (v) to exercise other powers as 

provided in the Tribe's Constitution; 

WHEREAS: The Cuyapaipe Band of Mission Indians did on September 28, 1973, adopt a 

Constitution and Bylaws which was approved by the Commissioner of Indian 

Affairs, ratified by Act of Congress, and, by Tribal law, the sovereign authority of 

the Tribe over the matter described herein is delegated to the Cuyapaipe Band 

Tribal Council, acting by law; 

WHEREAS: Article VI of the Constitution authorizes the Cuyapaipe Band Tribal Council to 

promulgate and enforce ordinances and to codifjr the Tribe's laws; 

WHEREAS: The Cuyapaipe Band of Mission Indians and the state of ~alifornia entered into a 

tribal-state gaming compact pursuant to the Indian Gaming Regulatory Act (25 

U.S.C. 5 2701 er seq.) in September, 1999; 
WHEREAS: The voters of California approved Proposition 1 A on March 7,2000 thereby 

amending the California Constitution to authorize the scope of gaming contained 

in the tribal-state gaming compact; 

WHEREAS: The Tribe desires to pursue the opportunities for economic development made 

available to it following the passage of the Indian Gaming Regulatory Act of 

1988,25 U.S.C. 5 2701 et. seq. ("the IGRA"), to engage in gaming on Tribal trust 

lands, which shall include any lawful commercial activity allowed in or at the 

Tribal gaming facility, and to finance the economic development of the Tribe and 

enhance the well-being of its members; and 

WHEREAS: The General Council has determined that, in order to pursue economic 

development pursuant to IGRA, it is necessary to establish and adopt, by this 

Resolution and Ordinance, the Tribal Gaming Ordinance. 

NOW THEREFORE BE IT RESOLVED THAT, 

A. The Tribal Gaming Ordinance is hereby approved. The Tribal Gaming 

Ordinance shall be governed by and interpreted in accordance with the laws of the 

Tribe. 

B. The General Council proposes that the Tribe's Tribal Code be amended by 

the adoption of the Tribal Gaming Ordinance in the form attached hereto as 

Exhibit A. 

BE IT ORDAINED BY THE GENERAL COUNCIL: 

The General Council hereby adopts and ordains the following as the law of the 

Tribe: 

1. As a matter of tribal law, the Tribal Gaming Ordinance is and shall be, and 

is hereby decreed and determined to be, valid, binding and enforceable in 

accordance with its terms and provisions. 

2. The terms and conditions of this Ordinance shall control and take 

precedence over any contrary resolutions, ordinances or any other applicable law, 

ordinance, resolution or measure of the Tribe or adopted on behalf of the Tribe, 

and/or by any agent, corporation or instrumentality of the Tribe. 

NOW, THEREFORE, BE IT RESOLVED THAT: the enactment of this Ordinance promotes 

the public health, safety, and welfare and is in the public interest. 

BE IT FURTHER RESOLVED THAT: the General Council hereby adopts the following 

Ordinance in order to comply with the provisions of the Indian Gaming Regulatory Act. 

NOW, THEREFORE, BE IT RESOLVED: The following Tribal Gaming Ordinance is hereby 

adopted as Title 400 of the Ewiiaapaayp Tribal Code; 
BE IT FURTHER RESOLVED: That this Code shall be effective immediately upon adoption 

by the Tribal Council and shall have retroactive effect to the effective date of the Agreements. 

CERTIFICATION 

I, the undersigned, as Chairman of the Cuyapaipe Band of Mission Indians, do hereby certify that 

the General Council is composed of seven (7) members of which at least four (4) were present, 

constituting a quorum at a Regular Meeting thereof; duly and regularly called, noticed, convened 

and held this 21" day of September; and that this Ordinance was duly adopted by a vote of 7 in 

favor, 0 opposed, and 0 abstaining, and 0 absent, and that said Ordinance has not been rescinded, 

amended or modified in any way. 

Dated this 21' day of September, 2000. 

cuyapaipe band-of ~ission Indians 

ATTEST: 

Cuyapaipe Band of Mission Indians 
Title 400 - Tribal Gaming Code 

TITLE 400 - TRIBAL GAMING CODE 

DEFINITIONS 

Definitions. Unless a different meaning is set forth below, the terms used in this Code shall 

have the same meaning as dehed in the Indian Gaming Regulatory Act, Public Law 100-497, 

102 Stat. 2467 (Oct. 17, 1988), 25 U.S.C. 2701, et seq. ("IGRA"). 

"Ap~licant" means any person, partnership, corporation, joint venture or other entity applying 

for, or requesting renewal of, any License described in or required by this Code. 

"Application" means a request for the issuance or renewal of a License described in or required 

by this Code. 

"Band" - or "Triben - means, and "Tribal" shall refer to, the Cuyapaipe Community of Diegueno 

Mission Indians of the Cuyapaipe Reservation, California 

UCouncil" or "Tribal Council* means the Tribal Council of the Cuyapaipe Community of 

Diegueno Mission Indians of the Cuyapaipe Reservation, California. 

"Chairman" means the Chairman of the National Indian Gaming Commission. 

"Class I1 Gaming" means Class I1 gaming as defmed at 25 U.S.C. §2703(7)(A) and (B). 

"Class III Gaming" means Class 111 gaming as defined in 25 U.S.C. §2703(8). 

"Code" - means this Tribal Gaming Code of the Cuyapaipe Community of Diegueno Mission 

Indians of the Cuyapaipe Reservation, California, as amended fiom time to time, and any Rules 

promulgated hereunder. 

"Compact" means the "Tribal State Compact between the Cuyapaipe Community of Diegueno 

Mission Indians of the Cuyapaipe Reservation, C and the State of California Providing for the 

Conduct of Tribal Class III Gaming by the Cuyapaipe Community of Diegueno Mission Indians 

of the Cuyapaipe Reservation, California" executed by the Governor of California and the 

Chairman of the Tribe and pursuant to the IGRA, including all renewals, amendments, 

appendices, exhibits and other attachments thereto. 

"Commission" means the Cuyapaipe Tribal Gaming Commission. - 

"Commissionern means an individual member of the Cuyapaipe Tribal Gaming Commission. 

"Fiscal Year" means the period beginning at 12:01 am on October 1 of each year and ending at 

midnight, September 30 of the following year. 

"Gaming" means any Class I1 Gaming or Class I11 Gaming activity, either individually or 

collectively, whether authorized or unauthorized. 

Title 400 I 
Title 400 - Tribal Gaming Code 

"Gaming Devicen means any equipment or mechanical, electromechanical or electronic 

contrivance, component or machine, used remotely or directly in connection with any Gaming 

which affects the result of a wager by determining or predicting the outcome of such game or the 

odds of winning or losing such game. The term shall be broadly construed to promote the 

purposes of this Code and shall also include any devices, machines, components or contrivances 

which do or are capable of effecting, in any way, the playing of any Gaming. 

 gamin^ Device Suppliern means any Person who manufactures, sells, leases, distributes, 

supplies or makes modifications to, any Gaming Device of the Tribe and all Persons holding any 

direct or indirect financial interest in such Gaming Device Supplier. 

"Gaming Disputes Courtn means the Gaming Disputes Court of the Cuyapaipe Community of 

Diegueno Mission Indians of the Cuyapaipe Reservation, California to be established pursuant to 

the Cuyapaipe Tribal ~ohstitution. 

"Gaming: Establishmentw means any premises where Gaming is operated or conducted on the 

Tribe's Reservation, and includes alI buildings, improvements, appurtenances, equipment and 

facilities used or maintained in connection with such gaming. 

"Gaming Monitor" means the entity or individual hired by and responsible to the Commission 

who is charged with conducting background investigations, monitoring and inspecting Gaming 

Operations and to whom certain related duties may be delegated pursuant to this Code. 

"Gaming Operation" means any business enterprise owned by the Tribe, the revenues of 

which are primarily derived fiom Gaming or fiom any Gaming Establishment. 

"Gross Revenuen means the total value due to any operator of any Gaming for any chance taken 

or game played, for any table fees for card playing, on account of fees charged for participation 

in any Gaming or for admittance to any Gaming Establishment (or any combination of the 

foregoing) less the total of all cash paid out as losses to patrons. Gross Revenue shall be stated 

in U.S. currency and shall be calculated before any deductions or allowances for prizes, pay out 

of winnings, costs of operation, taxes, labor expenses, equipment, materials used or any other 

expenses. In the absence of adequate records, Gross Revenue shall be the maximum amount that 

would be due to a Gaming operator if the particular Gaming conducted by said operator was 

conducted at maximum capacity. Gross Revenue shall not include: 

(i)Counterfeit money or tokens; 

(ii)Coins of other countries which are received in slot machines or Gaming Devices; or 

(iii)Cash taken in fraudulent acts perpetrated against a Licensee for which the Licensee is not 

reimbursed. 

"Key Employee" means: 

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Title 400 - Tribal Gaming Code 

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

(1)bingo caller, 

(2)counting room supervisor, 

(3)chief of security, 

(4)custodian of gaming supplies or cash, 

(5)floor manager, 

(6)pit boss, 

(7)dealer, 

(8)croupier, 

(9)approver of credit, or 

(1 0)custodian of gambling terminals or other devices operated by the management of 

any Gaming Operation, including persons with access to cash and accounting records for such 

devices; 

(b)if not otherwise included, any other person whose total cash compensation from 

employment in any Gaming Operation exceeds $50,000 per year; 

(c)if not otherwise included, the four most highly compensated persons in any Gaming 

Operation; or 

(d)any other employee of any Gaming Operation that the Commission designates by its 

Rules as a Key Employee. 

uLicensen means any authorization granted by the Commission, pursuant to this Code, to any 

Person which is required for such Person to perform certain acts or engage in certain activities. 

All Licenses shall be held at the will of the Commission and the issuance of a License shall not 

create a property or liberty interest in such License for the benefit of the Licensee. 

"Licenseen means any Person who has been issued a valid and current License pursuant to the 

provisions of this Code. 

"Management Contractn means any contract, agreement or other document, including all 

collateral agreements, establishing a relationship between the Tribal government and any 

Person, pursuant to which such Person has managerial responsibilities in or for any Gaming 

Operation. 

"Management Entityn or "Controlling Shareholder" means: 

. . - .- 

(a)any Person having a direct or indirect financial interest in any Management contract, 

including those Persons who, either alone or in combination with,a,spouse; parent; child,or ..,.... ,.. . . . .., ... 

sibling, own five (5) percent or more of any Management Entity's outstanding capital stock; 

(b)when a trust is a party to a Management Contract, any beneficiary or trustee of such trust; 

(c)when a partnership is a party to a Management Contract, any partner, general or limited, 

Title 400 3 
Title 400 - Tribal Gaming Code 

in such partnership; 

(d)when a corporation is a party to a Management Contract, any Person who is an officer or 

director of such corporation, or who holds five (5) percent or more of the issued and outstanding 

capital stock of such corporation either alone or in combination with a spouse, parent, child or 

sibling; or 

(e)with respect to any non-natural Person with an interest in a trust, partnership or 

corporation that has an interest in a Management Contract, all beneficiaries, trustees, partners, or 

directors of, and stockholders of, such non-natural Person holding at least five (5) percent of the 

outstanding stock either alone or in combination with a spouse, parent, child or sibling. 

