By First Class Mail 

Ms. Kerry Patterson 

Counsel to Jamul Indian Village 

Lewis Roca Rothgerbcr LLP 

20 I E. Washington Street, Suite 1200 

Phoenix, AZ 85004-2595 

February 11, 20 16 

Re: Jamul Indian Village Gaming Ordinance Amendment, Resolution 2015-43 

Dear Ms. Patterson: 

This Jetter responds to your request, 011 behalf of the Jamul Indian Village ("Village"), for the 

National Indian Gaming Commission Chairman to review and approve an amendment to the Village's 

gaming ordinance. The amendment modifies the qualifications necessary to serve on the Village's 

Gaming Commission by empowering the Executive Committee to waive the listed qualifications as they 

pertain to certain candidates "on a case-by-case basis as deemed appropriate and necessary." 

Thank you for bringing the amendment to our attention. The amendment is approved as it is 

consistent with the requirements of the Indian Gaming Regulatory Act and the NlGC's regulations. If you 

have any questions, please feel free to contact Staff Attorney Andrew Mendoza at 202-632-7003. 

Sincerely, 

Jonodev 0. Chaudhuri 

Chairman 

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail Stop# 1621 Wasliinglon, DC 20240 Tel: 202.632.7003 fox: 202.632.7066 

REGIONAL OHICES Porlland, OR; Sacramento, CA; Phoenix, AZ; St. Poul, MN; Tulsa OK; O klahoma City, OK 

WWW.NIOC.OOV 
FIRST AMENDMENT TO JAMUL INDIAN VILLAGE 

AMENDED GAMING ORDINANCE 

Resolution 2015 - 43 

RESOLUTION OF GENERAL COUNCIL 

TO AMEND JAMUL INDIAN VILLAGE 

AMENDED GAMING ORDINANCE 

WHEREAS, the Jamul Indian Village (the "Tribe") is a federally 

recognized Indian tribe possessing inherent powers of self-government, 

governing itself according to its Constitution duly approved on May 9, 1981 , 

and amended on August 31, 1996; and 

WHEREAS, the General Council of the Jamul Indian Village (the "General 

Council") has the power under Article 8, Section I (h) of the Constitution of 

the Jamul Indian Village to administer Tribal assets and manage all 

economic affairs of the Tribe including the power to adopt this Resolution 

No. 2015-43 (this "Resolution"); and 

WHEREAS, the General Council approved the Jamul Indian Village 

Gaming Ordinance pursuant to Resolution No. 2013-07, dated April 3, 2013 

(the "Gaming Ordinance"); and 

WHEREAS, consistent with the requirements of Indian Gaming Regulatory 

Act ("IGRA") and the National Indian Gaming Commission ("NIGC"), the 

NIGC approved the Gaming Ordinance on July 1, 2013 ; and 

WHEREAS, Section 5.5 (b) of the Gaming Ordinance sets forth the 

qualifications to serve on the Jamul Indian Village Gaming Commission; 

and 

WHEREAS, the General Council desires to amend the Gaming Ordinance 

to allow the qualifications for the Commissioners to be waived as needed 

and determined by the Executive Committee; and 

WHEREAS, the NIGC regulations, 25 C.F.R. Part 522, describe the 

submission and approval requirements for a tribal gaming ordinance under 

IGRA; and 

WHEREAS, the Executive Committee desires to obtain NIGC review and 

approval of this amendment with all due speed; and 

NOW THEREFORE BE IT RESOLVED that the General Council hereby 

approves and adopts the following as Section 5.5(e) of the Gaming 

Ordinance: 
"(e) The Commission qualifications set forth in this Ordinance may be waived on a case-bycase basis as deemed appropriate and necessary by the Executive Committee." 

BE IT FURTHER RESOLVED, the Chairwoman of the Tribe is hereby authorized, 

empowered and instructed (i) to submit this Resolution 2015- 43 (Resolution to Amend Jamul 

Indian Village Amended Gaming Ordinance) to the NIGC pursuant to 25 U.S.C. § 2710, and (ii) 

to take all necessary actions to comply with the NIGC submission requirements; and 

BE IT FURTHER RESOLVED, that the Chairwoman of the Tribe is hereby authorized, 

empowered and instructed to take all actions to facilitate and ease the speedy submission and 

approval of this amendment. 

CERTIFICATION OF SECRETARY-TREASURER 

I, Lisa Cumper, Secretary-Treasurer of the Jamul Indian Village, pursuant to Article 12, 

Section 3 of the Constitution, I hereby certify that the foregoing document Resolution 2015-43 

(Resolution to Amend Jamul Indian Village Amended Gaming Ordinance), and the certification 

following is an exact copy of the document, as it exists in the records of the Tribe. 

Signed this 13th day of December, 2015 

CERTIFICATION BY EXECUTIVE COMMITTEE 

This is to certify that this Resolution 2015- 43 (Resolution to Amend the Jamul Indian Village 

Gaming Ordinance) was adopted by the Jamul General Council at a duly called meeting with a 

quorum present on December 13th, 2015, by a vote of I~· FOR, D OPPOSED, and 

°;i;:F.----·---=--

Erica M. Pinto, Chairwoman 

Jamul Executive Committee 

l&nneth A. Meza, Vice Chairthan 

Jamul Executive Committee 

2 

1 

Michael HUll(r: Council Member 

Jamul Executive Committee 

Christopher Pinto, Council Member 

Jamul Executive Committee 
FIRST AMENDMENT TO JAMUL INDIAN VILLAGE 

AMENDED GAMING ORDINANCE 

Resolution 2015 - 43 

RESOLUTION OF GENERAL COUNCIL 

TO AMEND JAMUL INDIAN VILLAGE 

AMENDED GAMING ORDINANCE 

WHEREAS, the Jamul Indian Village (the "Tribe") is a federally 

recognized Indian tribe possessing inherent powers of self-government, 

governing itself according to its Constitution duly approved on May 9, 1981 , 

and amended on August 31, 1996; and 

WHEREAS, the General Council of the Jamul Indian Village (the "General 

Council") has the power under Article 8, Section I (h) of the Constitution of 

the Jamul Indian Village to administer Tribal assets and manage all 

economic affairs of the Tribe including the power to adopt this Resolution 

No. 2015-43 (this "Resolution"); and 

WHEREAS, the General Council approved the Jamul Indian Village 

Gaming Ordinance pursuant to Resolution No. 2013-07, dated April 3, 2013 

(the "Gaming Ordinance"); and 

WHEREAS, consistent with the requirements of Indian Gaming Regulatory 

Act ("IGRA") and the National Indian Gaming Commission ("NIGC"), the 

NIGC approved the Gaming Ordinance on July 1, 2013 ; and 

WHEREAS, Section 5.5 (b) of the Gaming Ordinance sets forth the 

qualifications to serve on the Jamul Indian Village Gaming Commission; 

and 

WHEREAS, the General Council desires to amend the Gaming Ordinance 

to allow the qualifications for the Commissioners to be waived as needed 

and determined by the Executive Committee; and 

WHEREAS, the NIGC regulations, 25 C.F.R. Part 522, describe the 

submission and approval requirements for a tribal gaming ordinance under 

IGRA; and 

WHEREAS, the Executive Committee desires to obtain NIGC review and 

approval of this amendment with all due speed; and 

NOW THEREFORE BE IT RESOLVED that the General Council hereby 

approves and adopts the following as Section 5.5(e) of the Gaming 

Ordinance: 
"(e) The Commission qualifications set forth in this Ordinance may be waived on a case-bycase basis as deemed appropriate and necessary by the Executive Committee." 

BE IT FURTHER RESOLVED, the Chairwoman of the Tribe is hereby authorized, 

empowered and instructed (i) to submit this Resolution 2015- 43 (Resolution to Amend Jamul 

Indian Village Amended Gaming Ordinance) to the NIGC pursuant to 25 U.S.C. § 2710, and (ii) 

to take all necessary actions to comply with the NIGC submission requirements; and 

BE IT FURTHER RESOLVED, that the Chairwoman of the Tribe is hereby authorized, 

empowered and instructed to take all actions to facilitate and ease the speedy submission and 

approval of this amendment. 

CERTIFICATION OF SECRETARY-TREASURER 

I, Lisa Cumper, Secretary-Treasurer of the Jamul Indian Village, pursuant to Article 12, 

Section 3 of the Constitution, I hereby certify that the foregoing document Resolution 2015-43 

(Resolution to Amend Jamul Indian Village Amended Gaming Ordinance), and the certification 

following is an exact copy of the document, as it exists in the records of the Tribe. 

Signed this 13th day of December, 2015 

CERTIFICATION BY EXECUTIVE COMMITTEE 

This is to certify that this Resolution 2015- 43 (Resolution to Amend the Jamul Indian Village 

Gaming Ordinance) was adopted by the Jamul General Council at a duly called meeting with a 

quorum present on December 13th, 2015, by a vote of I~· FOR, D OPPOSED, and 

°;i;:F.----·---=--

Erica M. Pinto, Chairwoman 

Jamul Executive Committee 

l&nneth A. Meza, Vice Chairthan 

Jamul Executive Committee 

2 

1 

Michael HUll(r: Council Member 

Jamul Executive Committee 

Christopher Pinto, Council Member 

Jamul Executive Committee 
f r 

JAMUL INDIAN 

VILLAGE 

GAMING ORDINANCE 

ORDINANCE 

2013-05 
TABLE OF CONTENTS 

Page 

1. Purpose, Policy and Sole Proprietary Interest ........................................................................ 1 

l .1 Purpose and Policy .................................................................................................. 1 

1.2 Sole Proprietary Interest .......................................................................................... 1 

1.3 Name . ....................................................................................................................... 1 

2. Gan:llng Authorization ............................................................................................................ 1 

2.1 Jurisdiction . ............................................................................................................. 1 

2.2 Cla.ss II and Class Ill Authorization ..................... ................................................... 1 

2.3 Un.authorized or Unapproved Gaming .................................................................... 1 

3. Definitions .............................................................................................................................. 1 

4. Executive Committee: Powers and Dulies ............................................................................. 7 

4.1 Delegati(}n of Duties ................................................................................................ ? 

4.2 Registered Agenr . ..................................................................................................... ? 

5. Jamul Gaining Commission ................................................................................................... ? 

5.1 Establishment and Purpose ...................................................................................... ? 

5 .2 Duration and Attributes . .......................................................................................... 7 

5.3 Sovereign Immunity of the Tribe .............................................................................. ? 

5.4 Assets of the Corrunission ......................................................................................... 8 

5.5 Number of Commissioners; Qualifications; Background Investigation .................. 8 

5.6 Gam1'.ng Commi.\·sion Rackground lnve.Ytigation . .................................................... 8 

5.7 Tenn of Office . ......................................................................................................... 9 

5.8 Bylaws ...................................................................................................................... 9 

5.9 Retnoval .................................................................................................................... 9 

5.10 Vacancies . ................................................................................................................ 9 

5 .11 Duties, Powers and Responsibilities ...................................................................... 10 

5.12 Meetings ................................................................................................................. 11 

5.13 Full-time or Part-time Exdusivity . ........................................................................ 11 

5.14 Reporting Requirements ......................................................................................... 12 

5.15 Compensation and Annual Budget ......................................................................... 12 

5. 16 Garning Commis.'>ion. StuJ.f. ..................................................................................... 12 

5.17 Ethics ...................................................................................................................... 12 

-i-
TABLR OF CONTENTS 

(continued) 

Page 

6. Executive Director ........................................................ ....................................................... 13 

6.1 Qualifications ......................................................................................................... 13 

6.2 Authority of Executive Director ............................................................................. 14 

7. Gaming Personnel ................................................................................................................ 15 

7.1 Age . ........................................................................................................................ 15 

7 .2 Compact and Employment Laws ............................................................................ 15 

8. Files and Records to be Maintained by tile Commission; Confidentiality of Information .. 15 

8.1 Confidentiality of Documents . ............................................................................... 15 

8.2 Scope of Confidentiality ......................................................................................... 15 

9. Gaming Surveillance: Powers, Duties and imitatio~1s ....................................................... 16 

9.1 Purpose . ................................................................................................................. 16 

9.2 Re.,·ponsibilities . ..................................................................................................... 16 

9.3 Surveillan.ce Records . ............................................................................................. 16 

10. Gaming Security: Powers, Dttties and Limitations .............................................................. 16 

10. i Purpose . ................................................................................................................. 16 

10.2 Investigations . ................................................................................................... ..... 17 

10.3 Reports . .................................................................................................................. 17 

l 0 .4 Responsibilities . ..................................................................................................... 17 

11. Licensing of Primary Mnnagement Officials, Key Employees and Gaming Employcc.s .... 17 

11.1 Swrunary of Licensing Principles . ......................................................................... 17 

11.2 Licenses .................................................................................................................. 17 

11.3 Current and Valid Gaming License Requited . ...................................................... 17 

11.4 Application Procedure for Gaming License . ......................................................... 17 

11.5 Non-Key Gaming Employee Licensing ................................................................. .19 

11.6 Qualifications ......................................................................................................... 20 

11 .7 'J''emporary Licensure ......................................................................................... 2Q~ 

l 1.8 Reliance on Previously Issued License .................................................................. 21 

11.9 Investigation ........................................................................................................... 21 

11. JO License Issuance; RenewaJs ................................................................................... 22 

11.11 Badge . ................................................................................................................. nn 

-ii-
TABLE OF CONTl!!NTS 

( conlinue<l) 

Page 

[ 1.12 Suspension or Revocation of License ................................................................. ~ZJ 

l l .13 Temporary Suspension of an Individual's License . ........................................... ;M~ 

11.14 Notice to Executive Committee . ........................................................................ . ~zg 

11. 15 Record of Proceedings ....................................................................................... ~~ 

11.16 Appeals ............................................................................................................... ~~ 

J 1.17 Appeals for Major Gaming Resource Suppliers and Financial Sources ........... ~.2{i 

11.18 Appeals for Manager and Manager's Affiliates . ............................................... UlZ. 

11.19 Arbitration .......................................................................................................... ~2.B, 

11.20 Reconsiderati()n . ................................................................................................ :&&~ 

12. Gan1ing Facility License .................................................................................................. ;68-2'2 

12.1 Compliance with Applicable Standards ....................................... : ..................... ~6,2 

12.2 Licensing Requirement ....................................................................................... ~~ 

12.3 Threshold Licensing Criteria ............................................................................. ~z.2 

12.4 Display of Ganling License ................................................................................ ~"2. 

12.5 License Duration ................................................................................................ ~~ 