"Management Fee" means any monies paid fiom Gaming revenue to any Person pursuant to an 

NIGC approved contract to operate a Gaming Establishment. Such term shall not include 

monies paid for the operating expenses of such Gaming Establishment. 

"Net Revenue" means Gross Revenue of any Gaming Operation minus amounts paid for, or 

paid out as prizes, winnings, and related operating expenses, excluding Management Fees. 

"NIGCn means the National Indian Gaming Commission. 

"Operating Expense" means any expense incurred in the operation of Gaming that is 

specifically designated as an Operating Expense in any Management Contract or which by 

operation of Generally Accepted Accounting Principles, consistently applied, is so treated 

"Patronn means any Person who participates in Gaming, or who is physically present on 

premises wherein or whereon Gaming is conducted. 

"Personn means any association, partnership, corporation, firm, trust or other form of business 

association or entity, as well as a natural person. 

"Primaw Manapement OfTicialsn means: 

(a)the Person(s) having management responsibility over all or any part of any Gaming 

Operation; 

(b)any Person who has authority; 

(i)to hire and fire employees of a Gaming Operation, 

(ii)to establish working policy for a Gaming Operation; 

(c)the chief financial officer or other Person who has financial management responsibility 

for any Gaming Operation; 

(d)any Person who is considered a Controlling Shareholder; or 

Title 400 
Title 400 - Tribal Gaming Code 

(e)any Person the Commission designated by Commission Rules as a Primary Management 

Official. 

"Reservation" means any lands, title to which is either held in trust by the United States for the 

benefit of the Cuyapaipe Community of Diegueno Mission Indians of the Cuyapaipe 

Reservation, California, or held by the Cuyapaipe Community of Diegueno Mission Indians of 

the Cuyapaipe Reservation, California subject to restriction against alienation by the United 

States and over which the Cuyapaipe Community of Diegueno Mission Indians of the Cuyapaipe 

Reservation, California exercise governmental authority whether or not the lands have been 

formally declared to be a reservation. 

"Rules" - means any Rules governing the conduct of games or the control of internal fiscal affairs 

of Gaming Operations as may be promulgated by the Commission established pursuant to this 

Code. 

"Secretaryn means the Secretary of the United States Department of the Interior. 

CHAPTER I 

PURPOSE, PUBLIC POLICY, 

APPLICABILITY AND AUTHORIZATIONS 

Section 1.01Shor-t Title. This Code shall be known and may be cited as the "Cuyapaipe Gaming 

Code." 

Section 1.02Pur~ose. The Tribal Council of the Cuyapaipe Community of Diegueno Mission 

Indians of the Cuyapaipe Reservation, California, pursuant to authority granted in the Tribe's 

Constitution, enacts this Code in order to regulate aU forms of Gaming on the Tribe's 

Reservation 

Section 1.03Public Policy. 

(a) All Gaming which is conducted within the Tribe's Reservation and which 

is otherwise authorized by law shall be regulated and licensed pursuant to the provisions of this 

Code. 

(b) The Tribal Council hereby finds, and declares it to be the public policy of 

the Tribe, that: . . . .. 

(1)Regulation of licensed Gaming is important in order that licerised Gaming ' ' ' ' ' 

is conducted honestly and that Gaming is fiee fiom criminal and corruptive elements. 

(2)Public confidence and trust can only be maintained by strict regulation of 

all Persons, locations, practices, associations and activities related to the operation of licensed 

Gaming Establishments and the manufacture or distribution of Gaming Devices. 

Title 400 5 
Title 400 - Tribal Gaming Code 

(3)All Management Entities or Controlling Shareholders, Primary 

Management Oficials, Key Employees, Gaming Establishments and Gaming Device Suppliers 

must therefore be licensed and controlled to protect the public health, safety, morals, good order 

and general welfare of the Tribe. 

Section 1.04Class I1 Gaming Authorized. Class 11 Gaming is hereby authorized to be 

conducted on lands within the Tribe's Reservation; provided, however, that such Class I1 

Gaming shall be conducted only in accordance with the provisions of this Code, the Rules, the 

Compact, and IGRA. 

Section 1.OSClass I11 Gaming Authorized. Class I11 Gaming is hereby authorized on lands 

within the Tribe's Reservation; provided, however, that Class In Gaming shall be conducted 

only in accordance with the provisions of this Code, the Rules, the Compact, and IGRA. 

Section 1.06Location of Gaming. The Commission shall ensure that (i) such Gaming as it 

authorizes and licenses pursuant to this Code is conducted on lands within the Tribe's 

Reservation, and (ii) such gaming is not otherwise specifically prohibited by Federal law. 

Section 1.070wnershi~ of Gaming. The Tribe shall have the sole proprietary interest in and 

responsibility for the conduct of any Gaming Operation authorized by this Code. The Tribe shall 

receive, at a minimum, not less than sixty (60) percent of the Net Revenues fiom any Gaming 

Operation. 

Section 1.08Use of Gaming Revenue. 

(a) Net Revenues from any form of Gaming authorized under this Code shall be used only 

for the following purposes: to hd Tribal government operations and programs; to provide for 

the general welfare of the Tribe and its members; to promote Tribal economic development; to 

make donations to charitable organizations; or to help find operations of local government 

agencies. 

(b) If the Tribe elects to make per capita payments to Tribal members, it shall authorize such 

payments only pursuant to a plan submitted to and approved by the Secretary pursuant to 25 

U.S.C. $27 1 O(b)(3). 

Section 1.09Unauthorized Gaming. Any person who commits any act of unauthorized Gaming 

on the Reservation or any other Tribal land shall be guilty of a crime and shall be prosecuted in 

Tribal Court or any other court of competent jurisdiction. It is hereby declared that authorized . 

Class I1 Gaming or Class 111 Gaming conducted on the Reservation, or on any other Tribal land 

that fully complies with the provisions of this Code, the Rules, the Compact and IGRA shall not 

be subject to any criminal penalties. 

Section 1.10 Conduct of Games. All Gaming shall be conducted by persons duly Licensed by 

the Commission. No Person licensed by the Commission shall engage in, conduct or condone 

any Gaming that is not conducted in accordance with this Code and such Rules governing the 

Title 400 6 
Title 400 - Tribal Gaming Code 

conduct of games as may be promulgated by the Commission under this Code. 

Section 1.11Applicabilitv of Code. Unless specifically indicated otherwise, all provisions of 

this Code shall apply to both Class I1 Gaming and Class I11 Gaming including, but not limited to, 

all licensing and background investigation procedures. 

CHAPTER I1 

ESTABLISHMENT, 

ADMINISTRATION AND 

POWERS OF COMMISSION 

Section 2.01Establishment of Commission. The Cuyapaipe Tribal Gaming Commission is 

hereby established. The Commission shall consist of three (3) members appointed by a majority 

vote of the Council. A Commissioner shall serve for six (6) years and may be removed from 

office prior to the end of the Commissioner's term only for cause and by a unanimous vote of the 

Council after a public hearing, if such hearing is requested by the Commissioner who is subject 

to removal. In order to establish an annually staggered Commission appointment schedule, the 

first Commission shall be appointed by the Council as follows: one (1) Commissioner shall serve 

a two (2) year term; one (1) Commissioner shall serve a four (4) year term; and one (1) 

Commissioner shall serve a six (6) year term, for their initial terms only. Thereafter, all 

successive terms of appointment for a Commissioner shall run for six (6) years. Vacancies on 

the Commission shall be filled within thirty (30) days by a majority vote of the Council. The 

Commission shall select annually, i?om its membership, a Commission Chair. 

Section 2.02Licensing of Commissioners. Applicants for the position of Commissioner must 

meet the requirements of Chapters 4 and 5 of this Code and must first obtain a License fiom the 

Council prior to assuming office. 

(a) Failure to Meet License Requirements or License Violations. If the Tribal Chair or 

the Council has reason to believe that a Licensed Commissioner fails at any time to meet the 

License requirements under this Code or that the Commissioner has violated this Code, the 

Rules, the Compact, or the IGRA or any other applicable law, the Tribal Chair or the Council 

shall direct an investigation to be conducted and may notice the Commissioner for a hearing 

before the Council. All investigations and hearings under this Section shall be conducted as 

provided in Chapters 5 and 6 of this Code and a Commissioner shall have all of the rights and 

obligations given to a Licensee or Applicant therein, except that all hearings shall be conducted 

by and before the Council. 

(b) A~peals of Colincil Decision. A Coinmissioner may appeal a decision of the Council to 

the Gaming Disputes Court and the procedures provided in Chapter 7 of this Code shall govern 

the appeal. 

Section 2.03Restrictions on Commissioners. No person shall serve on the Commission if that: 

Title 400 7 
Title 400 - Tribal Gaming Code 

(a) person's other employment or responsibilities conflict or could potentially conflict with 

the duties and responsibilities of a member of the Commission; 

(b) person is an employee of the Gaming Operation or the person's other employment or 

responsibilities create an impression or appearance of impropriety in the hlfillment of the duties 

and responsibilities of a member of the Commission; or 

(c) person is a Tribal Trial Court Judge. 

Section 2.04No Financial Interest in Gaming. No Commissioner shall have any direct or 

indirect financial interest in any Gaming Operation For purposes of this section, "indirect 

financial interest shall not include ownership of any mutual funds which holds stock in a publicly 

traded company, but shall include direct ownership of such stock. No Commissioner may accept 

gratuities or any other thing of value from any Licensee or Applicant. Commissioners may not 

gamble in any Gaming Establishment. 

Section 2.OSCompensation of Commissioners. Commissioners shall be compensated at a rate 

to be established annually by the Council. Commissioners shall be reimbursed for actual 

expenses incurred on Commission business, including necessary travel expenses. 

Section 2.06Commission Meetings. 

V ! (a) Regular Meetin~s. The Commission shall meet at least once a month at the 

Commission's main office or at any other designated meeting place. 

(b) Special Meetin~s. Special meetings shall be convened by the Commission Chair as 

necessary to carry out the official duties of the Commission. Notice of each special meeting 

shall be given by the Commission Chair by telephone or mail to each Commissioner. Notice 

shall be received at least 24 hours in advance of such meeting and shall include the date, time 

and place of the proposed meeting. 

(c) Ememency Meetings. An emergency meeting may be called by the Chair of the 

Commission with less than 24 hours notice; provided, however, that the Chair of the 

Commission shall use best efforts to assure that all Commissioners are notified of such meeting, 

with as much prior notice as possible under the circumstances. 

(d) Meetin~s Open to the Public. All meetings of the Commission shall be open to the 

public; provided, however, that the Commission may, in its discretion, close any portion of any 

meeting to the public when discussing any information which the Commission deems 

confidential pursuant to the provisions of this Code. 

sectio; 2.07Cornmission Offices. The Commission shall maintain an office in a location 

established by the Council. Such office shall serve as the Commission's main business office 

and shall be the site at which Commission records and documents are maintained and stored on a 

permanent basis. No individual except a Commissioner, or other authorized employee or agent 

of the Commission may possess a key to or may enter any Commission office without the 

Title 400 8 
Title 400 - Tribal Gaming Code 

permission of the Commission. No person may access such records except a Commissioner, a 

person duly authorized by the Commission, a Commission, or an attorney for the Commission. 

Nothing herein shall prevent Commission records fiom being maintained or stored at the offices 

of the Gaming Monitor. 

Section 2.08Quorum. A quorum of the Commission shall consist of two (2) Commissioners. 

All decisions shall require the concurring votes of at least two members of the Commission, 

unless particular power is delegated to the Chairman pursuant to this Code or the Rules. 

Section 2.090rganization of Commission. The Commission may organize itself into any 

fbnctional division it deems necessary, and may alter such plan of organization as it deems 

expedient. 

Section 2.10Commission Record-Keeping. The Commission or Gaming Monitor shall 

maintain complete records regarding the following: 

(a) Applications, financial statements, fingerprints, contracts, Licenses, suspension and 

cancellation notices and correspondences of all Applicants, including Management Entities 

or Controlling Shareholders, Key Employees, Primary Management Officials, Gaming 

Establishments and Gaming Device Suppliers; 

(b) Commission Licenses; 

(c) Meeting minutes fiom all Commission meetings; 

(d) Compact compliance; 

(e) Reports relating to customer disputes, complaints or other issues that affect the integrity of 

the Gaming Operation; 

(f) Commission budget and expenditures; 

(g) Council communications and correspondences; 

(h) Gaming Device list pursuant to Section 4.1 1 of this Code; and 

(i) Any other records or documents the Commission or Gaming Monitor deems necessary or 

appropriate. 

Section 2.1 lconfidentiality. The Commission shall preserve as confidential all information 

provided by Applicants and Licensees, provided that the Commission may, in its discretion, 

advise the NIGC, or the authorized representatives of any federally recognized Indian tribe 

regarding the denial revocation or withdrawal of any Application or License, or of any 

disciplinary action taken regarding any License or Licensee. 

Section 2.12Rcports. The Commission shall make monthly reports to the Council within thirty 

Title 400 9 
Title 400 - Tribal Gaming Code 

(30) days after the end of each month. Such Reports shall contain the following information: 

(a) number and types of Licenses issued during the previous 30-day period; 

(b) information regarding License denials, suspensions or revocations; 

(c) report of any events of non-compliance, breach or violations of this Code, the Rules, the 

Compact, IGRA, License or any other law or regulation; provided, however, that these 

reports are not the subject of or relating to a pending investigation of the Commission or the 

Gaming Monitor, or hearing before the Commission; 

(d) a report of Commission expenditures for the prior 30-day period; 

(e) a summary of any Commission travel and training; 

(f) the number of and purpose for any special Commission meeting(s); and 

(g) all other information which the Commission deems relevant in order to keep the Council 

informed and current on all Gaming regulatory matters. 

Nothing in this Section shall authorize or permit the Commission or Gaming Monitor to provide 

the Council with any information pertaining to a pending investigation of the Commission or 

Gaming Monitor, or heating before the Commission. Except as provided in Section 2.1 1, all such 

information shall be kept confidential. The Commission may find that any willful or negligent 

breach of this provision presents due cause for removal of the person fiom oflice or employment. 

The Gaming Disputes Court shall have the authority to impose civil penalties of up to $5,000 

(FIVE THOUSAND DOLLARS) for each violation. Claims of such disclosure may be 

presented by the Monitor, the Commission or the Licensee or Applicant affected, provided that 

any such claim shall be presented to the Gaming Disputes Court within 60 days of the act 

complained of, or within 60 days the disclosure becomes known, whichever is later. 

Section 2.13Budget. The 

not limited to, a budget for 

supplies, stationery, books 

Commission shall establish a budget for its operations, including, but 

- the Gaming Monitor, shall acquire such fbmishings, equipment, 

and other items as it deems necessary or desirable to carry out its 

functions, and incur such other expenses, within the limit of hnds available to it, as it deems 

necessary. Such Commission budget shall be subject to approval by the Council and, once 

approved by the Council, shall be funded Erom the Tribe's general revenues. Within the limits 

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

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

execution of the Commission's duties may require. The Commission budget w, at the 

Council's discretion, be reviewed and modified by the Council every four (4) months. Any .. - - -. . 

surplus remaining in the Commission's budget at the end of any budget year shall be refimded to 

the Council. 

Section 2.14Powers. The Commission shall exercise all powers necessary to effectuate the 

purposes of this Code and all other powers provided for in this Code. In all decisions, the 

Title 400 
Title 400 - Tribal Gaming Code 

Commission shall act to promote and ensure the integrity, security, honesty and fairness of the 

operation and administration of all Gaming. The Commission shall have the power to: 

(a) promulgate Rules pursuant to this Code, for the operation of games and the control of 

internal fiscal affairs of Gaming Operations and the conduct of all business before the 

Commission; 

(b) grant, conditionally grant or deny any application for License; 

(c) limit, cancel, revoke, terminate, condition, modify, suspend, or restrict any License 

(d) make findings of suitability or unsuitability; 

(e) impose civil penalties of up to $5,000 (FIVE THOUSAND DOLLARS) or sanctions for each 

violation of this Code or the Rules upon any Applicant or Licensee; 

(f) require the Licensee or Applicant to make restitution for the actual or consequential damages 

of any violation of this Code or the Rules; 

(g) conduct, or cause to be conducted, background investigations on all Applicants and 

Licensees; 

(h) hold administrative licensing hearings under this Code; 

(i) bring or respond to actions pursuant to this Code or the Rules before the Gaming Disputes 

Court. 

Section 2.15Promulgation of gamin^ Rules. The Commission may promulgate Rules 

governing the conduct of all games authorized by the Compact or IGRA, including Rules 

governing all equipment, (e.g. lottery terminals, computers computer programs, chips, cards, pull 

: tabs, pull tab dispensers), used in such games. The Rules of each authorized game offered shall 

be posted in a conspicuous location in every licensed Gaming Establishment. 

Section 2.16Promulgation of Auditing and Internal Control Rules. The Commission may 

promulgate Rules governing the control of internal fiscal affairs of Gaming Operations as 

provided in Chapter 8 of this Code. 

GAMING MONITOR 

Section 3.01Ap~ointment of gamin^ Monitor. Subject to approval by the Council, the 

Commission shall hire a Gaming Monitor who shall be responsible for the day to day monitoring 

of Gaming on the Tribe's Reservation and to whom the Commission may delegate any of its 

duties under this Code except for: 

(a) the conduct of hearings, the decision of matters at issue at such hearing, the issuance, 

denial, limitation, supervision or revocation of Licenses; 

(b) the imposition of fines and the setting of the Gaming Monitor's duties and compensation. . . ,..,, 

The Commission shall take such action as it deems necessary and appropriate to satisfy 

itself as to the qualifications of the Gaming Monitor before appointing the Gaming Monitor and 

shall oversee the Gaming Monitor's activities on an ongoing basis. Preference will be given to 

Gaming Monitor applicants with experience in legal, gaming andlor accounting matters. No 

Person who has been convicted of a felony of any kind or any misdemeanor which is gaming 

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related or involves, fi-aud, misrepresentation or bribery may serve as a Gaming Monitor. Other 

than the interest that may be held by virtue of Tribal membership, the restraints on financial 

interest in any Gaming Operation set forth in Section 2.04 of this Code shall also apply to the 

Gaming Monitor. 

Section 3.02Gaming Monitor's Contract. The Gaming Monitor shall be hired on a contract 

basis for a period of at Ieast one year. The terms of the Gaming Monitor's employment contract 

including, but not limited to, compensation and benefits, shall be negotiated with the 

Commission and approved by the Council. 

Section 3.03Termination of Gamin? Monitor. The Gaming Monitor's employment contract 

shall terminate immediately, and without the necessity of a vote or finding by the Council or the 

Commission, upon the Gaming Monitor's conviction in any court of competent jurisdiction, 

including the Tribal Court, for a felony of any kind or any misdemeanor which is gaming related 

or involves, fraud, misrepresentation or bribery or for any breach or failure to perform the 

duties of the Gaming Monitor. If the Commission, the Council or any court determines that the 

Gaming Monitor has violated, or assisted in violations of, any part of this Code, the Commission 

or the Council (by a majority vote of a quorum) may immediately terminate the Gaming 

Monitor's employment contract. 

Section 3.04Duties of the Gaming Monitor The Gaming Monitor shall, subject to the approval 

of the Commission, perform all duties, exercise all powers, assume and discharge all 

responsibilities, and carry out and effect all purposes of this Code and the Compact, subject to 

the restrictions contained in Section 3.01. In all decisions, the Gaming Monitor shall act to 

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

of all Gaming. The duties of the Gaming Monitor shall include, but are not limited to: 

a) corresponding with the NIGC and taking necessary actions to ensure continuing 

compliance with the rules and regulations of the NIGC. Specifically, the Gaming Monitor shall 

confirm that an annual outside audit of authorized Gaming is performed within the time required 

by IGRA, and will provide a copy of such outside audit to the NIGC in a timely manner; 

b) conducting, or ensuring that adequate and confidential background investigations are 

conducted, on all Management Entities or Controlling Shareholders, Gaming Device Suppliers, 

and Primary Management OEcials and Key Employees of any Gaming Operation, and that 

oversight of such Persons is conducted on an ongoing basis; 

c) ensuring that all applications and background investigations called for by this Code are 

properly completed and that no Person is employed in any Gaming Operation if that Person's . 

prior activities, criminal record, reputation, habits or 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. Pursuant to 

Section 5.08(b), the Gaming Monitor shall ensure that the NIGC receives the results of any 

background checks conducted on Primary Management Officials and Key Employees of any 

Gaming Operations; 

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d) reviewing all records, documents or other evidence and information necessary and 

pertinent to the enforcement of any provision of this Code, the Rules, the Compact, or IGRA; 

e) recommending to the Commission whether a License should be granted, denied, revoked 

or canceled and whether sanctions should be imposed on any Person pursuant to the provisions 

of this Code; and 

f) performing any and all other duties as may be required by the Compact, this Code, the 

Commission, the Rules, or IGRA, subject to the restrictions contained in Section 3.01. 

Section 3.05Ri~ht of Inspection. The Gaming Monitor and the Commission have the authority 

to: 

(a) inspect and examine all premises wherein Gaming is conducted, or Gaming 

Devices or equipment are manufactured, sold or distributed; and 

(b) inspect all equipment and supplies in, upon or about any Gaming 

Establishment, andlor inspect any premises, equipment or supplies wherever located, which may 

be or have been used in connection with Gaming. 