12.6 Submission of License to NIGC and State Gaming Agency ............................... ~lQ 

12.7 Notice of Illegal Gaming Activity . ..................................................................... WlQ 

13. Financial Source License ................................................................................................. ;?,9Jil 

13.1 Licensing Process . ............................................................................................. 29-3-Q 

13.2 Exemptions .. , ............. , ........................................................................................ ;69.JQ 

'J 3 .3 Registration for Holders of Tribal Bonds . ......................................................... ~lQ 

13.4 Submission of License to State Gaming Agency . ............................................... ll, 

13.5 Application Form and Procedures ...................................................................... 3{}1J. 

13.6 Financial Source Application Forms and Procedures - lndividual, ................. 16 

13.7 Reliance on Previously Issued License . ............................................................. ;+Jl 

13 .8 Duration; Ren.e'rval Process ............................................................................... ~~ 

.13.9 Dispute Resolution . ............................................................................................ ~J1 

14. Gaming Resource Supplier Lic~nse ................................................................................. ~J,l 

14.1 Licensing Process .............................................................................................. ~~ 

14.2 Sttbmission of License to State Gaming Agency . ............................................... ~;u 

-iii- ~ 16d-:l5J81 lfM 
TABLE OF' CONTENTS 

(continued) 

Page 

14.3 Application Forms and Procedures ................................................................... ~ 

14.4 Exemptions ......................................................................................................... ~Ji 

14.5 Manager Licensing Process ............................................................................... ~14. 

14.6 Reliance on Previously Issued License . ............................................................. ~Ji 

14.7 Duration; Renewal Process ............................................................................... ~~ 

14.8 Dispute Resolution . ............................................................................................ ~,ll 

15. Fees ................................................................................................................................... 34.Jj, 

15 .1 License and Application and Renewal Fees . ..................................................... 34,ll 

16. Entities .............................................................................................................................. 34-J!i 

16.1 Licensing Criteria . ............................................................................................. 34.Jl 

16.2 Institutional Investor .................................................................................... ...... M~ 

17. Gaines ............................................................................................................................... ~~ 

17.l \Vho May Not Play ..... · ........................................................................................ ~l!2 

17 .2 Patron Disputes . ................................................................................................ ~lQ. 

18. Misccllaneous ................................................................................................................... ~l.Q 

18.1 Gaming Rules ..................................................................................................... ~J.Q 

18.2 Use of Net (l&ning Reveriues ............................................................................. ~,l1 

18.3 Minimum Internal Control Standards ................................................................ ~'Jl. 

18.4 Annual Audit . ..................................................................................................... ~Jl 

18.5 Commission Right to Con4uct Audits . ............................................................... ~Jl 

18.6 Gaming Device Technical Standanb1'. ................................................................ J+~ 

18.7 Exclusion or Ejectlon of lndividuals .................................................................. ~ 

18 .8 Emergency Evacuation and Preparedness Plans . ............................................. ~lS, 

18.9 Mino1w ....................................................................................... ......................... ~3-R 

18.10 Severability . ....................................................................................................... ~la 

18.11 Repeal. .............................................................. , ................................................ 3+Jll 

18.12 Arnendments . ...................................................................................................... 3&J2. 

18.13 TJffecttve Date ..................................................................................................... ;&l2 

-tv-
1. Purpose, Policy and Sole Proprietary Interest 

1.1 Purpose and Policy The purpose of this Ordinance is to set forth the laws of the Tdbe 

regarding all Gaming Acdvitics conducted 011 the Tribe's Indian Lnnds. The Ordinance is 

intended to gowm the Gaming Activities of all individuals, employees, consultants, business 

entities, vendors, boards, committees, commissions and admini.strative review bodies on the 

Tribe's Indian Land<i. The purpose of this Ordinance is to ensure that the Gaming Activities 

conducted on the Tribe's Indian Lands are conducted fairly and honestly, and that all internal 

departments, enterprises, officials and employees of tbe Tribe work cooperatively to advance the 

best interests of the Tribe in protecting its Gaming Activities as well as its Patrons. It is the 

intent of the Trihe that tlris Gaming Ordinanee and provisions wilhin shall be interpreted in a 

manner so as to comply with the terms of the Compact, IGRA aiid applicable NIGC regulations. 

1.2 Sole Proprietary Interest. The Tribe sbnll have the sole proprietary interest in and 

responsibility for the conduct of all Gaming Activities authori7.ed by this Ordinance; provided, 

however, that the Tribe may, in accordance wilh IGRA, enter into a management contract for 

management of all of part of th.e Gaming Operation. 

1.3 Name. This Ordinance shall be known as LheJamul fndian Village Ganung Ordinance. 

2. Gaming Authorization 

2.1 Jurisdiction. This Ordinance is applicable to all Iodian Lands Wlder the jurisdiction of 

the Tribe. 

2.2 Class II and Class Ill Authorization. Class TT and Class lil Gamjng are each hereby 

authori2',ed on the Tribe's Indian Lands. 

2.3 Unauthorized or Unapproved Gaming. Class II and Class m Gaming by any individual 

on the Tribe' 8 lndian Lands except as authorized pursuant to this Ordinance is prohibited. 

3. Definitions 

This Section shall govern the definitions of words and phrases used in this Ordinance. All words or 

phrases not defined in this Section are used in their ordinary and eve.ryday sense. 

3.1 Affiliate means, with respccl to any specified Person, any other 'Person who directly or 

indirectly, through one or more intermediaries, controls, is or becomes controlled by, or is or 

comes under common control with the specified Person. For purposes of this definition, 

"control" means the possession, direct or indirect, of the power to direct or cause the direction of 

lhe management and policies of a Person, whether through the ownership of voting securities or 

other interests, by contract, governmental authority or otherwise. 

3.2 !lppUcant means any Person filing an Application for a Gaming License, Gaming Facility 

License, Financial Source Licen:;e or Supplier License pursuant to Sections 11, l 2, 13, and 14 of 

this Ordinance. 

3.3 Application means ruiy appUcation for a Gaming License, Gaming Facility License, 

Financial Source. License, or Supplier License. 
3.4 Bond means any security within the meaning of the Securities Act of L933 (15 U.S.C. § 

77a et seq.) that constitutes an evidence of indebte nes.~ issued pursuant to a trust indenture 

hetween the issuer of the security and a trustee who has a right to enforce the terms of the bonds 

on behalf of all holders of the bonds. 

3.5 Class I Gaming means social games solely for pl'izes of minimal value or traditional 

forms of lndian gaming engaged in by individuals as a part of, or in connection with, Tribal 

ceremonies or celebrations. 

3.6 Class Il Gaming means: 

(a) The game of chance commooly known as bingo (whether or not electronic, 

compuler or other lechnologic aids are used in c01mection therewith) in which: 

(1) The game is played for prizes, including monetary prizes, with cards bearing 

numbers or other designations. 

(2) The holder of the card covers such numbers or designations when objects, 

similarly numbered or designated, are drawn or eleclTonically detennined. 

(3) The game i.s won by the first individual covering a previously designated 

arrangement of numbers or designation on such cards, including (if played in 

the same location) pull-tabs, lotto, punch boards, tip jars, instant bingo and 

other games similar to bingo. 

(b) Card games which: 

(l) Are explicitly authorized by the Jaws of the State; or 

(2) Are not explicitly prohibited by the laws of the St.ale and are played at any 

location in the State, but only if such card games arc played it' conformity 

with those laws and regulations (if any) of the Stale regarding hours or 

periods or operation of such card games or limitations on wagers or pot .si:r.es 

i.t1 such card games. Class II Gaming does nol include any banking card 

games, including baccarat, chemin de fer, or blackjack (twenty-one), or 

electronic or ectro-tn~hanical 1'a.csimile."1 of any game of chance or slot 

machines of any kind. 

3.7 Class llI Gaming means all forms of Gaming that are not Class I or Class II. 

3.8 Commission meaus the Jamnl Gaming Commission as established by this Ordinance. 

3.9 Conmiissioner uteani> a dl.lly appointed member of the Jamul Gaming Commission. 

3. f 0 Compact means the Gaming compact between the Tribe ai1d the State of Ca1ifornia 

including all subsequent amendments thereto, authorized by TGRA or other applicable law. 

3.11 Compliance Certificate means a ce1tificnte issued by a qualified building and safely 

expert which states that the conslruction of the Gaming Facility complies with the Tribe's 

applicable building and safety codes. 

2 ~l518J16 l 
3. 12 Definitive Agreement means any contract or irnstrumenl between the Tribe and the 

Manager or its Affiliates which is not a Management Agreement. 

3. 13 Executive Committee means the ulecled governing body of the Tribe exercising authority 

pursuant to Article 8, Section l(h) of th~ Constitution of the Jamul Indian Village. 

3 .14 Financial Source means a Per sou extending or guaranteeing financing, directly or 

indirectly, for Ute purpose of constructing, developing, maintaining, equipping, or operating the 

Gaming Facility or G,uning Operation. 

3. 15 Fir:ancial Source LJcense means the permit granted by the Commission to a Financial 

Source. 

3.16 Games, Gaming, or Gaming Activity means any activity, operation, or game of chance 

which is conside1'ed Class II or Class UI Gaming. 

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

3.18 Gaming Employee means <my individual who (a) operates, maint.'\ins, repairs, assists in 

any Gaming Activity, or is in any way responsible for supervising any such Gaming Activity or 

indi-Yiduals who conduct, operate, account for, or supervise any such Gaming Activity, (b) i.s an 

employee of the Commission with access to confidential info11nation, or (c) is an individual 

whose employment duties require or aulhorize access to areas of the Gaming Facility that are not 

open to the public. 

3.19 Gaming Equipment means any device, machine, paraphemalia, or equipment that .is used 

or usable in the playing phases of any Gaming Activity, whether or not specifically designed for 

that purpose, but excluding tables and chairs normally used in the occupancy of a Gaming 

Facility. 

3.20 Gaming Facility mean:s any building on the Tribe's Indian Lands in which Gaming 

Activitie.~ or Gaming operations occur, or in which the nosiness records, receipts, or other funds 

of the Gaming Operation are rnaintuined (but excluding offsite facilities pri111urily dedicated to 

storage of those records, and financial institutions), and all rooms, buildings, and areas, including 

parking lots and walkways, a principal purpose of which is to serve the activities of the Gaming 

Operacion. 

3.21 Gaming Facility Li.cense means the otlicial and revocable permission granted by the 

Commission to the Gaming Facility allowing the conduct of Gaming. 

3.22 Gaming License means the official and revocable permission granted by th~ Commiss1on 

to an Applicimt in order to he a Primary Mnnagement Official, Key Employee, or Gaming 

Employee. Nothing herein shall create a property interest in lhe issuance or retention of a 

Gaming License. 

3.23 Gaming Operation means the Tribe's business enterprise that offers and operates Gaming 

Activities. 

3.24 Gamin~ Personnel means any individual employed by the Gaming Operation. 

3 
3.25 Gaming Resoiwces means any goods or services provided or used in connection with 

Gaming Activities, whethe1· exclusively or otherwise, including, but not limited to, equipment, 

furniture, gambling devices and ancillary equipment, implements of Gaming Activities such ac; 

playing ~ants and dice, furniture designed primarily for Gaming Activities, ntaintenance or 

security equipment and services, and Class Ill Gaming consulting servjces. "Gaming Resources" 

does not include professional accounting and legal services. 

3.26 Gaming Resource Supplier means any Person who, directly or indirectly, manufactures, 

distributes, supplies, vends, leases, or otherwise purveys Gaming Resources to the Gaming 

Operation or Gaming Facility, provided that the definition of Gaming R~suurce Supplier does not 

include a purveyor of equipment or furniture that is not specifically des1gned for, and is 

distributed generally for use other than in connection with, Gaming Activities, if the purveyor is 

not otherwise a Gaming Re~ource Supplier, the compensation received by the purveyor is not 

grossly disproportionate to the value of the goods or services provided, and the purveyor is not 

otherwise a person who exercises a significant influence over tl1e Gambling Operation. 

3.27 /1'Lcident means an accident, ev~nt or omission involving any individual on the premises 

of the Gaming facility which resulls in injury, damaglj to property, loss of revenue or any 

unusual interrupLion in the conduct of any OaJne. 

3.28 Indian Gaming Regulatory Act or IGRA means Public Law 100- 497, 102 Stat. 2426, 25 

U.S.C. § 2701, et seq., as amended. 

3.29 lndi.an Lands means all hmds within the exterior boundaries of the re11ervation of the 

Tribe and any lands title to whjch is either held in tnrnt by the United Star.es for the henefit of the 

Tribe or individual or held hy the Tribe or individual subject to restriction by the United States 

against alien at.ion and over which the Tri be exercjscs go vcrnmen tal power. 

3 .30 Institutional lnve~·wr means any: 

(a) bank as defined in Section 3(a)(6) of the Federal Securities Exchange Act; 

(h) banking, chartered, or liceosed lending institution; 

(c) insunmce company as defined in Section 2(a)(17) of t.hc Investment Company Act of 1940, 

as nmende<l; 

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

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

amended; 

(1) investment advisor registered under Section 203 of the Tnvestme11t Advisors Act of 1940, as 

amended; 

(g) collective trust funds as defined in Section 3(c)(ll) of the Investment Company Acl of 1940, 

as a.mended; 

(h) closed end investment tro~1; 

4 ">l&+IM35181!6,l 
(i) employee benefit plan or pension fund that is subject tu the Employee Retirement Income 

Security Act of 1974, as amended; 

(j) a state or federal government pension plan; or 

(k) such other Person that the Commission determines is an Institutional Investor; 

that acquires voting or nonvoting units in the ordinary course of its investment business and 

holds those units for investment purposes only and not for the purpose of causing, directly or 

indirectly, the election of a majority of the board of directors or any change in the corporate 

chiuter, bylaws, management, policies, or operalions of the business entity in which it holds 

those securities. 

3.31 Jctmul Tribal Court means the Intertribal Court of Southern California or such other court 

as may be designated by the Executive Committee. 

3.32 Key Employee means an individual employed by the Ganring Operation in u supervisory 

capacity or empowered lo make discretionary decisions who regulate gambling operations, 

including, without limilation: 

(a) Pit bosses; 

(b) Shift bosses; 

(c) Credit executives; 

(d) Cashier operations supervisors; 

(e) Gambling operation managers and assistant managers; or 

(f) Managers or supervisors of security employees. 