CHAPTER IV 

LICENSES, APPLICATIONS 

AND LICENSE PROCEDURES 

Section 4.OlGaming License Required. The Commission is hereby authorized to issue all 

Licenses for the conduct of all Gaming authorized under this Code or any other License related 

to Gaming which the Commission may, by Rule require. 

(a)Persons. The following Persons must obtain Licenses as a precondition to 

employment in or management of any Gaming Operation: 

(1) any Management Entity or Controlling Shareholder. Any Person deemed a 

Controlling Shareholder must comply with the same licensing requirements as if such Person 

were a Primary Management Official; however, if any Controlling Shareholder is a non-natural 

person, such Controlling Shareholder shall be subject to Management Entity licensing 

procedures; 

(2) all Primary Management Officials; 

(3) all Key Employees; . ,. ., . . .- ,. . . . . - 

(4) all Gaming Device Suppliers. Any Person deemed a Gaming Device Supplier 

must comply with the same licensing requirements as if such Person were a Primary 

Management Oficial; however, if any Gaming Device Supplier is a non-natural person, such 

Gaming Device Supplier shall be subject to Management Entity licensing procedures; and 

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(4) any other employee or class of employees as determined by Commission 

Rules. 

(b)Gamin~ Establishments. Each place, facility, or location where Gaming is 

conducted must obtain a separate License from the Commission. 

Section 4.02Standard for License. Licenses issued hereunder shall be issued according to 

requirements at least as stringent as those set forth at 25 C.F.R parts 556 and 558, and any 

amendments thereto, and also according to requirements at least as stringent as those set forth in 

the Compact. 

Section 4.03Application for License. 

(a)No License shall be issued under this Code except upon a sworn Application filed 

with the Commission or Gaming Monitor, in such form as may be prescribed by the Commission 

or Gaming Monitor, containing a full and complete showing, at a minimum, of the following: 

(1) satisfactory proof that the Applicant is of good character and reputation, and is 

financially responsible; 

(2) if applicable, a complete description of the premises at which Gaming will be 

conducted; 

(3) agreement by the Applicant to abide by all conditions of the License, this 

Code, the Rules, the Compact and IGRA; 

(4) a separately sworn statement that the Applicant has never been convicted of, 

or entered a plea of guilty or no contest to, any of the following criminal offenses, 

a. any felony, other than a felony conviction for an offense under b, c, or d, 

within the preceding ten (1 0) years; provided, however, that this record limitation to the 

preceding ten (1 0) years shall not apply to any Applicant which is a Management Entity or 

Controlling Shareholder, 

b. any gaming-related offense, 

c. fraud or misrepresentation in any context, or 

d. a violation of any provision of this Code, the Rules, or any other Code or 

rules of the Tribe or any state agency regulating or prohibiting gaming; and . . . . . ,- , . .. 

(5) the Applicant's hlfillment of all applicable requirements of IGRA, all 

provisions of this Code, including, but not limited to, those in Chapter 5, and the Compact. 

(b)No License shall be issued to any Applicant who is determined by the 

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Commission to be a Person whose prior activities, criminal record, reputation, habits or 

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, or 

activities in the operation of Gaming or the carrying on of the business and financial 

arrangements incidental thereto. 

(c)The issuance of Licenses shall also be subject to the provisions of Chapter 5 of 

this Code regarding background investigations. 

(d)The following notices shall be placed on the application form for a Key Employee, 

Management Entity, Primary Management Oficial or Gaming Device Supplier before such form 

is completed by an Applicant: 

(a)'?n compliance with the Privacy Act of 1974, the following information is 

provided: Solicitation of the information on this form is authorized by Chapter 25 U.S.C. 2701 

et seq. The purpose of the requested information is to determine the eligibility of individuals to 

be employed in a gaming operation. The information will be used by the Commission, the State 

of California, andlor the National Indian Gaming Commission members and staff who have need 

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

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 tribe's being unable to hire you in a Primary 

Management Official or Key Employee position. 

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

However, failure to supply a SSN my result in errors in processing your application." 

(b) "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 frne or 

imprisonment. (U.S. Code, title 18, Section 1001)." 

Section 4.04Required Application Forms. 

(a)Each individual applying for a License, whether as a Primary Management 

Official or Key Employee, and any person who is subject to a background investigation in 

connection with an entity application for a License, shall be required to complete the following 

forms: 

(1) Application for Gaming License by Individual, if applicable; 

(2) Personal History Record, with attached Personal Financial Questionnaire, 

including Statement of Assets and Statement of Liabilities; 

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(3) Two Complete Fingerprint Cards; 

(4) Request to Release Information - Individual; and 

(5) Release of Nl Claims - Individual. 

(b)Each individual in subsection (a) of this Section applying for a License renewal 

shall supplement the Personal History Record and shall also be required to complete the 

following forms: 

(1) Application for Gaming License by Individual, if applicable; 

(2) Request to Release Information - Individual; and 

(3) Release of All claims -Individual. 

(c)Each entity, including a Management Entity and Gaming Device Supplier, 

applying for a License must complete the following forms: 

(1) Application for Gaming License by Entity; 

(2) Request to Release Information - Entity; and 

(3) Release of All Claims - Entity. 

(d)The Commission or Gaming Monitor may request any additional forms or 

information fiom an Applicant as it deems necessary or appropriate. 

(e)Pursuant to the Compact, upon request of the State of California, the Commission 

shall forward the Applicant's Personal History Record and all background information compiled 

by the Commission and Gaming Monitor to the State. 

Section 4.05Fin~erprint Cards Required. All Applicants for a License are required to submit 

fingerprint cards. The California State Police are hereby identified as the law enforcement 

agency with law enforcement authority to take fingerprints. Pursuant to 25 C.F.R. §522.2(h), the 

Commission or the Gaming Monitor shall forward an Applicant's fingerprint card to the Federal 

Bureau of Investigation ~ational Criminal Information Center. The Commission or the Gaming 

Monitor may submit an Applicant's fingerprint card to any additional tribal, local or state 

criminal history check system or center as the Commission or the Gaming Monitor deem 

necessary or appropriate. Reports obtained fiom such fingerprint processing shall be 

incorporated into the Applicant's personnel file. 

Section 4.06Withdrawal of Application. An Application may not be withdrawn without the 

permission of the Commission. An Applicant may request to withdraw an Application by 

submitting to the Commission a written request for withdrawal. The Commission shall retain the 

right, in its sole discretion, to grant or deny a request for withdrawal. 

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Section 4.07Continuing Duty to Provide Information. Applicants and Licensees shall have a 

continuing duty to provide any materials, assistance or other information required by the 

Commission or the Gaming Monitor, and to fully cooperate in any investigation conducted by or 

on behalf of the Commission or the Gaming Monitor. If any information provided on the 

Application changes or becomes inaccurate in any way, the Applicant or Licensee shall promptly 

notifjl the Commission or Gaming Monitor of such changes or inaccuracies. 

Section 4.08Term of License: License Fees; Par*ameters of License. 

(a) Licenses, except Provisional Licenses, shall be for a term of one year, and 

shaIl expire on the anniversary of the effective date of such License(s). 

(b)In order for the Tribe to recover the costs of complying with federal, Tribal, and state 

regulatory processes applicable to Class I1 Gaming and Class Ill Gaming the costs for 

maintaining the Commission and the Gaming Monitor shall, to the maximum extent practical, be 

supported by fees paid by Applicants and Licensees. Application and License fees shall be 

required: 

(1) in accordance with a fee schedule to be established by the Commission, 

annually fkom each party, other than the Tribe, to a Management Contract; 

(2) in accordance with a fee schedule to be established by the Commission &om 

any Person(s) required to obtain a License; 

(3) in addition to the License fees imposed pursuant to subsection (b)(l) and (2) 

of this Section, the Commission may impose such fees on Applicants and Licensees as are 

reasonably related to costs of enforcement, including investigations and proceedings before the 

commission, and which will in the aggregate be sufficient to enable the Tribe and the 

Commission to recover its reasonable costs of enforcing this Code. Such costs may be estimated 

by the Commission and imposed prior to a final Commission action regarding a particular 

Licensee or Applicant. If the sum collected exceeds the actual costs of the matter, the excess 

shall be returned to the Applicant or Licensee. 

(c) Violations of any provision of this Code or the Rules, or relevant License provision(s), by a 

Licensee shall be deemed contrary to the public health, safety, morals, good order and general 

welfare of the Tribe and the inhabitants of the Reservation, and shall be deemed grounds for 

refbsing to grant or renew a License, suspension or revocation of a License. Acceptance of a 

License, or renewal thereof by a Licensee, constitutes an agreement on the part of the Licensee to 

be bound by. the provisions of this Code and the Rules as they are now, or as they may hereafter 

be amended or restated, and to cooperate fully with the Gaming Monitor and the Commission. It 

is the responsibility of the Licensee to remain informed-of the contents of this Code, the. Rules ..... . , 

and all other applicable regulations, amendments, provisions, and conditions. 

Section 4.09Conditions of License. All Licensees shall comply with such reasonable conditions 

as may be fixed by the Commission, including but not limited to the following conditions: 

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(1) the Licensee shall at all times maintain an orderly, clean and neat Gaming 

Establishment, both inside and outside the premises of the Gaming Establishment; 

(2) the Gaming Establishment shall be subject to patrol by the Tribe's security and law 

enforcement personnel and, when authorized, local and state law enforcement, and the Licensee 

shall cooperate at all times with such security and law enforcement officials; 

(3) the Gaming Establishment shall be open to inspection by authorized Tribal 

officials at all times during business hours; 

(4) there shall be no discrimination in any Gaming Operations by reason of race, 

color, sex or creed; provided, however, that nothing herein shall prevent the Licensee ftom 

granting preferences to Native Americans as permitted by law; and 

(b)Persons, Management Entities and Gaming Device Suppliers licensed by the 

Commission shall comply with such conditions of the License as the Commission, in its 

reasonable discretion, may require. 

Section 4.10Facilitv License. The Commission may issue an annual Facility License to a 

Gaming Establishment, if the Gaming Establishment: 

(a)is a sound physical structure with adequate and safe plumbing, electrical heating, 

cooling and ventilation systems in place and operational; 

(b)has been inspected and approved for safety by a building and fire inspector 

designated by the Commission; 

(c)is adequate in all respects to accommodate the Gaming intended to be carried out 

within the structure; 

(d)is equipped with security and surveillance equipment meeting or exceeding 

provisions set forth in the Tribal-State Compact and the Code; 

(e)meets all requirements of applicable federal, tribal and state law; and 

(ohas paid all applicable License fees and costs. 

Section 4.11Certification of gamin^ Devices. All Gaming Devices purchased, leased or 

otherwise acquired by the Tribe must meet the technical equipment standards of the Compact: .- - . . -. . . . . . 

The Commission or Gaming Monitor shall maintain a complete list of all Gaming Devices 

(whether or not such devices are in use) located at any Gaming Establishment. 

Section 4.12Provisional License The Commission may issue Provisional Licenses pending the 

satisfactory completion of all background investigations and other requirements of this Code, 

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IGRA, or the Compact, and, if applicable, pending expiration of the thirty (30) day NIGC review 

period provided for at 25 C.F.R part 558. If such background investigations are not satisfactorily 

completed, a Provisional License shall have no further force or effect. In no event shall a 

Provisional License be valid for greater than ninety (90) days. 

Section 4.13Provisional Employment Pending Issuance of License and Durinp Temporary 

License Period. As provided in Section 4.12, Primary Management Oflicials and Key 

Employees may be employed in Gaming Operations prior to the issuance of a License hereunder 

and during the period that a License shall be effective on a provisional basis, but such 

employment shall be provisional only and subject to the requirements of this Section. 

Employment may begin prior to issuance of a License only if the Commission, or such other 

Tribal agency or official as may be authorized by the Council, has made a preliminary finding of 

eligibility for employment in Gaming Operations, which shall require a preliminary 

determination that the Primary Management Official or Key Employee in question is not a 

person whose prior activities, criminal record or reputation, habits or 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, or activities in the operation of 

Gaming or the canying on of the business and financial arrangements incidental thereto. 

Provisional employment shall be terminated upon the occurrence of any of the following: 

(a)denial of a relevant License by the Commission; 

(b)unsatisfactory completion of a background investigation or NIGC review resulting 

in nullification of a provisional License, as described in Section 5.10; or 

(c)to the extent required under 25 C.F.R part 558 and, at the end of thirty (30) days 

after the starting date of provisional employment, if at the end of such period no License has 

been issued hereunder or if a License issued hereunder remains effective only on a provisional 

basis, as provided in Section 4.12; provided, however, that provisional employees terminated for 

the reason described in this subsection shall be qualified for reemployment upon the satisfactory 

completion of background investigations and NIGC reviews. 

Section 4.14Assignment or Transfer. No License issued under this Code may be assigned or 

transferred unless the proposed assignee or transferee would independently be qualified to hold 

the License proposed to be assigned or transferred & the Commission approves of such 

assignment or transfer. 

CHAPTER V 

BACKGROUND INVESTIGATIONS AND 

LICENSE DECISIONS 

Section 5.OlRequired Background Investi~ations. Background investigations shall be 

conducted by the Gaming Monitor, or other agent retained by the Commission, under the 

supervision and direction of the Commission, on all Persons specified in Section 4.01 of this 

Code. 

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Section 5.02Standards for Background Investi~ations. All background investigations shall be 

conducted to ensure that Gaming Operations shall not employ or contract with persons whose 

prior activities, 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 such Gaming. Such investigations shall be 

conducted according to requirements at least as stringent as those set forth at 25 C.F.R. parts 556 

and 558, the Compact, and this Chapter 5. Background investigations shall be conducted in a 

manner which takes all reasonable steps to ensure the confidentiality of the information 

generated by the investigation as well as that submitted by the Applicants. Any wilbl or 

careless breach of this requirement may result in penalties as provided by Section 2.12 of this 

Code. Both the Commission and the Gaming Disputes Court shall have jurisdiction to hear and 

decide upon any such claims, but the jurisdiction of the Gaming Disputes Court shall be limited 

to those matters which have fvst been decided by the Commission, or which involve charges 

against a Commissioner or the Gaming Monitor, which cases shall not be within the jurisdiction 

of the Commission. 

Section 5.03Information Required for Background Investigations. 

(a)Each Person subject to a background investigation under Section 5.01 of this Code 

shall be required to provide, subject to the Privacy Act of 1974, at a minimum, and in such form 

as designated in Section 4.04, or as may be prescribed by the Commission or the Gaming 

Monitor, all of the following information: 

(1)fbll name, other names used, social security number(s), birth date, place of birth, 

citizenship, gender, all languages (spoken or written); 

(2)currently and for the previous 10 years, all business and employment positions 

held, ownership interests in those businesses, business and residence addresses, and driver's 

license numbers; 

(3)the names and current addresses of at least three (3) personal references, including 

one personal reference who was acquainted with the Applicant during each period of residence 

listed under subsection (a)(2) of this Section; 

(4)current business and residence telephone numbers; 

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

American Indian tribe, including but not Iimited to a description of the amount and type of 

ownership interest in those businesses; 

(6)a description of any existing and previous business relationships with gaming, 

including but not limited to a description of the amount and type of ownership interest in those 

businesses; 

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

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has filed an application for a license or permit related to any gaming or gambling, whether or not 

such license or permit wzis granted; 

(8)for each felony for which there is an ongoing prosecution or 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 trac violations), within ten (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 misdemeanor traffic charges, but 

including any DWI, reckless or careless driving charges), whether or not there is a conviction, if 

such criminal charge is within ten ( 1 0) years of the date of the application and is not otherwise 

listed, the type of criminal charge, the name and address of the court involved and the date and 

disposition of such charge; 

(1 1) the name and address of any licensing or regulatory agency with which the 

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

or permit was granted; 

( 1 2) a current photograph; 

(13) any other information the Commission deems relevant; and 

(14) fingerprints consistent with the provisions of Section 4.05. 

(b)Background investigations conducted by the Gaming Monitor or Commission 

must be sufficient to make the determination described in Section 5.08(a). In conducting a 

background investigation, the Gaming Monitor, or the Commission or its agents, shall make 

every reasonable effort to maintain the confidentiality of the identity of each Person interviewed 

in the course of the investigation. Willhl or careless violations of this requirement are subject to 

penalties as provided by Section 2.12 of this Code. 

Section 5.04Recomrnendation of Gaming Monitor. Upon completion of the investigation, the 

Gaming Monitor shall recommend to the Commission that the Commission either (i) grant a 

License to the Applicant, or (2) notice the Applicant for a hearing under Chapter 6 of this Code. 

The Commission may notice the Applicant for a hearing at any time during the investigation. 

Section 5.05lssuance of License. The Commission, either upon recommendation of the Gaming 

Monitor, or after a hear& conducted under Chapter 6 of this Code, may, subject to the 

requirements of Section 5.09, issue a License only .after. it.has determinedthat. the.following . .. . . .. . - . . 

minimum requirements have been met: 

(a)the Applicant has hlly completed all required Application forms and has provided 

the Commission or Gaming Monitor with all other information that the Commission or Gaming 

Monitor has requested; 

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(b)the Applicant meets all of the licensing requirements of this Code; 

(c)the Applicant meets all of the licensing requirements and criteria contained in the 

Compact, including, but not limited to, the criteria contained in Section 4(D); 

(d)the Commission has reviewed the Applicant's criminal history record and deems 

the Applicant's criminal history to be satisfactory to hold a License; and 

(e)all applicable License fees and costs have been paid. 

No License shall be issued to any Applicant who is determined by the Commission to be a 

Person whose prior activities, criminal record, reputation, habits or 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, or activities in the operation of 

Gaming or the carrying on of the business and financial arrangements incidental thereto. 

Section 5.06Denial of a License Application. The Commission, after a hearing conducted 

pursuant to Chapter 6 of this Code, may deny an AppIicant a License only after it has determined 

that the minimum requirements contained in Section 5.05 have not been met by the Applicant or 

the Applicant's Application, or if the Commission determines that the Applicant is a Person 

whose prior activities, criminal record, reputation, habits or 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, unfkir, or illegal practices, methods, or activities in the operation of 

Gaming or the carrying on of the business and financial arrangements incidental thereto. 

Section 5.07Cancellation or Suspension. Licensees and Applicants shall be legally responsible 

for any violation of this Code, any relevant License provisions, the Rules, the Compact or IGRA. 

Any License issued hereunder may be canceled, limited, revoked, suspended, terminated or 

modified by the Commission, after a hearing as provided in Chapter 6, for the breach of any of 

the provisions of the License, this Code, or Rules. In addition: 

(a)unless otherwise stated in this Code or the Rules, a Licensee's attorney has the 

right to be present and to participate in any proceeding concerning the cancellation, limitation, 

revocation, suspension, termination or modification of a License; 

(b)a License may be summarily suspended, without a prior hearing, only upon notice 

to that effect fiom the NIGC; and 

(c)all decisions of the Commission regarding the cancellation, limitation, revocation, 

suspension, termination or modification of Licenses shall be final, unless appealed as provided.in. 

Section 2.13 of this Code. No Gaming shall be conducted by the Licensee after cancellation, 

even during the pendency of an appeal. 

Section 5.08Eligibility Determination and Procedures for Forwarding Applications and 

Reports for Key Employees and Primary Management Officials to the National Indian 

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Gaming Commission. 

(a)The Commission shall review an Applicant's prior activities, criminal record, 

reputation, habits and associations to make a finding concerning the eligibility of a Key 

Employee or Primary Management Oficial for employment in a Gaming Operation. If the 

Commission determines that employment of the Person poses a threat to the public interest or to 

the effective regulation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of Gaming, the Gaming Operation shall not 

employ that Person. 

(b)When a Key Employee or Primary Management Official commences work at a 

Gaming Operation, the Gaming Monitor shall within a reasonable period of time forward to the 

NIGC a completed application for employment for such Key Employee or Primary Management 

Official, and shall conduct all necessary background investigations. The Commission shall 

make the eligibility determination referred to in subsection (a) of this Section. 

(c)A report shall be submitted to the NIGC within sixty (60) days afier a Key 

Employee or Primary Management Oficial commences work at a Gaming Operation or within 

sixty (60) days of the approval of this Code by the Chairman. Such report shall, at a minimum, 

include all of the following: 

(1)steps taken in conducting the background investigation; 

(2)results obtained; 

(3)conclusions reached by the Commission; 

(4)the Commission's basis for those conclusions; and 

(5)a copy of the eligibility determination made pursuant to Section 5.08(a). 

(d)No Gaming Operation shall continue to employ as a Key Employee or Primary 

Management Official any Person who does not have a License within ninety (90) days of 

commencing work at a Gaming Operation. 

(e)If a License is not issued to an Applicant, the Commission: 

(i)shall noti@ the NIGC; and 

(ii)may forward copies of its eligibility determination and any relevant report 

regarding a background investigation of the Applicant to the NIGC for inclusion in the Indian 

Gaming Individuals Records System. 

(QWith respect to Key Employees and Primary Management Officials, applications 

for employment and reports of background investigations shall be retained by the Gaming 

Monitor for inspection by the Chairman or his designee for no less than three (3) years fiom the 

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date of termination of employment of each Key Employee or Primary Management Oficial. 

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Section 5.09Grantin~ a Gaming License. 

(a)If, within a thirty (30) day period after the NIGC receives all required Applications 

and reports, the NIGC 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, 

the Commission may issue a License to such Applicant. 

(b)The Commission shall respond in a timely manner to requests for additional 

information from the Chairman concerning Key Employees or Primary Management Officials 

who are the subject of any report filed with the NIGC by the Commission Any such request by 

the Chairman shall suspend the thirty (30) day period referred to in this Section until the 

Chairman receives the additional information requested. 