(g) Bingo caller; 

(h) Custu<lian of Gaming .supplies or cash; 

(i) Floor manager~ 

(j) Dealer; 

(k) Croupier; 

(!) Custodian of Gaming Devices, including individuals with access to cash and/or llCC<ltmting 

records within such Gaming Devices; 

(m) If not otherwise include.d in Section 3.32(a)-(1), any other individual whose total cash 

compensation is in excess of fifty thousand dollm-s ($50,000) per year; or 

(n) Tf not otherwise included in Section 3.32(a)-(rn), the four most highly compensated 

employees of the Gaming Operation. 

5 
3.33 License shall mean a Gaming License, Gaming Facility License, Financia1 Source 

License or Supplier License issued pursuant to the provisions of this Ordinance. 

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

3.35 Major Gaming Resource Supplier means any Gaming Resource Supplier who provides in 

excess of $500,000.00 of equipment, goods, supplies or services to the Gaming Operation or 

Gaming Facility in any consecutive twelve month period. 

3.36 Management Agreement means an NIGC approved contract between the Tribe and a 

Manager that provides for management of all or part of the Gaming Operation. 

3.37 Manager means any Gaming Resource Supplier with whom lhe Tribe has entered into a 

Management Agreement. 

3.38 Net revenue.s means gross Gaming revenues of the Gaming Operatio11 less (a) amounts 

paid out as, or paid for, prizes, and (b) total Gaming-related operating expenses, including all 

those expenses of the Gaming Op"ration commonly known as operating expenses and nonoperaling expenses consistent with professional accounting pronouncements, excluding 

management fees. 

339 NIGC means the National Indian Gaming Commission. 

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

3.41 Ordinance means the Janml lndian Village Gaming Ordinance, as il may from time to 

time be an1ended. 

3.42 Patron means any individual who participates as a player in Gaming Activity at the 

Gaming Facility. 

3.43 Persori means any person or entity, wl1ether a natural person, trustee, corporation, general 

partnership, llmit.ed partnership, limited liability company, Limited Hability partnership, trust, 

estute, husine.ss association, Indian tribe (including the Tribe), commission, instmmentality, finn, 

joint venr.ure, governmental authority, Affiliate of the Tribe, or otherwise. 

3.44 Primary Management Official means: 

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

(b) Any individual who has authority to (i) hire and fire Key omployccs, or (ii) to set 

operations policy for the Gaming Operation, including employment policies; or 

(c) The ctlief financial officer or other individual who hai; financial management 

respunsib ili ty. 

3.45 Providers of Nrm-Gaming Services means a Gaming Resource Supplier that does not 

provide Gaming Equipme11l or i;ervic.:es direct! y related to Gaming Activities. Providers of NonGaming Services provide goods or services to the Gaming Facility including, but not limited to 

equipment., transportation, food, linens, janitorial supplies, and maintenance or security services. 

6 ~Sl~3518116.l 
3.46 ReguliJtion means a Gaming regulation adopted by the: Commission in accordance with 

the terms of this Ordinance. 

3.47 Related Person means an ofTicer, director, shareholder (if the shareholder directly holds 

more th.an 5% of lht= outstanding shares), manager, or memher of the 1'.fanager or the Manager)s 

Affiliates. 

3.48 Senior Gaming Management means the Gaming Operation's general manager, assistant 

general managers, Gaming directors and assistant Gaming directors. 

3.49 State means the State of CaJifornia. 

3.50 State Gaming Agency means the entities authorized to investigate, approve, and regulate 

gaming licenses pursuant to the Gambling Control Act (Chapter 5, commencing wic.h Section 

19800) of Division 8 of the California Business and Professions Code, and includes, but is not 

limited to, the Califomia Gambling Control Commission. 

3.51 Supplier Lic:m:Je means the permit granted hy the Commission to a Gaming Re.source 

Supplier. 

3 .52 Tribal means of or pertaining to the Tribe. 

3.53 Tribe means the Jarnul Indian Village. 

4. RxecutJvc Committee: Powers and Duties 

4.1 Delegation of Duties. The Executive Committee delegates certain duties and 

responsibilities to the Commission under Section 5 of this Ordinance. 

4 .2 Registered Agen.t. The Chairper.1;011 of the Tribe shall he the designated and tegistered 

agent to receive notice of violations, order!;, or detem1foations which· are 1ssued pursuant to 

IGRA ur the Compa\;t. 

5. Jamul Gaming Commission 

5 .1 Establishment and Purpose. There sl1all be a Commission whose purpose is to exercise 

the delegated authority and responsibilitie.~ enumerated in this Ordinance. The Commission shall 

be primarily responsible for carrying out the Tribe's regulatory responsibilities under TGRA and 

this Ordinance. lt is the responsibility of the Conunission to conduct on-site regulation of the 

Gaming Operation in order tu enforce the terms ot'the Compact, TORA and this Ordinance. 

5.2 Duration and Attributes. The Commis.~ion shall have perpetual existence and succession 

in its own name. unless dissolved Dnder Tribal law. The Tribe resel'ves unto itself the right to 

bdng suit against any Person in it~ own right, on behalf of the Tribe, or on behalf of the 

Co111missiun, whenever the Tribe considers it necessary to protect the sovereignty, rights, Wld 

interests of the Tribe or the Commission. 

5.3 Sovereign immunity 1~{ the Tribe. The Commission irrevocably waives its right to assert 

sovereign immunity in connection with any of the following proceedings or situations: (a) an 

administrative hearing or arbitration contemplated under this Ordinance; (b) a.~ an objection or 

7 
defense to an arbitration panel's jmisdiction contemplated pursuant to Section 11.19 of this 

Ordinance; ( c) in any action (I) to enforce an oh ligation to arbitrate in the manner provided 

within this Ordinance, or (2) to confirm, correct, modify, or vacate the arbitral award rendered in 

an arbitration prnvided for in Sections 11.17, 11.18 and 11.19 of this Ordinance; (d) to enforce 

or execute a judgment based upon the arbitra! award issued pursuant to Sections 11.17, 11.18 and 

11.19 of this Ordinance; or (c) in any appeal to the Jamul Tribal Cou1t and any courts to which 

the decisions of the fomul Tribal Court may be appealed 

5.4 Assets of the Commission. The Commission shall have only those assets specifically 

assigned to it by the Tribe or acquired in its name by the Tribe. No activity of the Conunission 

shall implicate or involve assets of Tribal members or the Tribe which are nol as.signed to the 

Commission in wriling. Nothing in this Ordinance or any activity of the Commission shall 

implicale or in any way involve the credit of the Tribe. 

5 .5 Number of Commissioners; Qualifications; Background lllvestigaJion. 

(a) Number of Commissioners. The Commission shall be comprised of three 

Commissioners appointed by a majorily vote of the Executive Committee. There 

shall be among them a Chairperoon, a Vice-Chairperson and one other 

Commissioner. 

(h) Qualifications. To serve on the Commission, an individual: 

(1) Must be; an enrolled mcmb~r of the Tribe; 

(2) Must he at least 21. years of age; and 

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

of the Commission. 

(c) The following individuals may not serve as Commissioners: 

(l) Gaming Personnel; 

(2) Individuals related to any Financial Source or Ga.ming Resource Supplier 

(including any principal thereof); 

(3) Individuals that would not qualify for a tribal gaming license; and 

(4) Members oftbe Executive Committee. 

(cl) The Commi~si.oner qualifications set forth in this Ordinance may be modified by 

the Executive Conuniuee if a vacancy persists on the Commission for more than 

three months due to a lack of qualified applicants. 

5.6 Gaming Commissirm Background Investigation. All Commissioners shall submit to a 

thorough hac.k.grouncl investigation conducted by the Executive Committee, or its designee. 

Members of the Commission may not participate in matters relating to their background 

investigation. All candidates shall disclose all current or possible conflicts of inlerest as part of 

8 ~ll6.+3 51W ,3 
such backgruuml inve.11tigation. No individual shall be eligibJe for appointment to, or continue 

services on, the Commission, if: 

(a) He or she has been convicted of, or entered a plea of guilty or nolo contendere to 

any of the following offenses and the conviction has not been pai·done<l by the 

Tribe or otherwi.se removed from the record by executive pardon or 1>1ate court 

order: 

(1) A felony; 

(2) Any offense involving fraud or misrepresentation; 

(3) Any gaming related offense, including a violation of the provisions of any 

state gaming law made applicable to the Tribe pursuant to federal law or the 

Compact; or 

(b) His or her prior activities, criminal record, or reputation, habits, or associations 

pose a threat to the public interest, threaten the effective opemtion of Gaming, or 

enhance the dangers of unsuitable, unfair, or illegal practices, methods, or activities 

in the conduct of Gaming; or 

(c) He or she has a present interest in the conduct of any Gaming enterprise (other than 

in the Gaming Operation by vi1tue or his or her membership in the Tribe), or in any 

business which provides goods or services to the Gaming Facility or Gaming 

Operation, or he or she has any personal, business. or legal relationship which 

places him or her in a conflict of interest; or 

(d) He 01· she has been convicted of a crime involving theft, fraud, or conversion. 

5.7 Term of Office. After enactment of this Ordinance, the Executive Committee shall 

appoint the Chairperson of the Commission for an initial term of four yeai·s. After receiving 

recommendations from the Commission Chairperson, lhe Executi v~ Committee shall appoint the 

remaining members of the Commission. Appointments of the Commissioners shall be for a 

period of four years. Except that, for purposes of U1e terms Qf the initial Commission members, 

one shall be appointed for four years, and the remainder shall be appointed for two years, which 

shall result in staggered appointments an<l provide continuity on the Commission. The 

Commissioners may be reappointed for successive tenns. 

5.8 Bylaws. The Commission shall adopt bylaws approved by the Executive Committee 

consistent with Tribal law. 

5.9 Removal. Commissioners shall serve at the pleasure of the Executive Committee and 

may be removed from office before the expiration of their terms by a majority vote of the 

Executi.ve Committee. 

5.10 Vacancies. If lilly Commissioner shall die, resign, be removed, or otherwise be nnablc to 

serve, the Executive Committee shall declare his or her position vacant and shall appoint a 

successor to fill the position. The Lenn of offo.:e of any individual so appointed shall be for the 

balance of the unexpired term for su(;h position. 

9 
5.1 l Duties, Powers and Responsibilities. The Commission shall perform all duties, exercise 

all powers, promulgate alJ Regulations, assume and discharge all responsibilitieli and carry out 

and affect all purposes of this Ordinance relating to the regulation of the Gaming Operation. In 

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

fairness of the Ganring Operation and administration of all Gaming Activity. No Commissioner 

shall act independently of the Commission. Any such acts may be grounds for removal Subject 

to any restrictions contai11ed in this Ordinance or in any other applicable law, the Commission is 

authorized to exercise, by majority vote or by delegation to the Executive Director, the following 

responsibilities: 

(a) 'fo drafl internal Commission bylaws and operating procedures appropriate to 

implement the provisions of this Ordinance, including conflicts of interest, codes of 

conduct and operating procedures that identify the method by which the 

Commission will monitor and inve.~tigate compliance with applicable Gaming laws; 

(b) To consult with and make recommendations to the Executive Committee regarding 

changes in Tribal Gaming laws and Regulations; 

(c) To correspond with the NIGC regarding compliance with the rules and regulations 

of that agency. The Commission shall coordinate with the Executive Committee 

regarding correspondence with the NlGC on any matter; 

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

(e) To prepare proposals, including budgetary and monetary proposals, tbe purpose of 

which is to enable Lbe 'rribe to carry out the purpose and intent of this Ordfoance, 

and lo submit the same for consideration by the Executive Committee; provided, 

however, thaL no such proposal shall bave any force or effect unless it is approved 

by the Executive Committee; 

(f) To enforce the requirements of this Ordinance and the Compact with respect to the 

Gaming Operation and t<acilily; 

(g) To monitor and investigate the plaue of business, equipment, facilities, tangible 

personal property, and the books, records, papers, vouchers, accounts, documents, 

and financial statements of the Gaming Operation, including the inspection of 

Gaming Equipment and any premises where Gaming Equipmenl is distributed, 

provided that all monitoring and investigations must be conducted pursuant to 

policies and proceduros adopted in conformance with Tribal Jaw and that all 

monitoring ru1d investigations are for the purpose of determining compliance with 

applicable Grun.ing Jaws; 

(h) To <lraft and implement lkensing procedures, including the establishment and 

imposition of licern;ing fees, for all Primary Management Officials, Key 

Employees, Gaming Employees, Financial Sources, and Gaming Resource 

Suppliers; 

(i) To approve or disapprnve the Gaming License of any Applicant; 

10 
(j) To suspend 01· revoke any Gaming License consistent with this Ordinance; 

(k) To develop procedures for the establishmenl antl maintenance of a list of 

individuals banned from the Gaming Facilicy; 

(1) To approve the rules, Regulations and procedures for each Grune; 

(m) To approve the Gaming OperaLion's surveillance floor plan; 

(n) To conduct administrative reviews pursuant to this Ordinance; 

(o) To license Gaming Facilities pursuant to this Ordinance; 

(p) To arrange for the training of Commissioners and staff members; 

(q) To act as the designated agent to receive all regulatory notices, other than those 

notices addressed in Section 4.2 of this Ordinance; 

(r) To ensure that all Gaming Activity ii; conducted honestly and fairly; 

(s) To ensure that the Gaming Facility is constructed in a manner that adequately 

protects the environment and the public health and safety; 

(t) To issue subpoenas and compel the attendance of witnesses for regulatory 

proceedings before the Commission; 

(u) To administer oaths and to require testimony under oath before the Commission; 

(v) To impose fines, up to $5,000 for each violation of this Ordinance, with each day 

that a violation continues being a separate violation and subject to a conunensurate 

fine; and 

(w) To seize tmy money received or obtained by a Patron in violation of this Ordinance 

pending a civil forfeiture of such seizure. 

The Commission shall not have jurisdiction over, or authority to hear or adjudicate, any claim by 

or against the Manager or it.~ Affiliates for hreach or alleged breach of a Management Agreement 

or Definitive. Agreement. 