(c)If, within a thirty (30) day period after the NlGC receives all required applications 

and reports, the NIGC 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 Commission 

has submitted an application and all required reports to the NIGC, the Commission shall 

reconsider the application, taking into account the itemized by the objections of the NIGC. The 

Commission shall make the final decision whether to issue a License to such Applicant. 

Section 5.1OLicense Revocation and Suspension Following Receipt of Information from 

- NIGC. 

(a)If, after the issuance of a License, the Tribe receives information fkom the NGC 

indicating that a Management Entity or Controlling Shareholder, Key Employee, or Primary 

Management Official is not eligible for employment under Section 4.02 of this Code, the 

Commission shall suspend such License, shall note the Licensee in writing of such suspension 

and the potential revocation of the Licensee's License, and shall conduct a hearing in accordance 

with the Rules regarding the proposed License revocation. 

(b)After a hearing, the Commission shall revoke or reinstate a License suspended 

pursuant to subsection (a) of this Section. The Commission shall notify the MGC of its decision. 

A decision of the Commission to revoke a License after the hearing called for by subsection (a) 

of this Section shall be final and there shall be no appeal. A Management Entity whose License 

has been revoked or suspended pursuant to this Section may not operate a Gaming Operation. 

Section 5.11Notice of LicensingActions. The Commission shall post public notices of all 

actions taken in regard to Licenses and License Applications in a prominent place in the Tribe's 

offices and in affected Gaming Establishments and may publish such notices in a newspaper 

serving the community in which the affected Gaming Establishments are located. . ... -- .- .-.. -... ---.. ,-...- -.-,....-.,-..,.. 

CHAPTER VI 

RULES OF PROCEDURE 

FOR HEARINGS 

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Section 6.01Scope of Rules of Procedure. All License hearings, enforcement hearings and 

exclusion hearings conducted pursuant to this Code shall be governed by this Chapter. 

Section 6.02Hearings. 

(a)The Commission shall afford an Applicant an opportunity for a hearing prior to any fmal 

action by the Commission on a Application, other than an unconditional grant of a License. 

(b)The Commission shall afford a Licem the opportunity for a hearing prior to taking final 

action resulting in the revocation of the License or the imposition of any penalties which the 

Commission is authorized to impose pursuant to these Rules and the Code. 

(c)Nothing in this Section shall limit the Commission's authority to summarily suspend or 

revoke a License without a hearing pursuant to Section 5.07(b) of this Code. 

Section 6.03Notice of Hearing. 

(a)The Commission shall post notice of any hearing in a prominent, noticeable place in the 

Tribe's Executive Office at least seven (7) days prior to the hearing, and shall also publish notice 

of any hearing at least seven (7) days prior to the hearing in a tribal newspaper, or if a tribal 

newspaper is not currently in publication, in such other local newspaper serving the local 

community. The day the notice is posted or published shall be considered a full day's notice 

under this Section. The notice shall state the date, time and place ofthe hearing. 

(b) The Commission shall also provide written notice to the Applicant or Licensee of the 

hearing at least seven (7) days prior to the date set for the hearing. The day the Applicant or 

Licensee receives the notice shall be considered a full day's notice under this Section. The 

notice shall be sent by registered or certified mail, or may be personally served upon the 

Applicant or Licensee. The notice shall state the date, time and place of the hearing. The notice 

shall also contain an indication of the action(s) being considered by the Commission, including, 

but not limited to: 

(1)whether the Commission is holding the hearing for the purpose of obtaining mher 

information fiom the Applicant; 

(2)whether the Commission will be considering the grant or denial of the License 

Application; 

(3)whether the Commission will be examining any alleged violations of the Code, the , 

Compact, the IGRA, the conditions of any License issued by the Commission, any order by the 

Commission, or any other applicable laws, regulations or agreements; or . . . - 

(4)whether any other sanctions or penalties will be considered. 

The notice shall also contain a short, plain statement of the reasons the Commission 

determines the hearing is necessary. 

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Section 6.04Ex Parte Communications. 

(a)No ex parte communication relative to the action(s) being considered by the Commission, or a 

threat or offer of reward shall be made, before a decision is rendered, to any member of the 

Commission by or on behalf of the Applicant or Licensee, or any legal representative or counsel 

of the Applicant or Licensee. 

(b) Nothing in this Section shall prohibit the Applicant, Licensee or its authorized agent 

fiom communicating with the Commission's legal counsel its investigators or other authorized 

agents. 

(c)Any member of the Commission who receives an ex parte communication shall immediately 

report such communication to the Commission's legal counsel. 

(d)For purposes of this Section only, the action(s) being considered by the Commission shall be 

those matters identified in the written notice as provided in Section 6.03(b) of this Code, as well 

as any other matters that are actually considered by the Commission during a hearing. All 

matters identified in the written notice shall be subject to the prohibition against ex parte 

communications. All matters not identified in the written notice that are considered by the 

Commission during a hearing become subject to the prohibition against ex parte communications 

as soon as they are discussed during the hearing. 

(e)The Commission shall have the power to impose any sanction pursuant to this Chapter upon 

its determination that an Applicant or Licensee has made an ex parte communication in violation 

of this Section. 

Section 6.05Appearance through Counsel. 

(a)Parties to all hearings governed by this Chapter may appear personally or through an attorney, 

except that a party must personally attend any hearing on the merits unless his attendance has 

been waived, in writing, by the Commission. 

(b)When a party has appeared through an attorney, service of all notices, motions, orders, 

decisions and other papers shall thereafter be made upon the attorney, unless the party requests 

otherwise in writing. 

(c)When a party is represented by an attorney, the attorney shall sign all motions, notices, 

requests, and other papers on behalf of the party, including a request for subpaenas. 

(d) Upon the establishment of the Cuyapaipe Community of,Diegueno Mission.1ndia.m .-.... ..,-.-. .- 

of the Cuyapaipe Reservation, California Bar, any attorney appearing before the Commission 

must be duly admitted and licensed by the Cuyapaipe Community of Diegueno Mission Indians 

of the Cuyapaipe Reservation, California Bar to practice law on the Tribe's Reservation or 

before this Commission. 

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Section 6.06Discoverv Procedures for Enforcement Hearings. 

(a) The Commission's legal counsel and the Licensee shall exchange a list of persons 

that each party intends to call as witnesses no later than five (5) business days before a scheduled 

enforcement hearing. The day the list is received shall be considered a full day's notice under 

this Section. Each witness shall be identified by name, if known, position, and business address. 

If no business address is available, a home address for the witness shall be provided. Any 

witness not identified in accordance with this Section may be prohibited fiom testifying at a 

hearing in the Commission's discretion. 

(b)The Commission's legal counsel and the Licensee shall exchange a copy of all documents or 

tangible things that they intend to offer as evidence in support of the party's case in chief. This 

exchange shall be made to the opposing party no later than five (5) business days before a 

scheduled enforcement hearing. The day the documents are received shall be considered a full 

day's notice under this Section. Failure to make available any document or tangible thing in 

accordance with this section may, in the Commission's discretion, be grounds to deny the 

admission into evidence of such document or tangible thing. 

Section 6.07Confidential Materials. 

(a) Prior to making any documents available to the Commission's legal counsel or 

designated agent, the Applicant or Licensee may designate any document it believes to contain 

confidential information as "Subject to a Confidentiality Claim" by so marking the document 

prior to providing a copy of the document to the Commission's legal counsel. 

(b) No document provided to the Commission's legal counsel or designated agent which 

has been marked in accordance with Paragraph 1 above, and no non- public information 

contained within the document, shall be made a part of the public record of the Commission 

proceedings or otherwise disclosed by the Commission to any person other than its authorized 

agents (or except as may be required under any applicable law, rule, regulation, court or 

administrative order, or the Compact), without first providing the Applicant or Licensee with the 

opportunity to seek a ruling by the Commission that the document or non- public information 

contained therein should not be made public. The request for such a ruling and any discussions 

relating to the document shall be heard and ruled upon by the Commission in an Executive 

Session meeting. If the request for such a ruling is made during a public hearing session, the 

hearing session shall be adjourned and the Commission shall conduct an Executive Session 

meeting in order to hear and rule upon the applicant's or respondent's request. The Applicant or 

Licensee may present to the Commission in Executive Session written and oral argument 

regarding the confidentiality claim, along with any facts the Applicant or Licensee believes to be 

relevant to such argument. 

(c)Prior to producing any documents, the Applicant may designate any document it believes to 

coritain confidential information as "Subject to a Confidentiality Claim" by so marking the 

document prior to providing a copy of the document to the Commission or its authorized agents. 

(d)No document provided to the Commission which has been marked in accordance with 

Paragraph (c) above'and no non-public information contained within the document, shall be 

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made a part of the public record of the Commission proceedings on the Application or otherwise 

disclosed by the Commission to any person other than its authorized agents (or except as may be 

required under any laws, Rules, court or administrative order, or the Compact, without frrst 

providing the Applicant with the opportunity to seek a ruling by the Commission that the 

document andlor non-public information contained therein should not be made public. The 

request for such a ruling and any discussions relating to the document shall be heard and ruled 

upon by the Commission in executive session. If the request for such a ruling is made during a 

public hearing session relating to the Application, the hearing session shall be adjourned and the 

Commission shall conduct an Executive Session meeting in order to hear and rule upon the 

Applicant's request. The Applicant may present to the Commission in Executive Session written 

and oral argument regarding the confidentiality claim, along with any facts the Applicant 

believes to be relevant to such argument. 

(e) In determining whether a document marked in accordance with subsection (c) above 

should be made part of the public record of the Commission proceedings on the Application, the 

Commission will balance the Applicant's claimed confidentiality concerns against the materiality 

of the information to the Application, the public's right to be made aware of the information, and 

the Commission's need to make the information part of the public record in order to remain hlly 

accountable for the licensing decision. In making this determination, the Commission shall 

consider all facts and circumstances relevant to making a proper ruling. 

(f) In the event that the Commission rules during executive session that the document in 

question andlor information contained therein should be made part of the public record of the 

Commission's proceedings on the Application, the document and/or information contained 

therein will be made part of the public record unless the Applicant withdraws the document 

from the Commission's possession. In the event the Applicant chooses to withdraw the 

document from the Commission's possession, the Commission will then weigh the withdrawal 

along with the other evidence in making its determination on the Application. Withdrawal of 

documents from the application process shall be looked upon by the Commission with disfavor, 

and, depending on the bets and circumstances, the Commission may deem the withdrawal of any 

document to be sufficient cause in and of itself for denial of the License. 

(g) In the event that the Commission rules during Executive Session that the document 

andlor information contained therein should not be made part of the public record, the document 

shall be designated "Confidential" and will not be made part of the public record. The 

Commission may consider the document and information contained therein in camera in making 

its determination on the Application. 

(h) At the conclusion of the Commission proceedings on the License application, the 

Commission will return to the Applicant all documents marked as "Subject to a Confidentiality 

Claim" pursuant to Paragraph (c) above that were not (i) made par^ of the public record of the 

gaming License application or (ii) designated as "Confidential" and considered by the 

Commission in camera. 