5.12 Me etings. Meetings of the Commission shall be held at lea~r once each month and 

additionally as dfrected by the Chairperson of the Commission. Additional meetings shall be 

held if requested by the Chairperson or by at least two other Commissioners. .~foetings may he 

called at any time, hy any means, with unanimous consent of the Commissioners. 

5.13 FuU-tim£ or Part-time l!.);clusivity. The Commission shall identify the appropriate work 

schedule for its members and employees. Each Commissioner and the Executive f>irector shall 

pc1form his OJ her duties and responsibilities on a full-time or part-time basis, as detennined by 

the Commission, and will not, during his or her tenure in office, be engaged in any other 

profession or business activity that may impede the Commissioner or Executive Director's ability 

to pe1fonn duties on behalf of the Commission or that competes with the Tribe's interests. 

11 ;!518116.135181 16.3 
5.14 Reporting Requirements. The Commission shall adhere to the following reporting 

requirements: 

(a) Tbe Commission shall meet with the Executive Committee upon request, and no 

less than quarcerly. 

(b) Minutes of all Commission meetings shall be filed with the Secretary of the 

Executive Committee within thirty days of their approval. 

(c) Summary report$ of all matters pertaining to the business of the Commission shall 

be provided to the Executive Committee. 

5.15 Compensation and A1uiual Budget. The Executive Committee shall determine 

Commissioner compensation. Compensation shall be established by the Executive Committee in 

a manner consistent with the Tribe's internal rules and bylaws. At least ninety days prior to the 

end of each fiscal year, the Commission shall prepare a hndget for the next year's operation and 

shall submit the budget to the Executive Committee. The Executive Committee shall review the 

operating budget of the Commission in the same fashion as all other Tribal budgets. In preparing 

the annual budget, all actual and anticipated surplus funds of the Commission shall be taken into 

account. The Executive Committee may adopt, amend or replace the annual budget. 

5.16 Gaming Commfs,sion Staff. Commission sl.aff shall be supervised by the Executive 

Director. Any staff position, including the position of Executive Director, may only be held by 

an individual who meet<; the slandards and qualificntions set forth in Section 11.6. 

5.17 Ethics. 

(a) Commissioner.s and Commission staff shall not hold financial interests that conflict 

with the conscientious performance of their duties. 

(b) Commissioners and Commission staff sJ1all not engage in financiaJ transactions 

using nonpublic in.formation or allow the improper use of such information by 

others 01i their behalf to further any private interest. 

(c) Commissioners and Commissio11 staff shall not solicit or accept any gift or other 

item of monetary value, including complimentary iLems or i.iervices, from any 

tndividual seeking official action or inaction from, doing business with, or 

conducting activities regulated by the Conunission, or whose interests may be 

substantially affected by the Commission. This restriction does nol apply to items 

of de minimis value or items or services available to all members of the Tribe or to 

all mcmbc1'S of the Commis11ion. 

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

(e) Commissioner.s and Commission staff shall act impartially, in accordance with all 

relevant triba:I, federal and state laws (where appllcablc), and shall not give 

preferential treatment to any private organization or individual, including to any 

individuals related to Commissioners or Commission staff. 

12 3TM-l-IM3ll8U.6.,J 
(f) Commissioners and Commission .staff shall not engage in outside employment 

(including seeking or negotiating for future employment) or any other activity 

which conflicts with their Commission duties and responsibilities. 

(g) Commissioners and Commission staff shall disclose waste, fraud, abuse, and 

corruption to appropriate autborities. 

(h) Commissioners and Commission staff shall endeavor to ovoid any actions creating 

the appearance that they are violating the law or the ethical standards listed in thi.s 

Section 5.17. 

(i) Commissioners and Commission staff shall fuOy comply with internal Commission 

bylaws governing conflicts of interest and codes of conduct. 

(j) Commissioners shall disclose to tl1e Rxecutive Commiuee any conflicts of interest 

The Executive Director shall disclose to the Commission any conflicts of interest. 

Commission Slaff members shall disclose to the Executive Director any conflicts of 

interest. If there is a real or apparent conflict of interest related lo any maller before 

tlie Commission, the Commissioner subject to the conflict of interest shall not take 

part in a deci11ion relatetl thereto. 

6. Executive Director. 

6.1 Qualifications. The position of Executive Director of the Commission is hereby created. 

The Commission shall appoint the Executive Director, suhject to confirmation of the appointmeJ1t 

by t.he Executive Committee. 

(a) Qualifications. To serve as the Execntive Director, an individual: 

(1.) Must be at least 21 years of age; 

(2) Must have a minimum of five years in any combination of the following: 

(A) Post-secondary educatio11; 

(B) Gami11g training; 

(C) Gaming experience in one or more of the following area.s: 

(i) Gaming laws or regulations; 

(ii) Gaming operutions; 

(iil) Gaming licensing; 

(iv) Auditing; 

(v) Indian law; 

(vi) Administrative reviews; 

13 
(vii) Background investigations; 

(viii) Surveillance; 

(ix) Law enforcement; or 

(x) Business administrntion or business management. 

(3) Must. meet all other qualifications set fo1th in this Ordinance, including the 

standards nod qualifications set forth in Section I l.6. 

(b) The following individuals may not serve as the Executive Director: 

( l) Gaming Personnel; 

(2) Individuals related to any Financial Source or Gaming Resource Supplier 

(including any principal thereof); 

(3) Individuals who would not qualify for a tribal gaming license; 

(4) Members of the Commission or the Executive Committee; and 

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

(c) The Executive Director qualifications set fo1th in this Ordinance may be modified 

by the Executive Committee if a vacancy persists for more than lhree months due to 

a lack of qualified appllcants. 

(d) The Executive Director shall devote his or her entire time and attention to the duties 

imposed under this Ordinance and the hm:iness of the Commission and shall not 

pursue any other business or occupation unless approved by the Commission. 

(e) The Executive Director shall not have any pecuniary interest in any husiness or 

company holding a License under this Ordinance. 

6.2 Authority of Executive Director. 

(a) The Executive Director shall furnish to the Commission such services that the 

Commission delegates to the Executive Director to ci'IIry out the Commission's 

functions; 

(b) The Executive Director shall have authority to hire such professional, clerical, 

technical and administrative personnel ns mny be necessary; 

(c) The Executive Director may: 

(I) CmTy out all responsibilities delegated by the Commission; 

14 ;a ~!· 16:+J5lBJ16.l 
(2) Negoliate and execute any and all contracts for the purchase of goods and 

services as directed by the Commission. Such purchases shall be in 

accordance w1th the procurement policies and procedures of the Tribe; 

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

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

7. Gaming Personnel 

7.1 Age. All Gaming Personnel positions shall be filled by individuals wbo are at least 21 

years of age. 

7.2 Compact and Employment Laws. All Gaming Personnel are subject to the Compact and 

alt employment Laws and requirements lhat aI"e otherwise applicable to employees of the Gaming 

Facility or Gaming Operation. 

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

8.1 Confidentiality of Documents. The Commis.sion shall ensure that all records and 

information obtained pursuant to the exercise of its authority and respon.sibilities shall remain 

confidential and shall not be disclosed to individuals who are not directly involved in the 

regulation and oversight of the Gaming Operation. The Commission shall maintain a file of all 

Applications and supporting materials submitted pursuant to this Ordinance, together with a 

record of all actions taken with respect to those Applications. 

8.2 Scope of Confidentiality. All information and data: 

(a) Included within any Application for a. License and nny supporting materials; 

(b) Required by the Commission to be famished to it under this Ordinance or which 

may otherwise be obtained relative to the finances, earnings or revenue of any 

Applicant or Licensee; 

(c) Pertaining to an Applicant's criminal record, antecedents or background which 

have been famished to or obtained by the Commission from any source; and 

(d) Provided to the members of the Commission or his employees by a governmental 

agency or an informant or on the assurances that. the infom1ation will be held in 

confidence und treated as confidential; 

(hereinafter, collectively "Application lnformaLion") is confidential and may be reviewed only hy 

the Commission, the Commission staff, and, as necessary, by the NlOC and the Stale Gaming 

Agency. The Commission agrees that the Application Information will be lreated as confidential 

and that releasing the Application Information to anyone other than the Commilision staff, the 

NIGC or the State Gaming Agency, as necessary, wlll require: (1) the prior written volunt.nry 

consent of the Applicant, but only if that consent has been obtained not more than seven days 

before the disclosure, or in the time agreed to by U1e Applicant in the written consent, or (2) a valid 

subpoena, court order or other compulsory legal process authorizing the release of the Application 

Information to someone other than the Commission. Any Application lnfonnation provided by 

15 35~~J.ll8! 16' 
the Commission to the NIGC or the State Gaming Agency will be governed by the applicable 

confidentiality and privacy statutes pertaining to the NIGC and State Gaming Agency. 

Unless required to be retained by subpoena, cou11 order, or other compulsory legal process, or 

because of an ongoing cdminal investigntion, all records and Application Information retained 

by the Executive Director or the Commission shall be retained for a period of five years, after 

which such records may be destroyed or returned to the Applicant or Licensee. It is a 

violation of this Ordinance for an individual to falsify, destroy, erase or alter any records of 

any kind or other information relating to the Gaming Operation in a manner other than as 

provided in this Ordinance, applicable Regulations 01· Commission policy. 

9. Gaming Surveillance: Powers, Duties and Limitations 

9.1 Purpose. The pUlJlOSe of surveillance is to assist in safeguardJng the Gaming Operation's 

assets, to deter and detect criminal acts and regulatory violations, and to maintain public 

confidence and tmst that Gaming at the Gaming Operation is conducted honestly and free of 

ctiminal elements and activity. Gaming Operation surveillance shall include a closed-circuit 

television surveillance system consistent with industry standards for gaming facilities of the type 

and scale operated by the Tribe, which .system shall be approved by, and may not be modified 

without the approval of, the Commission. 

9.2 Responsibilities. SurveiUance shall be responsible for all Gnming surveillance activities 

including, but not limited to, purchase and maintenance of surveillance equjpment. Surveillance 

is responsible for the: 

(<t) Developmtmt, implementation, and maintenance of wi.itten policies and procedures 

for the conduct and integrity of the surveillance depurtment., subject to approval of 

the Commission; 

(b) Development, implementation, and maintenance of additional procedures 

governing the use and release of the surveillance recordings or reports, subject to 

approvaJ of the Commission; and 

(c) .Maintenance of the Gaming Facility surveiUance tloor plan required pursuant to the 

Compact, subject to approval of the Commi.ssion. The surveillance floor plan will 

address Commission access to the surveillance system, which may include 

dedicated access, at Ute Commi.ssion' .s discretion. 

9.3 Surveillance Records. SurveiJlance personnel shall provide to Senior Gaming 

Management and the Commission a copy of any time-recorded video and accompanyjng audio (if 

available) as soou as reasonably practicable after request, and in no event later than twenty-four 

hours of such request. Surveillance shall retain video recordings for at least .st:v~n (7) days from 

the date of original recording or such shorter period of time as the Commission shall direct. 

10. Gaming Security: Powers, Duties and Umitations 

10.l Purpose. The purpose of Gaming semrity is to assist in safeguard·ing the Gaming 

Operation's assets and to protect the Gaming Personnel and Pa:trons hy deterring and detecting 

criminal acts and t~gul atory violatiom. 

16 
10.2 Investigations. Gaming security shall be responsible for conducting all investigations and 

reports of Incidents at the Gaming Facilily consistent with the Compact and all applicable Tribal 

law. 

10.3 Reports. Gaming sec\U'ity shall provide to Senior Gaming Management and the 

Commission a complete copy of all Incident reports. The procedure for recording of all Incidents 

shall be consistent with the requirements of the Compact. 

10.4 Responsibilities. Gaming security is responsible for the: 

(a) Development, implementation, and mainLenance of written policie.~ and procedures 

for the conduct and integrity of Gaming ~ecudty, subject to approval of tlle 

Commission; and 

(b) Development, implementation, and maintenance of additional procedures 

governing the use and release of Incident reports, suhject tu approval of the 

Commission. 

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

11.1 Summary of Licensing Principles. All persom: in any way connected with the Gaming 

Operation or Facility who are required to be licensed or to submit to a background investigation 

under IGRA and the Compact, including, but not limited to, all Gaming Employees and Gaming 

Resource Suppliers, and any other person having a significant influence over the Gaming 

Operation must be licensed l>y the Commission. 

11.2 Licenses. The Commission shall ii;sue J .icenses for all Persons for which a License is 

required under IGRA and the Compact, including: 

(a) Class II and Class III Gaming Facilities; 

(b) Key l:!mp1oyecs; 

(c) Primary Management Officials; 

(d) Gaming Employees; 

(e) Financial Sources; and 

(f) Gaming Resource Suppliers. 

11.3 Current and Valid Gaming License Required. All Primary Management Officials and 

Key EmpJoyees employ~d by the Gaming Operation must possess a valid Gaming License or 

have an Application for a Gaming License pending. 

11.4 Application Procedure for Gaming License. Every individual seeking employment as a 

Primary Management Official or as a Key Employee shall submit a Gaming License Application 

and additional supplemental infonnation to the Commissio11 on such forms or in such manner as 

the Commission may require. At a mi11imum, Applications for Primary Management Official 

and Key 'Employee shall contain the following information. 

17 
(a) The Applicant's full name, iac1nding all other names used (oral or written), current 

home and work addresses and telephone numbers, gentler, Social Secudty Number, 

place or'birth, date of birth, citizenship, and driver's license number(s) and the 

addresses of his or her residences over the past five years. 

(b) The position for which the Applicant is appl:ylng. 

(c) The names, current addresses, and telephone numbern of three references who arc 

not related to the Applicant and who were acquainted with the Applicant when the 

Applicant resided at each of the addresses listed under paragraph (a) above. 

(d) A list of the Applicant's cun·ent and previous jobs over the preceding five years, 

including the names, addresses, and telephone numbers of his or her employers, and 

the positions held. 

(e) The names and addresses and a brief description of all businesses jn which the 

Applicant cun-ently holds, oi- has within the last five years held, an ownership or 

financial .interest. 

(f) A description of auy existing and any prevjous employment relationship with the 

Tribe or any other ln<lian trihe, including the position held, the nmn.e of the trlbc, 

and the name anti address of an individual who can attest to the acctiracy of the 

jnformation provided. 

(g) A description of any current or past non-employee business relationship which the 

ApplicanL has had with the Tribe or any other Indian tribe, including the name of 

the tribe and the name and address of an individual who can alt.est to the accuracy 

of the information provided. 

(h) A statement as to whether the Applicant has had any past employment with, or 

ownership interest in, any gaming-related business. If so, the Applicant shall 

provide a written statement describing his or her position, the dates during which 

the position was held, a descl'iptioll of the Applicant's ownership inLcrest (when 

applicahle), job responsibilities, the name, address, and tdephone number of the 

business, and lhe name and address of an individual who can attest to the accuracy 

of the infonnati.on provided. 

(i) A list of all gami.11g-relaled licenses for which the Applicant has applied, whether or 

not those license~ were granted, and the name, address and telephone number of the 

regulatory agencie~ involved. 

U) A list of all professional and business licenses for which the Applicant has Rpplied, 

whether or not those licenses were granted, and the name, adclress and telephone 

number of the regulatory agency involved. 

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

(1) Written permissjon giving the Commission th~ right to investigate the Applicant's 

background, including his or her criminal record, civil and criminal judgments, and 

credit history. 

18 
(m) I\ complete disclosure of any pending civil or criminal action (including any 

misdemeanor) against the Applicant, including rl1e name, and address of the police 

department and court involved. 

(n) A statement as to whether or not the Applicant has ever been charged with a crime 

(including any misdemeanor), and if so, the charge, the name and addres8 of the 

court involved, the tinal disposition of Lhe case, and the date of fmal disposition. 

( o) A disclosure of any civil or criminal judgments rendered against the Applicant, 

including the case number, a description of the judgment, and the name and address 

of the court involved. 

(p) Any other in formation which might bring into question the Applicant's fitness to be 

employed within a Gaming Fadlity. 

(q) Each Application shall include an affirmative consent of the Applicant to the 

jurisdiction of the Commission for purposes of processing the Application. 

(r) Each Application NhaU be accompanied by a sworn statement that the Applicant 

will abide by all applicable Tribal and federal laws, Regulations and policies. 

(s) Bach Application shall be accompanied by a written statement that the Applicant 

has read, understands and approves of notices and NIGC requirements related to: 

(1) The Privacy Act of 1974; 

(2) False statements; and 

(3) Credit reporting. 

(t) Each Application shall be accompanied by a photograph of the Applicant-aOO-a 

eemplele 1;eE of liegerpfiRts of rhe AppUeanl t:akeA by a . AlLAn!21.i@.\uts fora 

&imary Mimagement Officja! License or Kgy,.Emplovee License arc required l,Q 

SJ.JJ?.mil. .ficgemrint cards. The Commission js he ebLi~tL.as the law 

enforcement agency responsible for tnkin!Ll.i11gerprints following.J:eceipt of an 

Applicant's Ongemrint cards. the Commjssjon will forn1ard an Applic.al\L.s 

fingemrint cards to the NJQC for a crjmit1al ltistoiy checluhrough the Fedem,l 

~Jl of Jnye~tigatjo11 National Crime Inform ati~. 

The Commission shall amend the Application and iuvestigat.ion procedure for a Gaming 

License i.n the event that the Tribe receives notice that the Application and investigation 

procedure must be modified to conform to the slandards of the NIGC. 

11.5 Non-Key Gaming Employee Licensing. Non-Key Gaming Employees must be licensed 

by che Commission. Non-Key Gaming Employee Applicants will submit an /\pp1ication for a 

Non-Key Gaming Employee licem;e to the Commission on such a fonn or in such manner as the 

Cotnmissiou may require. The Application for a Non-Key Gaming 'Employee license sliaJI 

contain all information necessary for the Commission to investigute the Non-Key Gaming 

Employee's background, including his or he r criminal record, civil and criminal judgments, and 

credit history, bur shall not require all or the information detailed in Section 11.4 for Primary 

19 ~5 ~3S!8j 16 '.l 
Management Officials and Key Employees. If the Commission determines that the Applicant is 

suitable for licensure based on the Commission's review of the Application and tbe results of the 

criminal history check, the Commi~sion will license the Non-Key Gaming Employee. Non-Key 

Gaming Employees are not requfred to undergo the complete investigation procedures set forth in 

Seetion 11.9 of tJ1 is Ordinance. 

11.6 Qualifications. The Commission shalJ conduct a crimin<1l hh.tory check on all . 

Applicants. 

(a) Eligibility for Licensurc. The Commission shall review an Applicant's prlOI' 

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

determination, pursuant to this Ordinance, concerning the suitability for licensure of 

Applicants. No license shall be issued to an Applicant if it is dete1mined that 

employment of an Applicant would pose a threat to the public inttrrest or to the 

effective regulation of Gaming, or creates or ~nhances dangers of unsuitable, unfair, 

or il1ega1 practices and methods and activities in the conduct of Gaming. 

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

or Gaming Employee if: 

(1) He oc she is under the age of21 ~ 

(2) He or she has been convicted of, 01· entered a pica of guilty or nolo 

contendere to any of the following offenses and the conviction bas not been 

pardoned by the Tribe or otherwise removed from the record by executive 

pardon or state e-0urt order: 

(A) A felony; 

(R) Any offense involving fraud or misrepresentation; or 

(C) Any Gaming related offense; 

(3) His or her prior activities, criminal record, if any, and reputation, habits, and 

associations pose a threat to the public inte1·e.<>t, threaten the effective 

operation am! regulation of Gaming, or create or enhance the dangers of 

nmmitahle, unfair, or i11ega1 practices, methods, or activit e.~ in the conduct of 

Gaming; 

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

(5) llis or her application to the State Gaming AgenC')' for 1icensure or a 

determination of suitability, or for a renewal of such a licensure or 

determination, has been denied or has e1lpired withoul renewal. 

(c) Each Person who has a License shall have a continuing obligation to inform the 

Commission immediately upon the occurrence of any circumstance or event wbicb 

may <lisqualify the Person from obtaining or retaining a License. Failure to repoi:t 

any such occurrence may result in suspension or revocation of the Application or 

License and immediate termination from employment. 

20 35 18146,+ illJ!.116.l 
l2.7 T~mperary Lieen9ute. Temvo.mrv Ucensure. _ The Commission shall develop standards 

and procedures for the temporary Hcensure of Applicants who have filed an Application for a 

License. An Applicant who has submitted an Application as a _PrjtnQl'Y Manageme.nLQfficial or 

~may be given a temporary License for a period of ~6fl-R~e»lhsnine.t.y days. 

NQ Primacy M.·mHgcmcnt Emolovee or Key Employee shaJLcontjnue to be emnloyed jf tbot 

frimsirn Management Em1?1ove_e_or Key Employee doe.c; not have a license within oinetv da~ 

from the sta!l.Qf ~mploymenutlth the Gaming Op.er.al® For puqxJses of temporary licensurc, 

the Commission shall rely upon a state gaming license or finding of suirnbilit.y previously issued 

to the Applicant from either a California, Towa, Illinois, Nevada, New Jersey, Ohio, or 

Pennsylvania slate gaming agency for purposes of satii;faction of a preliminary background 

investigation. The. Commission shall not delay or deny tJte issuance of a temporary license if: (a) 

a California, Iowa, Illinois, ~evadu, New Jersey, Ohio or Pennsylvania state gaming agency has 

issued a Hcense to, or made a determination of suitability with respect to, such Applicant, and (b) 

no state gaming agency has revoked or withdrawn such license or determination of suitability. 

11.8 Reliance on Previously b;sued License. In lieu of completing jts own background 

investigation, and to the extent that doing .')O does not conflict wjth or violate IGRA or the 

Compact, the Commission may contract with the State Gaming Agency for the conduct of 

background invescigations, may rely on a state finding of suitability previously issued under a 

gaming compact involving another tribe, or may rely on a Slate gaming license previously issued 

to the Applicant, to fulfill some or all of the Commission's background investigation obligation 

for liccns.ing Applicants. 

11.9 Investigation. Whe11 an individual submits an Application for a Primary Management 

Official or a Key Employee License, the Commission shall: 

(a) Conduct a background investigation of Lhe Applicanb-...Md...c.re.ate..and maintain nn 

investitratjye report as to findings aod cooclnsions,,$2f the_foreg9ing baWmund 

investigation. including, but m>tJimit$id to· 

ill S!~ms taken in conduClingJh_e backgcQtl!Jd investigalion; 

ill )he results obtained fmmth<Lbac.kg[Q1!,1J.dJny.e..s_tigatiQ.lh 

ill The concl11.sions re.Rchcd as a re.s.ull pf the b.ackground jnv_e_sJigation; and 

( 4) The basis for those cqncwfil.Q.JlS. 

Based upon Lhe results of the background investigation and the written investigative 

rep01t, the Commission :>hall detennine the eligibility of the Applicant to receive a 

Gaming License. 

(b) Upon completion of the backgr.ound investigation and a determination of eligibility 

for a Gaming License, the Commission shall forward the Applicant's t;ompleted 

Application materials and an investigative report with a determination ai; to whether 

the Commission intends to license tbe Applicant lo the NTGC (to the extent 

required by 25 CPR ~~rt.556) and the Slate Gaming Agency (to the extent required 

by the Compact)~_nu_latxJ:.U~tY (60.l.~cg the Applic~gins work as a 

21 ~&ri-3518116,3 
Kex_Emiilo_y~e or Primaiy Managernent Q(Ocia l (She "N9tice of Results"), The 

liotjce o( Results shall con{Ain:. 

ill A,ppli.ca1tC s name. date of birth. and social securitv munb!<G 

ru Dat11 on which J\pplica.tlL®gan or will begjn work as a Key Employee or 

Primary ManagemcnLOfficial; 

ill A summary of the jpformatioJLoresented in the investigative wort. which 

shall at_a_minimum jncltlde a li&tin.1Lof: m license-.aru>.licatjons filed bv 

AppJ,ic_ant that haye previously been denied; (ii> gamigg licenses held by 

Applicant thal have bee.n revoked. c.¥cn if sybsegllelltly reinstated; Oij) ey..eIY 

~Q£ imina l chaJ:ge brfllJ,ght,against the Am2lkaot within the last ten ( !Q) 

vears of the date of the ARnlical.jog; and Civl eyery felony of which the 

Appljcant has been convicted or any ongillruq2rosccution of Applicrult for a 

felony: and 

W A ,c_QQX Qf the eligibility detennjnmion made under 25 CFR §_5.i-6,.l. 

(c) For a thirty day period, beginning when the NIGC. receives a report submitted 

pursuant to Section l l.9(b) above, the L.'hairman of the NIGC may request 

additional information from the Commission concerning the individual who is the 

subject of a report. Such a request shall suspend the thirty day period until the 

Chairman receives the a<l(titional information. 

(d) If, within c.he thirty day period described in Section l l.9(c) above, the NIGC 

notifies the Commission that it has no objection to the issuance of a License, the 

Com1nission may grant the License to the Applicant. 

(c) If, within the thirty da:y period described in Section l 1.9(c) ahove, the NIGC 

provides the Comrnis.~ion with a statement itemizing objections to the jssuance of a 

License, the Commission shall reconsider the Application, talcing into account the 

objections itemized by the NIGC. TI1c Commission shall make the final decision 

whether ro issne a License to the Applicant. 

(f) All Applications, background investigations, investigative reports, suitability 

determinations, findings and decisions of I.he Commission slic.11J be retained in the 

Commission's files for a period of at least Jive years. 

(g) ffl th& e¥eAl I hat the li oant is d~l'ff!-ifled to be ineligible for a Gwl\ffig License; 

ttte Commission shall forn·ard the flame of lhe A:pplieMl lo the ~OOC . 

.(g), In the_eveut lhat the Commjssion d<>-e.s not license an Appli.canrhrthe Commjs.fil@ 

.s.hall ootif.Lthe NCGC and forwar<Lcopics of th ~Cgmmis iRn'.s eligibililit 

determination and Notice of Results tQ lbe NIGC . 

.(hl .Wi.tb.in thirtvLl.O)__day .. fill~Ufiluss.uance of.JLLlcense to a_Primarv ManagemeJl.1. 

Otfi~jal Ot.JJL.a Key Enmloyee. the Cqmmission sha11 notifY.Jlle NIGC of its 

jssuaQce_, 

22 mi-!-~Js1s116.l 
11. l 0 Ucense Issuance; Renewals. Any Gaming Licc11se issued pursuant to the requirements 

of this Section 11 shall be effective from the date of issuance and shall state on its face the name 

of the Gaming Employee, and the date that Uu~ Gaming License hecnme effective. Such a 

Gaming License shall be effective for two years from the date of issuance and shall be renewed 

every two years thereafter. Applicants for a renewal of a Gaming License shall provide to the 

Commission updated materials, as requested, on the appropriate renewal Applications. 

Applicants for a renewal shall not be required lo resubmit historical <lata already available to the 

Commission. Addilioual background investigations shalJ not he required of Applicants for a 

renewal unless the Commission determines, based upon the disclosure or discovery ol' new 

information, that there is a need for further information eonceming the Applicant's continuing 

eligibility for a Gaming License. 

l J .11 Radge. Any individual who holds a Gaming License issued pursuant to this Ordinance 

must wear in plain view at all times whifo in the Gaming Facility an identification badge issued 

by the Commission. The badge must display, at a minimum, a photograph of the individual and 

an identification nwnber that is adequate to enable the Commission tO readily identify the 

individual an<l detei:mine the validity and date of expiration of his or her Gaming License. 

11. 12 Suspension or Revocation of License. 