Section 6.08Subpoenas. 

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(a)The Commission has the power and discretion to issue subpoenas and to impose such 

reasonable penalties for noncompliance. 

(b) Subpoenas may be issued only to compel any person to appear at the hearing on the 

merits of the case, to give oral testimony, or to produce documents or other tangible things. 

Section 6.09Hearing Procedures. 

(a) The Chair of the Commission shall preside over all hearings, and shall call the 

proceedings to order, control the presentation of evidence, the appearance ofwitnesses, and the 

order of the proceedings. 

(b) The Commission may require any person, including, but not limited to, any Applicant 

or Licensee, or any agent, employee or representative of any Applicant or Licensee, to appear 

and testify before it with regard to any matter within its jurisdiction at such time and place as it 

may designate. Such testimony shall be under oath and may include any matters which the 

Commission deems relevant to the discharge of the Commission's official duties. Testimony 

shall be recorded by a duly certified court reporter and may be used by the Commission as 

evidence in any proceeding or matter before the Commission. Failure to appear and testifjr fully 

at the time and place designated shall result in sanctions. Failure to appear may constitute 

grounds for: 

(1)the rehsal to grant a License to the person summoned, and lor that person's 

principal, or employer; 

(2)the revocation or suspension of a License held by the person summoned, andlor 

that person's principal, or employer; or 

(3)the inference that the testimony of the person summoned would have been adverse 

to that person andlor that person's principal or employer. 

(c) Any party to the hearing may call and examine witnesses. The Commission shall 

exercise its discretion to limit the testimony of witnesses where that testimony is argumentative 

or repetitive. 

(d) The Commission shall have the authority to eject fiom the hearings any person who is 

disruptive, disorderly, or who shows a lack of proper respect for the Commission or the nature of 

the proceedings. 

(e) Persons shall be permitted to speak only when recognized by the Chair. 

(f) Any member of the Commission may ask questions of witnesses, and may request or 

allow additional evidence at any time. 

(g) Any party to the hearing may conduct cross-examinations reasonably required for a 

full and true disclosure of the facts. 

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(h) All hearings held under this Code shall be open to the public. 

(i) The Commission, in its discretion, has the power to sequester witnesses. 

Section 6.10Evidence 

(a)In hearings governed by this Chapter, the Commission shall not be bound by technical rules 

relating to evidence and witnesses. The Commission shall admit all testimony having reasonable 

probative value, but shall exclude immaterial, irrelevant or unduly repetitious testimony. The 

Commission shall give effect to the rules of privilege unless such privilege is waived. Basic 

principles of relevancy, materiality and probative force shall govern the proof of all questions of 

fact. Objections to evidentiary offers and offers of proof of evidence not admitted may be made 

and shall be noted in the record. 

(b)All evidence, including records and documents in the possession of the Commission or which 

the Commission desires to avail itself, shall be duly offered and made a part of the record in the 

case. Every party shall be afforded adequate opportunity to rebut or offer countervailing 

evidence. 

(c) The Commission may take official notice of any generally recognized fact or any 

established technical or scientific fact; but parties shall be notified either before or during the 

hearing or by full reference in preliminary reports or otherwise, of the facts so noticed, and they 

shall be afforded an opportunity to contest the validity of the official notice. 

(d) Documentary evidence may be received in the form of copies or excerpts, if the 

original is not readily available. Upon request, parties shall be given an opportunity to compare 

the copy to the originaL 

(e)The record in a hearing governed by these Rules shall include: 

(1)All Applications, intermediate rulings and exhibits and appendices thereto. 

(2)Evidence received or considered, stipulations and admissions, including but not 

limited to confidential evidence received pursuant to Section 6.07 of this Code. 

(3)A statement of matters officially noticed. 

(4)Questions and offers of proof, objections, and rulings thereon. .' 

(5)Any decision, opinion, findings or report by the Commission. 

(6)The transcript prepared by a duly certified court reporter. 

Section 6.11Determinations bv the Commission. 

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(a) The Commission shall make all determinations of issues before it by a majority vote 

of at least a quorum of the Commission. 

(b) All determinations made by the Commission involving the grant, denial, cancellation 

or revocation of a License, a finding of a violation of this Code, the Rules, the Compact, IGRA, 

the conditions of any License issued by the Commission, any order by the Commission, or any 

other applicable laws, regulations or agreements, and the imposition of any sanctions or penalties 

shall be made by motion and on the record. 

(c) A copy of any resolution reached pursuant to Section 6.1 1 (b) of this Code shall be 

served upon the Applicant or Licensee by registered or certified mail, or may be served 

personally. 

Section 6.12Sanctions. If any party or its attorney fails to comply with any provision of this 

Code, the Rules, the Compact, IGRA, the conditions of any license issued by the Commission, 

any order by the Commission, or any other applicable laws, regulations or agreements, including, 

but not limited to any agreement, regarding any matter, including, but not limited to, discovery 

matters and the hilure to appear at a hearing at the scheduled time, the Commission upon motion 

or upon its own initiative, may in its discretion impose upon such party or attorney, or both, 

appropriate sanctions in regard to the failure(s) as are just, including, but not limited to, the 

following: 

(a) An order prohibiting the use of any witness, document or tangible thing which should have 

been disclosed, produced, exhibited or exchanged pursuant to these Rules or any order of the 

Commission; 

(b) An order that designated facts shall be taken to be established; 

(c) An order that the disobedient party may not support or oppose designated claims or defenses; 

(d) An order striking out pleadings or parts thereof, or staying fkther proceedings or dismissing 

the proceeding or any part thereof, or entering a judgment by default against the disobedient 

party; 

(e) A finding against the disobedient party; or 

(0 Any sanction otherwise set forth in this Code. 

CHAPTER VII 

APPEALS 

Section 7.01Righ t of Appeal; Appeals Procedures. A Person directly affected by any finding 

of the Commission pursuant to Section 6.1 1 of this Code, or any licensing decision of the 

Commission under this Code, shall have the right to appeal such finding to the Gaming Disputes 

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Court. Any such appeal must be filed with the Gaming Disputes Court in writing on or before 

the tenth (10th) day following receipt by such affected Person of the written finding of the 

Commission. The Commission shall certifjl the hearing record to the Gaming Disputes Court 

within thirty (30) days of the date of the filing of the appeal. In any case which has been referred 

to the Gaming Disputes Court for final action, the Gaming Disputes Court may determine to 

review all findings of fact and of law of the Commission, or proceed pursuant to a de novo 

standard. The Gaming Disputes Court's decision as to the manner of proceeding shall be final, 

and no Wher appeal may be had. 

Section 7.02Sovereign Immunity of the Commission. The Cuyapaipe Community of 

Diegueno Mission Indians of the Cuyapaipe Reservation, California, acting through the Tribal 

Council, confers on the Commission, its agents, attorneys and employees, all of the Tribe's 

rights, privileges, immunities and sovereign immunity fiom suit, to the same extent that the Tribe 

would have such rights, privileges, if it engaged in the activities undertaken by the Commission. 

The Tribal Council hereby waives the aforesaid immunity with respect to actions brought before 

the Commission or the Gaming Disputes Court by Applicants and Licensees, provided that such 

waiver shall: (I) operate only to permit actions for equitable relief against the Commission and 

its agents, attorneys and em~loy~es; (2) permit actions seeking actual or compensatory damages 

against the Commission only up to the limits of applicable insurance; (3) not extend to any 

action for punitive or consequential damages. 

CHAPTER VIII 

AUDITING 

AND INTERNAL CONTROL 

Section 8.01 Minimum Procedures for Control of Internal Fiscal Affairs. The Commission 

shall promulgate Rules governing the control of internal fiscal affairs of all Gaming Operations. 

At a minimum, such Rules shall require the consistent application of Generally Accepted 

Accounting Principles, and shall: 

(a) prescribe minimum procedures complying with the NIGC's Minimum Internal 

Control Standards ("MICS") for the safeguarding of a Gaming Operation's assets and revenues, 

including recording of cash and evidence of indebtedness, and mandatory count procedures. 

Such Rules shall establish a controlled environment, accounting system, and control procedures 

that safeguard the assets of the Gaming Operation, assure that operating transactions are properly 

recorded, promote operational efficiency, and encourage adherence to prescribed policies; 

(b) prescribe minimum reporting requirements to the Commission; 

. . .. .. . . , . 

(c) provide for the adoption and use of internal audits conducted in accordance with 

generally accepted accounting principles by internal auditors licensed or certified to practice 

public accounting in the State of California; 

(d) formulate a uniform code of accounts and accounting classifications to assure the 

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Title 400 - Tribal Gaming Code 

consistency, comparability and effective disclosure of financial information. Such a 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 in each Gaming 

Operation; 

(e) prescribe the intervals at which such information shall be hnished; 

(f) provide for the maintenance of documentation, (i.e., checklists, 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 this Section 

be maintained for a minimum of five (5) years. 

Section 8.02 Oversight of Internal Fiscal Affairs. The Commission shall require independent 

audits of the financial statements of all Gaming Operations. Such independent audits must apply 

and require the consistent application of Generally Accepted Accounting Principles, and shall: 

(a) be conducted by independent accountants, knowledgeable in casino audits and 

operations and licensed or certified to practice public accounting in the State of California; 

(b) include an opinion, qualified or unqualified, or if appropriate, disclaim an opinion 

on the financial statements taken as a whole in accordance with standards of the accounting 

profession established by rules and regulations of the California State Council of Accountancy 

and the American Institute of Certified Public Accountants; 

(c) disclose whether the accounts, records and control procedures maintained by the 

Gaming Operation conform with this Code and the Rules; and 

(d) provide a review of the internal financial controls of the audited Gaming 

Operation to disclose any deviation fiom the requirements of this Code and the Rules and report 

such findings to the Commission and the management of the audited Gaming Operations; and 

(e)provide such other information as the Commission deems necessary or appropriate. 

Section 8.03Conduct of Audit. 

(a)The Commission shall cause to be conducted annually an independent audit of 

Gaming Operations and shall submit the resulting audit reports to the NIGC. 

(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 described in 

Section 8.03(a). 

(c) any other information the Commission deems necessary or appropriate. 

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Section 8.04Prohibition Against Embezzlement. Any delay or action of any kind which, in the 

opinion of the Commission, is effectuated by any Licensee to unlawfully or improperly divert 

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

disciplinary action against that Licensee. If the Commission finds an unlawhl diversion was 

attempted, it may sanction the Licensee, report the matter to appropriate law enforcement and 

gaming regulatory agencies for mher action and take such other action as it deems necessary or 

appropriate. Sanctions may include the imposition of fines, and/or the revocation, suspension, 

or limitation of, or rehsal to renew, any License. 

Section 8.05Non-Compliance. Failure to comply with any of the requirements of this Chapter, 

or the Rules promulgated hereunder may be found to constitute a violation of this Code. 