(a) Grounds for Suspension or Revoca1ion. The Commission may suspend or revoke 

any License it has i!'>.~ ed, but only after notice and opportunity for review and cure, 

for any of the following reasons if such 1·easons are material (in light of the scope of 

the Gaming Operation and the investment risk undc1taken by the Manager and the 

Manager's Affiliates with respect to the Gaming Operation): 

(1) The Licensee has willfully withbeld pertinent information or has made false 

statements on an Application; 

(2) The Licensee has willfully promoted, played, or participated in any Gaming 

Activity operated in violation of Tribal, stnte or federal law, or has violated 

any provision of this Ordinance; 

(3) The Licensee has improperly offered something of value to a Commissioner 

or any other individual in an attempt to avoid or circumvent any applicable 

law; 

(4) The Licensee has willfully been involved in the falsification of books or 

records which relate to lhe operation of Gaming Activity; 

(5) The Licensee has been convicted of, or has entered a plea of guilty or nolo 

contendere to, any crime involving gaming, fraud, theft, embezzlement or 

other activity which, if it had. been perpetrated at his or her place of 

employment, would injure or pose a threat to the public intcresl, the integrity 

of the Gaming Activity, or the effective operation of Gaming, or wou1d 

e nhance the dangers of unfail', unsuitable, or illegal gaming practices; 

(6) The Licensee ha:> willfully refused to comply with any lawful directive of the 

Tribe, the federal government, or any court of competent jurisdiction; 

23 
(7) The Licensee has been determined to have present or prior activities, crimioal 

record, or reputation, habits or associations which pose a threat to the public 

interest or to the effective operation of Gaming, or creRlc:: or enhance the 

dangers of unsuitable, unfair, or iJJegal practices or methods or activities in 

the conduct of Gaming; 

(8) The Licensee no longer meets the explicit License qualifications set forth in 

this Ordinance; m: 

(9) The Gemmissien reeeives wri.uee iflfonflatioe from the HIGG chat--4e 

bieemee is ua:suitable fer a Lieeru;~ 

!2J f!-QjThc Commission receives reliable inf 01mation from the State Gaming 

Agency that the Licensee is unsuitable:: for a License. 

It is the intent of the Tribe when adopting this Ordinance that the Commission shall consider the 

gravity of an offem;e and whether such offense occurred on multiple occasions or was an isolated 

instance, when considering whether it is appropriate to suspend or revoke a License under this 

Ordinance. 

(b) Procedure foi· Sllspension or Revocation. Whenever the Commission shall have 

cause to believe that any of the reasons under Section l 1.l2(a) apply to any Person 

who holds a License issued by the Commission, the Commission shall serve upon 

the Person an order to show cause why the License should not be suspended or 

revoked. The order to show cause shall state with specificity the grounds upon 

which it is ha.c;ed, including citations to the rclcvan1 sections of this Ordinance, the 

time and place for the administrative review, and notice that the Person shaJl have 

the opportunity to present documentation and any other relevant information. The 

administrative review shall be set for not less than ten days or more than fourteen 

days from the date of the order lo show cause. Ne,<)_u.hlect to Section I l . l 2(e). ng 

License will be suspt:mded or revoked for the reasons set forth in Section lJ . 12(a) 

until the administrative review by the Commission i.s concluded and a final written 

decision is rendered by the Commission. 

(c) Notice and Opportunity to Cure for Manager. Before issuing any order to show 

cause to the Manager or any of its Affiliates under Sect] on 11 . I 2(b ), the 

Commission shall give the Manager or its AftlJiate notice of any alleged violation 

of this Ordinance by the Manager or any of its Affiliates and one lmndred twenty 

( 120) days opportunity to cure before the Commission may take any action based 

'on such alleged violation. If the Manager or any of its Affil1ates cures any such 

alleged violation or if such violation is not susceptible of being cured within such 

120-day period or if the Commission <lt:Lt:nnines in good faith that the Manager or 

any of its Affiliates is diligently continufog to take action to cure the alleged 

violation, the Commission shall grant an additional L20-day extension of time tu 

cure the alleged violation, and during such Lime the Commission shall not take any 

further action against the Manager or an.y of its Affiliates based upon such alleged 

violation. Further, the Commission shall notify the Manager or any of its Affiliates 

in writing of any cnnctirns brought to the Commission's attention so that such 

concerns may be addressed in a timely fashion. For purposes of clarily, this 

24 
SecLion is meant to address alleged violations by the Manager or any of its 

Affiliates regarding the operations of the Gaming Facility, rathel' than day-to-day 

regulatory issues involving isolated Gaming Personnel. Por example, provided Lhat 

lhe Manager or any of its Affiliates promptly removes any individual subject to 

Section l I. l2(d) from any duties or responsibilities which requires such individual 

to apply for or mainrain a Gaming License until such time, if any, as the 

Commission modifies its determination witb respect to such individual, such 

removal shall constitute a cure and shall not be grounds for suspension or 

termination of the License issued to tht: Manager or any of its Affiliate.11. 

(d) Removal. If the Commission has rendered a final decision, after the exhaustion of 

all appeals, related to the denial, suspension, revocation, tennination or failure to 

renew the License of any individual, the appHcable Manager or its Affiliate shall 

promptly remove such individual from any duties or responsibilities which require 

such individual to apply for or maintain a License unlit such time, if any, a.s the 

Commission modifies its determination. 

~ Suspension Due toJioJice of lnfo1mnti5'P from.NIGTC. N<>-twithst,anding_JlllYthiug 

else herein to the contrari..Jf.Jlfter the iss11ance of a Licgnse. the NIGCJ1otifies the 

~omrois.siop of reliable_infonnationjndicating that a Key EmpJoyee or Primary 

Management OfficiaUs .. .nm eligible for employment pursuant to 25 CFR § 556.5 

(the "NlG.C Notification'')Jhe Commissjon shall immec!jately s.uspend tbc..Ljcens¥ 

and shall m.u<xide the LLcensee with written notice of s~ta 4.,~aso s for 

the proposed revocatLOJl, The Commission shall oJ~ the Licensee of the time .atld 

place for a heating on the prQQ9sed reyocation qf the Lj,cense. After a revocatioo 

hearing conducted by 1J1e Commission. the Commission sha!Ule<eide to re~UQ 

reinstate the l.jceose. The Commission sbalLno.tify the NLGC of its decjsion wirhin 

~®vt> (!;2m..th£.._date of rcQciat of the NJGC Notifi~ atjo . 

1 l.13 Temporary Suspension of an Individual's License. Temporary suspension of an 

individual's License is appropriate;: when lht: individual's continued presence in the Gaming 

Pacility or Gaming Operation poses a direct and immediate threat to the general public or to the 

safety, health and welfare of the Tribe. 

(a) Grounds fo.r Tempora1y Suspension. The Commission may suspend the Lice11sc of 

any individual for not more than thirty days if the Commission has good and 

reliable cause to believe: 

( 1) that any of the grounds for suspension or revocation listed in S"ction 1 l.12(a) 

have occurred; and 

(2) that the individual's continued pre.c;ence in the Gaming Facility or Gaming 

Operation a direct and immediate threat tu the general public or to the safety, 

health and welfare of lhe Tribe. 

(h) Procedure for Temporary Susperndon. The Commission may issue a notice of 

temporary pension of a T ,icense if the Commission has cause to believe tbaL any 

of tl1e eason.~ in Section 11. 12(a) above apply to the individual. The Commission 

shall provide written notice to the individunl that states with specificity the grounds 

25 
upon whidt it is based, including citations to the relevant provisions of this 

Ordinance, and the individual's right to administrative review. The individual has 

the light to file a request for review with the Commission wilhin five calendar days 

of receipt of the notice of lemporary suspen8ion. The Commission shall hold an 

administrati ve review on tile notice of temporru)' suspension within fourteen 

calendar days of its receipt of the notice of request for review. At the 

administrative review, the individual shall have an opportunity to pre.sent 

documentation and any other information as to the License should not be 

temporarily suspended. After such administrative review, and in no event later than 

thirty days from the issuance of the notice of temporary suspension, the 

Commission 1;hall issue a final tlecision regarding the temporary suspension. Atty 

final decision of the Commission to condition, grant, deny, .i;uspend or revoke a 

License may be appealed pursuant to Sections 11.16. 11.17, 11.18 and 11.19 of this 

Ordinance, as applicable. 

1 l.14 Notice to Eucutive Committee. Prior to any suspension or revocation of the Ucense of 

any member of Senior Gaming Management, or Related Person (provided that the Commission 

has knowledge that such indivi<lual is a Related Person), the Commission i'!hall provide written 

notice to the Executive Committee and the Manager seventy-two (72) hours prior to the issua11ce 

of the suspension or revocation. 

11.15 Record of Proceedings. The Commission shall maintain a compkte and accurate l'ecord 

of all proceeding.-; relating to lhe iNsuance, denial, temporary suspension, suspension, revocation 

of all Licenses and of the imposition of any fines on a Licensee or imposition of a condition 011 a 

License. Records pe1taining to the issuance, denial, temporary suspension, suspension, 

revocation of a License and of the imposition of any fines on a Licensee or imposition of a 

condition on a J .icense sh.an be confidential and be handled in compliance with Section 8. 

11.16 Appeals. Any Person, other than the Manager, the Manager's Affiliates, a Financial 

Source, a Major Gaming Resource S upplier or a Related Person appealing an Adverse 

Commjssion Action or Manager Adverse Commission Action pursuant to Sections 11.17 and 

11.18, aggrieved by a fmal tlecision of the Commission to condition, grant, deny, suspend or 

revoke a License or impose any fines on a Licensee may appeal the decision to the Jamul Tribal 

Court, a~ well as any courts to which the decisions of the Jamul Tribal Comt may be appealed, 

which dedsions shall be binding upon the Commission and aggrie\red Person. A ternpomry 

suspenl>ion of an individual's license will be reviewed pursuant to Section 11.13(b) prior to any 

appeal. 

11.17 Appeals for Major Gaming Resource SupplierJ and Financial Sources. Major Gaming 

Resource Suppliers and Pinancial Sources may appeal any of the following Commission actions: 

(a) imposition of a fine on the Major Gaming Resource Supplier or Financial Source; (b) denial 

of an Application for a Ljcense of the Major Gaming Resource Supplier or Financial Source; or 

(c) suspension, revocation, or imposition of conditions on a License issued to the Major Gaming 

Resource Supplier or Financial Source after an administrative hearing pursuant to Section 

11.12(h) or this Ordinance (each, an "Adverse Commission Action"). For purposes of this 

Section 11.17, any Maj or Gaming Resource Supplier or Financial Source requesting an appeal is 

referred to as an "Aggrieved Major Vendor." Any Adverse Commission Action must be 

communicated by the Commission to the Aggrieved Major Vendor in writing. Within ten 

busi11ess days after the Commission's written notice of the Adverse Commission Action is 

26 
received, the Aggrieved Major Vendor must send written notice of appeal by certified mail, 

return recdpt reguestcd, to the attention of the Executive Director at the Commission office. '!"be 

Aggrieved Majot' Vendor and the Executive Director ~hall meet and confer in a good faith 

attempt to resolve the dispute through negotiation not. later than ten days after receipt of the 

notice by the Executive Director, unless both parties agree in wtiting to an extension of time. 

The Aggrieved Major Vendor may request that the dispute be settled by binding arbitration under 

the commercial arbitration rules of the American Arbitration Association (the "AAA"). The 

arbitration shall he conducted pursuant to Section 11.19. Should any Aggrieve<l Major Vendor 

inadvertently miss a deadline under this Section L 1.17 by a period not to exceed three business 

days, such missed deadline shall not be considered a bar to the Aggrieved Major Vendor's right 

to appeal the Adverse Commission Action. 

Any party dissatisfied with the decision of the arbitration panel may at that party's election appeitl 

the decision to the Jamul Tribal Court, as well as any courts to which the decisions of the Je:imul 

Tribal Court may be appealed, wbich decisions shall be binding upon the parties. 

For purposes of this Section l U 7, the Commission will stay the effects of any Adverse 

Commission Action from the time that an Aggrieved Major Vendor requests an administrative 

hearing pursuant to Sections ll .12(b) until the time that the arbitration decision and any appeal 

thereoris final. 

11 .18 Appeals for Manager and Manager's Affiliates. The Manager and the Manager's 

Affiliates and their Related Persons may appeal any of the following Commission actions: (a) 

imposition of a fine on Manager, Manager's Affiliate or Related Person; (b) denial of an 

Application for a License of Manager, Manager's Affiliate or Related Persm1; or (c) su.i;pension, 

revocation, or imposition of conditions on a License of Manager, Manager's Affiliate, or Related 

Person after an administrative hearing purs-uanl to Sections 11.12(b)' or ll.13(b) of this 

Ordinance (each, a "Manager Adverse Commission Action"). For purposes of this Section l l.18, 

any of the Manager, .Manager's Aniliates or Related Person requesting an appeal are referred to 

as a "Manager Aggtieved Person." Any Manager Adverse Commission Act.ion must be 

communicated by the Commission i:o the Mannger Aggrieved PeJ':-;on in writing. Within ten 

business days after the Commission's written notice of the Manager Adverse Commission Action 

is received, the Manager Aggrieved Person must send written notice of appeal by certified mail, 

return receipt requested, to the attention of the Executive Director at the Commission office. The 

Manager Aggrieved Person and the Executive Director shall meet and confer in a good faith 

attempt to resolve the dispute through negotiation not later than ten days after receipt of the 

notice hy the Executive Director, unless both parties agree in writing to an extension of time. 

The Manager Aggrieved Person may req uesl that the dispute be setlled by de novo binding 

arhitration under the commercial arbitration rules of the AAA. The arbitration shall be conducted 

puN:uant to Section 11.19. Should any Manager Aggrieved Person inadvertently miss a deadline 

under this Section 11.18 by a period not to exceed three business days, such missed deadline 

shall not be considered a bar to Lhe Manager Aggrieved Person's light to appeal the Manager 

Adverse Commissjon Action. 

Jn an arbitration involving a Manager Aggrieved Person, any patty to the arbitration dissatisfied 

with the deci.'5ion of the arhilrntion panel may at that party's election request thnt the decision be 

reviewed through de novo binding arbitration by a different arbitration panel under tbe 

commercial arbitration rules of the AAA ("Manager Arbitration Appeal"). The Manager 

Arbitration Appeal shall be conducted pursuant to Section 11.19. 

27 
For purposes of this Section l l .18, the C-0mmission wtll stay the effects of any Manager Adverse 

Commission Action, other than the temporary suspension of a Related Person license held by an 

individual pu1·suant to Section 11.13, from the time that a Manager Aggrieved Person requests an 

administrative hearing pursuant to Sections l l. l 2(b) or t 1.13(b) until the time that the arbitration 

<.it::cision or any appeal thereof is final 

11. 19 Arbitration. Arbitration shall be conducted before a panel of three arbitrators selected as 

follows: within ten business days following the date on which a list of arbitrators is provided by 

the AAA, the Aggrieved Major Vendor or Manager Aggrieved Person, as applicable, and the 

Commission shall each select an arbitrator from such list and so advi.se the AAA and the other 

party ("Arbitrator Selection Notice"). Each party wrn disclose in such Arbitrator Selection Notice 

the name, qualifications, past expedence and any other information that the disclosing party 

reasonably believes could form the basis of any conflicts or reasons for disqualification. The 

other party will have three calendar days from the Arbitrator Selection Notice to lodge any 

objections. Tf any objections are lodged, the parties will promptly attempt in good faith lo 

remediate any such objections. If the parties cannot remediate the objections, the arbitrator 

subject to the objection will be withdrawn and a new arbitrator will be promptly identified and 

vetted in accordance witb these same procedures. Within fifteen calen<lar days after the selection 

of the two arbitrators is completed, such two arbitrators shaJI select a third arbitrator, who sha11 

chair the arbitration panel. 

Any arbitrator identified and appointed by the parties shall be impaitial, shall have significant 

experience in federal Indian law and the legal issues surrounding the gaming industry and shall 

be generally willing and available to attend any hearing in Sun Diego County, California. The 

arbitrator will not be a current or former employee, agent, or consultant of either party or any of 

its current or former Affiliates, joint ventures, or subsidiaries. Notwithstanding the foregoing, if 

any arbitrator appointed by a party is disqualified by the AAA subsequent to his or her 

appointment because of a conflict of interest, the party who appointed such arbitrator shall be 

given five husiness days from the date of such disqualification to appoint a replacement 

arbitrator. The disqualification of any arbitrator appointed by a party to tbe arbitration sha11 not 

affect the prior appointment of the chair of the arbitration panel and the chair sha\1 continue to 

serve. 

Depositions may be taken and discovery obtained in arbitration proceedings in the manner 

provided in Section 1283.05 of Lhe California Code of Civil Procedure, provided that no 

discovery authorized by that section may be conducted without leave of the arbitration panel. 

The arbitration panel shall detennine whether the Adverse Commission Action was arbitrary, 

capricious, an abuse of discretion or inconsistent with law or policy, because, by wny of example 

and not by way of limitation, the Commission failed to adopt written findings, the findings are 

not supported by substantial evidence in light of the whole record, the findings do not support the 

Commission's determination, or the Commission failed to proceed in the manner required by 

lnw. Tf the atbitration panel detetmines that the Advers~ Commission Action was arbitrary, 

capricious, an abuse of discretion or inconsistent with law or policy, the arbitration panel shall 

adopt written findings and remand the matter to the Commission for reconsidcrntion of its 

determination consistent with the arbitration panel's written findings. lf necessary, the 

arbitration panel may direct the Conunissioo to issue a License to the Aggrieved Major Vendor 

or Manager Aggdeved Person, as applicable, which License may contain such limitations as the 

arbitration panel determines are appropriate. The arbitration panel will have no power to award 

28 
damages. The decision uf the arbitralion panel shall be in writing and shall provide reasons for 

the decision. 

The cost and expenses of such arbitration shall be initially borne by the Aggrieved Major Vendor 

or Manager Aggrieved Person, as applicable, but the arbitration panel i;baJI award to the 

substantially prevailing ptirty its costs and expenses, including costs of the arbitration and 

arbitration panel. 

11.20 Reconsideraiion. In the event the Commission suspends, conditions, revokes, terminates 

or fails to renew a License after an administrative hearing or appeal, and such PerllOll is thereafter 

able to obtain a license or determination of suitabi1ity from a state gaming agency, such Penon 

shall have a right to request that the Commission ft:li.;onsider its prior determination. Jn such 

event, the Commission shall promptly recon.i;ider its prior detennination in good faith. 

12. Gaming Facility License 

12.1 Compliance with App/icabfe Standards. The construction and maintenance of any 

Gaming Facility, and the operation of Gaming Aclivitie:-;, shaU he conducted in a manner which 

adequately protects the environment and the pub1ic health and safety, and shall comply with 

requiremenrn of the Gaming Compact and all other applicable health, safety, and environmental 

standards. 

12.2 Licensing Requirement. The Commission is responsible for licernsing the Gaming 

Facility located on the Indian Lands after receiving infotmation regarding the following: 

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

(1) To show compliance with applicable health and safety standards, Seniol' 

Gaming Management shall submit certified copies of Compliance 

Certificates. 

(2) ff health and safety standards are not met, proof must be submitted hy Senior 

Gaming Management of the process of improvements which will place the 

Gaming Facility in compliance with the applicable standards. 

(h) The Commission shall forward all Compliance Certificates to tho State Gaming 

Agency within ten days of issuance. 

12.3 Threshold Licensing Criteria. The Commission may issue a Gaming Facility license if: 

(a) The Gaming Facility is located on lndia.11 Lands; 

(b) The Gaming Activily lo be conducted ar the Gaming Facilit.y is Class II or Class Ill 

Gaming as defined by this Ordinance and TORA; and 

(c) The Gaming Facility i1; authorized hy a resolution of the Executive Committee. 

12.4 Display of Gamin!? License. A current valid Gaming Facility License shall be 

prominently displayed at each Gaming Facility. 

29 
12.5 T.icense Duration. A Gaming Facility License shall be issued for a period of two years, 

and shall be reviewed and renewed, if appropt'iate, every two yeass thereafter. 

12.6 Submission of License to NJCC an4 State Gaming Agency. The Commjssion shall suhmit 

to the NIGC and the State Gaming Agency a wpy of each Gaming Pacility License 

12.7 Notice of Illegal Gaming Activity. H the Commission finds that the Gaming Facility is 

operating in violation of tbis Orc\inancc, or otherwise presents a threat to the public, the 

Commission shall immediately notify the Executive Committee and the Manager. 

13. Financial Source Liceuse 

13.1 Licensing Proce.ts. Ftnancial Sources shall be licensed by the Commission. If the State 

by tribal-stale gaming compact, rnle or other written determination agrees that Jicensure of a 

Person as a Financial Source is not necessary or olherwise waives such requirement, then the 

Commission shall not require licensure of such Person. 

13.2 Exemptions. The foHowing Persons do not need co file Applications for a Financial 

Source J .icense: 

(a) Gaming Resource Suppliers. A licensed Gaming Resource Supplier who provides 

financing exclusively in connection with the sale or lease of Gaming Resource~ 

obtained from that supplier shall not be required to oblain a separate Financial 

Source license. 

(b) A federally regulated or state-regu1ated bank, savings and loan, or other federaJlyor statc-regulnted lending institution; 

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

(d) Any inve::.tor who, alone or in conjunction with others, holds lt::.ss than 10% of any 

outstanding indebtedness evidenced by Bonds issued by the Trihe. 

13.3 Registration for Holders of Tribal Bonds. Pursuant to the State Gaming Agency Uniform 

TribaJ Gaming Regulations, including CGCC-1, CGCC-2, any of the following entities that is an 

actual or prospective holder of any Bond is&ucd by the Tribe muy register with the Commission 

on comparable forms utili~ed by the State Gaming Agency: 

(a) Any federal-regu'.lated or state-regulated bank or savings association or other 

federal- or state-regulated lending institution; 

(h) Any company that is organized as an insurance company, the primary and 

predominant business activity of which is the wrlting of im;urance or the reinsuring 

of risks underwdtten by insurance companies, and that is subject to 1mpervisio11 by 

the Insurance Comm1ssioner of Ca1ifomia, or a similar official or agency of another 

state; 

(c) Any investment compuny registered under the federal Investment Company Act of 

1940 (15 U.S.C. § 80a-l et seq.); 

30 35'~3j !l!l 16.l 
(d) Any retirement plan established and maintained by the United States, an agency m· 

instrumentality thereof, or by a state, its political subdivisions, or any agency or 

instrumentality of a state or its political suhdivisions, for the benefit of its 

employees; 

(e) Any employee benefit plan within the meaning of Title 1 of the federal Employee 

Retirement Income Security Act of 1974 (29 U.S.C. § 1001 et seq.); 

(f) Any securities dealer registered pursuant to the tederal Securities Exchange Act of 

1934 (15 U.S.C. § 78a et seq.); and 

(g) Any entity, all of the eqllity owners of which individually meet the criteria of this 

subsection 13.3. 

Registration and renewal of registration under this Section 13.3 shall constitute a finding of 

suitability in compliance with the Compact. 

13.4 Submission of Ucense to State Gaming Agency. The Commission shall submit to the 

State Gaming Agency a copy of each Financial Source License. 

13.5 Application Form and Procedures. The Cummi8sion 11hall adopt Financial Source 

Application forms to Jicense Financial Sources. At a minimum, the Financial Source Application 

fonn shall contain the following information: 

(a) The name of the Applicant, including auy trade name to be used aud the Applicant's 

principal place of business. 

(b) Whether the Applicant is a corporation, limited llability company, limited 

partnership or privately-held business entity, including the state in which tbe 

Applicant is organi?.ed and a general description of the nature of the Applicant's 

principal business. 

(c} The name, telephone number and mailii\g address for the contact person responsible 

for the Applicant's accounts payable and billing information. 

(d) The tax reporting status of the Applicant. 

(e) /\ list of all Persons that directly hold more than 10% of the ownership interests of 

the Applicant. 

(t) A list of the Applicant's officers and directors. 

(g) If a publicly-traded company, the Applicant's ticker symbol and a list of all 

exchanges 011 which the Applicant's shares are traded 

(h) A lisL of any state or fe<leral government agencies by which the Applicant is 

regulated. 

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

31 
An Applicant fot• a Financial Sonrce License wlll be required to provide evidence that the 

Applicant is eligible for Iicensure as a Financial Source (if applicable), and a statement 

committing the Applicant to notify the Commission ond the State Gaming Agency 

promptly of any termination of the Applicant's eligibility as a Financial Source. 

l 3.6 Financial Source /\ppllcation Forms and Procedures - lndividlUll. The Financial Source 

Application fonn for individuals shall contain the following information: 

(a) The Applicant's full name, including all other names used (oral or wriltcn), current 

11ome and work addresses and telephone numbers, gender, Social SccuriLy Number, 

place of birth, date of birth, citizenship, malital information, educational and 

military background and driver's license number(s) and t11e addresses of his or her 

residences over the past five years. 

(b) The names, current addresses, and telephone numbers of three references who are 

not. related to the AppJicant and who were acquainte.d with the Applfoant when the 

Applicant resided at each of the addresses listed under paragraph (a) above. 

(c) A list of the Applicant's current and previous jobs over the preceding five years, 

including the names, addresses, and telephone numbers of his or her employers, and 

the positions held. 

(d) A statement as to whether the Applicant has had any past employment with, or 

ownership interest in, any gaming-related business. If so, the Applicant shall 

provide a written statement desctibing his or her position, the dates during which 

the position was held, a description of the AppHcant's ownership interest (when 

applicable), job responsibilities, the name, address, and telephone number of the 

business, and the name and address of an individual who can attest to the accuracy 

of the information provided. 

(e) A list of all gaming-related licenses for which the Applicant ha~ applied, whether or 

not those licenses were granted, whether any disciplinary actions (including fines or 

temporary suspensions) were taken with respect to such gaming-related licenses, 

and the name, address and telephone number of the regulatory agencies involved. 

(f) A list of all professional and business licenses for which the Applicant has applied, 

whether or not those licenses were granted, and the name, address and telephone 

number of the regulatory agency involved. 

(g) A complete disclosure of any pending dvil or criminal action against the Applicant, 

including the narue, and address of the police department and comt involved. 

(h) A statement as to whet.her or not the Applicant has ever been charged with a crime 

and if so, the charge, the name and address of the court involved, the final 

disposition of the case, and the date of final disposition. 

(i) A disclosure of any civil or criminal judgments rendered against the Applicant, 

including the case nnmber, a description of the judgment, and the name and address 

of the court involved. 

32 
13.7 Reliance on Previously Issued License. In lieu of completing its own background 

investigation, and to the extent that doing so does not conflict with or violate (GRA or the 

Compact, the Commission may contract with the State Gaming Agency for the conduct of 

background investigations, may rely on a state finding of suit:abiJity previously issued under a 

gaming compact involving another ttibe, or may rely on a State gaming license previously issued 

to the Applicant, to fulfill some or all of the Commission's background investigation obligation. 

13.8 Duration; Renewal Process. A Financial Source License shall be issued for a period of 

two years, and shall be renewed every two years thereafter. Applicants for a renewal of a 

Financial Source License shall provide to the Commission updated materials, as requested, on the 

appropriate renewul Applicalions. Applicants for a renewal shall not be required to resubmit 

historical data already available to the Commission. Additional background investigations shall 

not be required of Applicants fo1· a renewal unless lhe Commission determines, based upon the 

disclosure or discovery of new information, that there is a need for further information 

concerning the Applicant's continuing eJigibility for a License. 

13.9 Dispute Resolution. Any Person aggrieved by a final decision of the Commission to granl, 

or deny rut Application for a Financial Source License, 01· to suspend or revoke a Financial 

Source License may utiJjze the dispute resolution procedures set forth in Sections 11.16 and 

11.17, as applicable. 

14. Gaming Reso01'Cc Supplier License 

14.l Licensing Process. Any Gaming Resource Supplier who provides. has provided, or has 

an agreement to provide at Jeast $25,000 in Gaming Resources in any twelve month petiod, or 

who bill> received as compensation for pro'Vi<ling Gaming Resources lo the Gaming Facility or 

Gaming Operation vaJued at $25,000 or more in any consecutive twelve month period within the 

twenty-four month period immediately preceding application, shall be licensed by the 

Commission prior to the sale, lease, or distribution of any such Gruning Resources to the Gaming 

Facility or Gaming Operation. 

14.2 Submission of License to State Gaming Agency. The Commission shall submit to the 

Slate Gaming Agency a copy of each Supplier License. 

14.3 Application Forms and Procedures. The Commission ~hall adopt: 

(a) Managet' Application forms consistent with the standards set. forth in Secti.ons 13.5 

and 13.6 for Financial Source and Financial Source- Individuals. 

(b) Ma,jor Gaming Resource Suppliers Application forms consistent with the standards 

set forth in Sections 13.5 and l3.6 for Financial Source find Financial Source -

Individuals. 

(c) Gaming Resource Supplier Application forms for Gaming Resource Suppliers that 

are not Major Gaming Resource Suppliers consistent with the forms and procedures 

utilized by lh~ State Gaming Agency for Gaming Resource Suppliers. 

:n 
All Snpplier License Application forms shall, at a minimum, require the name of the Applicant, 

Lhe li(Wre:ss of the Applicant's principa1 pl ace of business, nnd evidence that tl1e Applicant is 

eligible for ticensure as a Gaming Resource Supplier. 