CHAPTER IX 

EXCLUSION OR 

REJECTION OF INDIVIDUALS 

Section 9.01Prohibition Against Certain Individuals. It shall be a violation of this Code for 

any Licensee to knowingly fail to exclude or eject from a Gaming Establishment any individual 

who: 

(a) is visibly under the influence of liquor, a drug or other intoxicating substance; 

(b) is under the age of eighteen years; 

(c) is displaying disorderly conduct; 

(d)is a known felon; 

(e) is known to have a reputation for cheating or manipulation of games; or 

(ohas been personally excluded, or is a member of any group or type of persons 

which has been excluded, for cause from Gaming Establishments by a resolution of the 

Commission. 

Section 9.02Right to Exclude or Remove. If the Commission deems it in the best interest of 

the Tribe, the Commission may exclude or remove any persons f?om the premises of any 

Gaming Operation. Any person so excluded shall be entitled to a hearing as provided for by 

Chapter 6 and shall have the rights provided to an "Applicant" therein. The Manager of any 

Gaming Operation shall also have the authority to exclude or remove any person fiom the 

Gaming Establishment, and all such actions shall be reported to the Commission within 24 

hours; the Commission may then ratifl, reverse or condition the decision of the Manager. 

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CHAPTER X 

PROHIBITED ACTS 

Section 10.01Prohibited Acts. In addition to other civil and criminal acts that may be regulated 

or prohibited by this Code, the Compact, other Tribal law or applicable federal law, the 

following shall constitute prohibited activities and unauthorized Gaming under this Code and 

shall subject any perpetrator to Commission action, including, but not limited to, the imposition 

of civil penalties, referral to appropriate law enforcement authorities for criminal proceedings, 

and License suspension or revocation: 

(a) altering or misrepresenting the outcome of Gaming or other event on which 

wagers have been made after the outcome of such Gaming or event has been determined but 

before such outcome is revealed to the players; 

(b) placing or increasing a bet or wager after acquiring knowledge of the outcome of 

the Gaming or event which is the subject of the bet or wager, including past-posting and pressing 

bets; 

(c) aiding anyone in acquiring such knowledge referred to in subsection (b) of this 

Section for the purposes of increasing or decreasing any bet or wager, or for the purpose of 

determining the course of play; 

(d) claiming, collecting or taking, or attempting to claim, collect or take, money or 

anything of value in or fiom a game with intent to defiaud or claiming, collecting or taking an 

amount greater than the amount actually won in such game; 

(e) knowingly to entice or induce another to go to any place where Gaming is 

conducted or operated in violation of the provisions of this Code, with the intent that the other 

person play or participate in such Gaming; 

(0 reducing the amount wagered or canceling a wager after acquiring knowledge of 

the outcome of the game or other event which is the subject of the bet or wager, including 

pinching bets; 

(g) manipulating, with intent to cheat or dehud, any component or part of a game in 

a manner contrary to the designed and normal operational purpose for such component or part, 

with knowledge that such manipulation will affect the outcome of the game, or with knowledge 

of any event that affects the outcome of the game; 

(h)defiauding the Tribe, any Licensee or any participant in any Gaming; 

(i)participating in any Gaming not authorized by this Code; 

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(j)knowingly providing false information or making any false statement with respect 

36 
Title 400 - Tribal Gaming Code 

to an application for employment or for any License, certification or determination provided for 

in this Code; 

(k)knowingly providing false or misleading information or making any false or 

misleading statement to the Tribe, the Commission or the Gaming Monitor in connection with 

any contract for services or property related to Gaming; 

(1)knowingly making any false or misleading statement in response to any official 

inquiry by the Commission or its agents; 

(m)offering or attempting to offer any thing of value, to a Licensee in an attempt to 

induce the Licensee to act or refrain fiom acting in a manner contrary to the official duties of the 

Licensee under this Code, the Rules, or IGRA; 

(n)acceptance by a Licensee of any thing of value with the expectation that receipt of 

such thing of value is intended, or may be perceived as intended, to induce the Licensee to act or 

refrain fiom acting, in a manner contrary to the official duties of the Licensee under this Code, 

the Rules, or IGRA; 

(o)falsifying, destroying, erasing or altering any books, computer data, records, or 

other information relating to a Gaming Operation; 

(p)taking any action which interferes with or prevents the Commission or the Council 

fiom hlfilling its duties and responsibilities under this Code, the Rules, or IGRA; and 

(q) entering into any contract, or making payment on any contract for the delivery of 

goods or services to a Gaming Operation, when such contract fails to provide for or result in the 

delivery of goods or services of fair value for the payment made or contemplated. 

Section 10.02 Prohibition Against Electronic Aids. Except as specifically permitted by the 

Gaming Monitor, with approval of the Commission, no person shall possess, with the intent to 

use in connection with Gaming, either individually, or in concert with others, any calculator, 

computer, or other electronic or mechanical device to assist in projecting the outcome or odds of 

such Gaming, to keep track of or analyze cards, or to change probabilities of any game or the 

playing strategies regularly utilized in such Gaming. 

CHAPTER XI 

NATIONAL INDIAN GAMING COMMISSION 

AND COMPACT 

Section 11.01Ntltional Indian gamin^ Commission - Regulation. Notwithstanding any 

provision in this Code or the Rules, the Commission is hereby filly empowered to comply with 

all regulations promulgated by the NIGC, including, but not limited to, reporting requirements 

relating to Codes, contracts, license applications, background checks, and other information. 

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Section 11.02National Indian Gaming Commission-Assessment. Notwithstanding any 

provision in this Code or the Rules, the Commission is hereby fully empowered to comply with 

all assessments authorized by the NIGC. Such assessments shall be payable solely fiom knds of 

the Tribe derived fiom Gaming Operation revenues. 

Section 11.03 Compact with the State of California. Notwithstanding any provision in this 

Code or the Rules, the Commission is hereby hlly empowered to comply with the provisions the 

Compact, including, but not limited to, any licensing, approval, or monitoring requirements 

contained in the Compact. 

CHAPTER XI1 

GENERAL REQUIREMENTS 

Section 12.01Securitv and Surveillance. Each Gaming Establishment must provide for 

reasonable security within the Gaming Establishment at all times. All security personnel in a 

Gaming Establishment must be licensed by the Commission. The security and surveillance 

departments of any Gaming Operation must be separate and distinct departments. Such 

departments shall only interact when necessary to cany out their official duties. 

Section 12.02Compliance with Other Laws. The construction, maintenance and operation of 

any Gaming Operation shall be in a manner which protects the environment, public health and 

safety, and shall comply with all applicable Tribal and federal laws relating to environmental 

protection and public health and safety including, but not limited to, 25 C.F.R. §522.4(b)(7). 

Section 12.03Amendments. All provisions of this Code are subject to amendment by the 

Council. All Rules promulgated by the Commission are subject to proper revision, repeal, or 

amendment by the Commission. All amendments to this Code shall be effective upon the date of 

passage by the Council. 

Section 12.04Severabilit-y. If any provision any of this Code, or any portion of any provision to 

this Code, is found to be invalid by any court of competent jurisdiction, the hll remainder of 

such provision(s) shall not be affected. 

Section 12.05Words and Terms. Tense, number and gender. In interpreting the provisions of 

this Code, save when otherwise plainly declared or clearly apparent &om the context: 

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

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

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

singular. 

Section 12.06Repeal. To the extent that they are inconsistent with this Code, all prior gaming 

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laws, rules, Codes or regulations of the Tribe are hereby repealed. 

Section 12.07Unclaimed Winnings. 

(a)Any winnings, whether property or cash, which are due and payable to a 

participant in any Gaming Activity, and which remain unclaimed at the end of a Gaming session, 

shall be held in safekeeping for the benefit of such participant if his or her identity is known. 

Such winnings shall be held for twelve months or such longer period as the Commission deems 

reasonable in consideration of all relevant facts and circumstances. The Commission shall make 

such efforts as are reasonable under the circumstances to locate such participant. At the end of 

the safekeeping period, such winnings shall revert to the ownership of the Tribe and shall be 

transferred to the account or place designated by the Council. 

(b)In the event the identity of a participant entitled to unclaimed winnings is 

unknown, the Commission shall use its best efforts to learn the identity of such individual and 

shall follow the procedure set forth in Section 12.08 if the Commission is able to identify such 

individual with reasonable certainty; provided, however, if after six months from the time the 

winnings were payable, the Commission has been unable to identifjl the individual entitled 

thereto, such winnings shall revert to the ownership of the Tribe. 

Section 12.08Patron Disputes. Any Person who has any dispute, disagreement or other 

grievance with the Gaming Operation that involves currency, tokens, coins, or any other thing of 

value, may seek resolution of such dispute from the following persons and in the following 

order: (a) a member of the staff relevant of the Gaming Operation, (b) the supervisor in the area 

of the relevant Gaming Operation in which the dispute arose, (c) the manager of the relevant 

Gaming Operation, and (d) the Commission. 

Section 12.09Patron Ri~hts Re~ardin~ Disputes. When a Person brings a dispute for 

resolution pursuant to Section 12.10, the complainant has the right to explain his or her side of 

the dispute, and to present witnesses in connection with any factual allegations. At each level, if 

the dispute remains unresolved, the complainant shall be informed of the right to take the dispute 

to the next higher level as set forth in Section 12.10. Resolution of any dispute by the personnel 

of a Gaming Operation shall always involve two or more staff members. All disputes, whether 

resolved or not, shall be reported in detail by the staff persons involved to their supervisor, or, in 

the case of the general manager of the Gaming Operation, to the Commission. 

Section 12.10Gaming Commission Action on Patron Disputes. All disputes which are 

submitted to the Gaming Commission shall be decided by the Commission based on information 

provided by the complainant, including any witnesses for, or documents provided by or for, the 

complainant. The decision of the Commission shall be in writing, shall be issued within fourteen 

(14) days of submission ofthe matter to the Commission, and shall be provided to the general 

manager of the Gaming Operation and to the complainant. 

Section 12.11 Agent for Service of Process. The Council Chair shall be designated agent for 

service of process for the Cuyapaipe Community of Diegueno Mission Indians of the Cuyapaipe 

Reservation, California. The Chair shall promptly report any such service to the Commission, 

and shall promptly provide the Commission with a copy of any complaints or other documents 

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Title 400 - Tribal Gaming Code 

served. 

Section 12.12Consent to Jurisdiction. Any person who applies for a License under this Code, 

applies for employment in any Gaming Establishment, enters into any contract or agreement 

related to Gaming, or participates in any Gaming on the Reservation, shall be deemed to consent 

to the civil jurisdiction of the Tribe, the Commission and the Tribal Court. Nothing in this 

Section shall limit the jurisdiction of the Tribe, the Commission or the Tribal Court under any 

circumstances not explicitly contemplated in the Section. 

Section 12.13.Comity and Concurrent Jurisdiction. The Commission is empowered to seek 

comity and enforcement of the orders of the Commission by the courts of any other jurisdiction 

whose assistance may be required to give effect to the orders of the Commission. The 

Commission is also empowered to issue orders to enforce the lawhl orders of other gaming 

regulatory agencies and the courts of foreign jurisdictions. 

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