14.4 Exemptions. The Commission may exclude Providers of Non-Gaming Services from the 

Supplier License tequirement (a) if the Providers of Non-Gaming Services provide services or 

purvey equipment or furniture that is not specifically designed for, and is distributed generally for 

use othe1· than in connection wirh, Gaming Activities, (b) if the Provider of Non-Gaming Services 

does not additionally provide Gaming Equipment to the Gaming Facility or Gaming Operation, 

(c) if the compensation received by the Provider of Non-Gaming Services is not grossly 

disproportionate lo lhe value of the goods or services provide<l, and (d) if the Provider of NonGami11g Services is not otherwise a Person who exercises a significant influen<.;e over the Gaming 

Operation. The Commission may adopt separate Application forms and procedures to license or 

otherwise register Providers of Non-Gaming Services than those used by Gaming Resource 

Suppliers. 

14.5 Man.ager Licensing Process. The Manager and those Affiliates and Rdated Per.sons 

required to be licensed pursuant to Section 16 of this Ordinance shall submit Applications to the 

Commission in the manner provided within Se<.;tion 14.3(a) wilhin 120 days of submission of a 

Management Agreement to the NIGC. The Commission shalli after its background investigation 

of such Applicant, render a decision as f.o whether such Applicant i!I eligible for licensurc within 

120 days of receipt of the aforementioned Applications. 

The Commission shall not delay, deny, suspend, condition, revoke, terminate or fail to renew a 

License that has been issued Lo the Manager or a Manager Afliliate based upon the following: 

(a) any matter, condition or circumstance, other than those specified in Section 

l I. l 2(a); 

(b) any matter, condition or circumstance which has been corrected or cured; 

(c) any breach or alleged breach of a Management Agreement or Definitive 

Agreement; 

(d) the unsuitability, action or omission of any Person if the Manager or Affiliate, as 

the case may bt:, promptly removes such Person from any duties or responsibilities 

which require such Person to apply for or obtain a License from the Commission, 

unless the Manager or Affiliate, as the case may be, has engaged in a pattern of 

gross negligence and lack of oversight of Persons who have engaged in theft, 

misappropriation, misuse or abuse of Tribal assets. 

14.6 .Reliance on Previously !.~sued Ur:f.tiSP.. In lien of completing its own background 

investigation, and to the extent that doing so does not conllicl with or violate IGRA or the 

Compact, the Commission may contract with the Stale Gaming Agency for the conduct of 

background investigations, may rely 011 a state tin<ling of suitability previously issued under a 

gaming compact involving anolher tribe, or may rely on a State gaming Jicense prev1ously issued 

lo the Applicant, to fulfiU some or all of the Commission's background investigation obhgation. 

34 ~S~ #.+l~J811.6..J 
14.7 Duration; Renewal Process. A Supplier License shall be issued for a period of two 

years, and shall be reviewed a11d renewed, if appropriate, every two years thereafter. Applicants 

for a renewal of a Supplier License shall provide to the Commission updated materials, as 

requested, on the appropriate renewal Applications. Applicants for a renewal shall not be 

required Lo resubmit hjstorical data already available to the Commission. Additional background 

investigations shall not be required of Applicants for a renewal unless th~ Commis.~ion 

determines, based upon the disclosure 01· discovery of new information, that there is a need for 

further information conceming the Applicant's continuing eligibility for a License. 

14.8 Dispute Resolution. Any Person aggrieved by a final decision of the Commission to 

grant, or deny an Application for a Supplier License, or to suspend or revoke a Supplier License 

may utilize the dispute resolution procedmes set forth in Section 11.16, 1 l.17 or 11.18, as 

applicable. 

15. Fees 

15.1 License and Application and Renewal Fees. The Commission shall establish a fee 

schedule for Applications and Licellse renewals. Unless specifically waived by the Co1mnission, 

all Persons applying for a License shall be required to pay application and investigation fees 

wlien due, including a reasonable deposit for costs that may be incur.red in connection with the 

License investigation. Estimates of investigation costs will be provided to Applicants upon 

request. The Commission will set the Application feeri and any applicable License renewal fees 

at amounts reflecting the actual cost to the Commission of enforcing this Ordinance and 

conducting investigations. 

16. Rntitles 

16.1 T.icensing Criteri.a. For Applicants who are businesf> entities, the licensing provisions of 

this Ordinance shall apply to the entity as well as: 

(a) each of its officers and directors; 

(b) each of its principal management employees, including any chief executive officer, 

chief financial officer, chief operating officer, and general manager; 

(c) each of its owners or partners, if an unincorporated business; 

(d) each of its shareholders who owns more than 10% of the shares of the corporation, 

if a corporation, or memht:rs who own more than a 10% membership interest of the 

limited liability company, if a limited liability company; and 

(e) Each Person (other than 1:1 Financial Source exempt under Section 13.2 of this 

Ordinance) that, alone or in combination with others, has provided financing in 

connection with any Gaming Activity at the Gaming Operation, if that Pe1'!lon 

provided more than 10% of: 

( l) the stalt-up capital; 

(2) tlle operating capital over a 12-month period; or 

35 
(3) a combination thereof. 

For purposes of this Section, where there is any commonality of tho characteristics identified in 

(a) through (e) inclusive between any two or more entities, those entitieR may be deemed to be a 

single entity. 

16.2 Institutional Investor. In the event an Institutional Investor directly or indirectly holds 

shares of a corporation or membership interests in an Applicant or Licensee or parent company of 

an Applicant or Licensee through its Affiliates, then such Institutional Investor shall not be 

required to submit an Application unless such Institutional htvestor indirectly holds, through its 

Affiliates, more than 25% of the issued and outstanding shares or membership interests of an 

Applicant or Licensee or parent company of an Applicant or Licensee. 

17. Games 

17 .1 Who May Not Play. It i{l the policy of the Tribe that particular Gaming Personnel, 

governmental officials and independent contractors may not participate in Gaming Activities 

conducted at the Gaming Facility. Al a minimum, members of the Executive Committee, the 

Commission, the Executive Director, and members of Senior Gaming Management may not 

participate in any Gaming Activity on the Tribe's Indian Lands. Senior Gaming Mnnag-cment 

shall develop and maintain a standard operating procedure that identifies other positions and any 

applicable restrictions on Gaming Activity conducted at Tribal Gaming Facilities on file with the 

Commission. 

17.2 Patron Disputes. Any Palron of the Gaming Pa.cility who has a dispute, disagreement or 

other grievance lhat involves any Gaming Activity offered at the Gaming Facility shall have their 

dispute resol v~ in the following manner. 

(a) Any Patron with a Gaming dispute shall be notified of Lhe Patron's right to submit a 

written statement of the facts or circumstances surrounding the dispute with Senior 

Gaming Jvlauagcmcnt. Such wriLten statement must be submitted with1n five days of 

the day on which the dispute occurred. Senior Gaming Management shall have five 

days to provide a written response to the Patron. If the dispute is not resolved to the 

satisfaction of the Patron, Lhe Patron has the right to contact the Commission to 

resolve lhe tlii:1pute within thirty days of the day on which the dispute occurred. If the 

Patron contacts the Commission to resolve the dispute, Senior Gaming Management 

will provide to the Commission copies of the Patron's statement and Senior Gaming 

Management's response. 

(b) All disputes which are snhtnitted to the Commission for resolution shall be decided 

hy the Commission based on information provided by the Patron and Senior Gaming 

Management. The decision of the Commissio11 shall be in writing oopied to the 

Patron and to Senior Gaining Management, and shall be issued within fifteen days of 

submission of the matter to the Commission. The deci~ion of the Commission 

regarding any Patron dispute shall be final and shall not be subject to further review 

by any court in any jurisdiclion. 

36 
18. Miscellaneous 

18.1 (jaming Rules. Gaming operated under this Ordinance shall be consistent with the 

Compact and any amendments thereto. 

(a) All rules, Regulations and procedures for Games, including the method of play and 

the odds and method of determining amounts paid to winners, shall be approved 

and maintained by the Commission. 

(b) Information regarding hetting limits, the method of play, odds and payoff 

determinations shall be visibly displayed or available to Patrons in written form in 

the Gaming Facility. 

18.2 Use of Net Gaming Re11enues. Net Revenues from the Gaming Operation may only be 

used for the following pwposes: (a) to fund Tribal government operations or programs; (b) to 

provide for the general welfare of the Tribe and its members; (c) to promote Tribal economic 

devdupment; (d) to donate to charitable organizations; and (c) to help fund operations of local 

government agencies. 

18.3 Minimum Internal Control Standards. TI1e Commission shall promulgate Regulations for 

the minimum internal control standard'! of the Gaming Operation. The minimum internal control 

standards shall: 

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

103; and 

(b) Establish internal control standards for all Class n and Clai;s TU Gaming Activities 

consistent with the requirements of this Ordinance, TGRA, the Compact, and the 

State Gaming Agency's Uniform Tribal Gaming Regulations. 

The Commission shall require the Gaming Operation to implement a system of internal controls 

which complies with the minimum internal control standards adopted by the Commission. The 

Commission sllalJ monitor and enforce compliance with the minimum internal control standards 

adopted by the Commission. 

18.4 Annual Audit. An annual audit of the Gaming Operation shall be conducted by an 

indc-pcndcnl, certified public acCQunting firm in accordance with the auditing and accounting 

standards for audits of casinos of the American Institute of Certified Public Accountants. Copies 

of the annual audit will be provided to the Executive Committee, the Commission and Senior 

Gaming Management. The Commission shall submit the annual audit to the NIOC upon receipt. 

All gaming related contracts for supplies, services, or concessions in excess of twenty-five 

thousand dollars ($25,000) shall be included in the scope of this audit. Contracts foe legal 

services nnd accounting services are exempt from this requirement 

18.5 Commission Right to Condtsct Audits. The Commission may require audits of the 

financial statements of the Gaming Operation and of any Gaming Activity. The Commission 

shall require such audits lo occur when nece..~sary to ensure the integrity, curity, honesty and 

fairness of t11e Gaming Operation and all Gaming Activity. The Commission shall take 

reasonable steps to cuorclinate the liming of these audits with the annual audit, provided that the 

37 
Commission may require audits to occur at other times if necessary to preserve the assets of the 

Tribe or ensure the integrity, security, honesty and fairness of the Gaming Operation or any 

Gaming Activity. Such audits may: 

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

State of California; 

(b) Include an opinion (qualified or unqualified), or if appropriate, disclaim an opinion 

on the financial statements taken as a whole in accordance with standnrds of the 

accounting profession established by rules and requirements of the California State 

Board of Accoumaacy and the American Institute of Certified Pubtic Accountants; 

(c) Disclose whether the accounts, records and control procedures maintained by the 

Gaming Operation are as required by the Compact, Ordinance or Regulations; and 

(d) Provide for a review of the Gaming Operation's system of internal controls Lo 

disclose any deviation from prescribed rules, requirements, or industry practice and 

report such finding to the Commission and Senior Gaming Management. 

18.6 Gaming Device Technical Standards. The Commission shall adopt technical standards 

and specifications for the operation of Gaming Devices and other games consistent with the 

Compact and any amendments thereto. 

18.7 Exclusion or Ejection of Individuals. The Cmnmission shalt provide for the establishment 

of a list of individuals who are to be excluded or ejected from the Gaming l:'acility. The list shall 

include any individual whose presence in the Gaming Facility is dete1mined by the Commission. 

to pose a threal to the integrity of Gaming Operation, a threat to the health, safety or welflu·e of 

Gaming Personnel or PatrOn8, interests of the Tribe, or State of California. Race, religious creed, 

color, national origin, ancestry, physical or mental disability, medical condition, marital status, 

sex, age, or sexual orientation must not be grounds for placing the name of an individual on the 

list. The Commission shall promLllgntc Regulations providing due process to any individual 

whose name the Commission is considering placing on the exclusion list. ll shall be a violation of 

this Ordinance for any Licensee to knowingly fail to exclude or eject from a Gaming Facility any 

individuals placed on the exclusion list. It :-ihall be a violation of this Ordinance for any 

individual whose name appt:1U'8 on the exclusion list to enter into or engage in any Game at the 

Gaming Facility. 

18.8 Emergency Evacuation and Preparedness Plans. For the purpose of ensuring the 

physical safety of the Gaming Operation and its Patrons and Gaming Personnel, and any other 

individuals present in the Gaming Facility, the Commission shall develop and implement an 

Emergency Evacuation and Preparedness Plan in compliance with the State Gaming Agency's 

Uniform Tribal Gaming Regulations. 

18.9 Minors. The Gaming Operation shall not permit individuals under the age of 18 to b~ 

present in any room it1 which Gaming Activities are being conducted unless the individual is 

enrouto to u non-Gaming area of the Gaming Facility. The Gaming Operation shall prohibit 

io<lividuals under the age of 21 to be present in any area in which Gaming Activities art: being 

conducted an<l in which alcoholic beverages may be consumed, unless the individual is en route 

to a non-Gaming area of the Gaming Facility. 

38 
18.10 Severability. Should a provision of this Ordinance or the application of a provision of 

this Ordinance be determined to be invalid, the invalidily shall not affecl the other provisions of 

this Ordinance. 

18. 11 Repeal. This Ordinance shall repeal an<l supersede all previous Gaming ordinances 

adopted by the Tribe. This Ordinance shall also repeal and supersede all other Tribal policies, 

regulalions, rules, motions, memoranda, and other similar acts which are inconsistent with this 

Ordinance. Specifically, the Jamul Indian Village Class II Gaming Ordinance, adopted on August 

3, 1993, approved by the NlGC on January 4, 1994, notice of which was published in the Federal 

Register on January 29, 1999, is repealed by this Ordinance. 

18.12 Amendments. AU provisions of this Ordinance arc subject to amendment by the 

Executive Committee. All amendments to this Ordinance shall be effective upon the date of 

passage by the Executive Committee and approval by the Chairman of the NIOC. Jn the event 

that the Tribe or the Commission enact any law, ordinance or regulation (including amendments 

to this Ordinance) which is more stringent or burdensome than applicable federal or State legal 

requirement~ or the terms of the Compact, then the provisions of this Ordinance shall apply to U1e 

Manager and its Affiliates, and any new or amended provision shall not apply to any action or 

detenninations of the Commission, unless such new or amended law, ordinance or regulation is 

required by IGRA or is agreed to by the Manager. 

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

Chairman of the NIGC. 

39