July 1,2013 

By First Class Mail 

Raymond Hunter, Chairman 

Jamul Indian Village 

PO Box 612 

Jamul, CA 9 1935 

Re: Jamul Indian Village amended Gaming Ordinance 

Dear Chairman Hunter: 

This letter responds to your request for the National Indian Gaming Commission (NIGC) 

to review and approve the Jamul Indian Village Gaming Ordinance 20 13-05 submitted on April 

5,20 13. The amended ordinance was approved by Resolution No. 20 13-07, dated April 3,20 13. 

Upon approval by the NIGC Chair, the Resolution repeals the tribal gaming ordinance originally 

approved by the NIGC Chair on January 4, 1994. 

On May 14,20 1 3, NIGC Office of the General Counsel staff provided the Tribe with 

suggested changes to the ordinance for it to comply with the Indian Gaming Regulatory Act 

(IGRA) and NIGC regulations, including the recently revised parts 556 and 558. On June 14, 

20 13, the Tribe re-submitted an amended gaming ordinance that was revised in accordance with 

the suggested changes. 

This letter constitutes approval of the amended gaming ordinance as it is consistent with 

the requirements of IGRA and NIGC regulations. If you have any questions, please feel free to 

contact Staff Attorney Armando Acosta at 202-632-7003. 

Sincerely, 

Tracie L. Stevens 

Chairwoman 

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 91 00, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.GOV 

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK 
 

JAMUL INDIAN 

VILLAGE 

GAMING ORDINANCE 

ORDINANCE 

2013-05 
TABLE OF CONTENTS

Page

-i- 3518116.3 

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

1.1 Purpose and Policy ..................................................................................................1 

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

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

2. Gaming Authorization ............................................................................................................1 

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

2.2 Class II and Class III Authorization. .......................................................................1 

2.3 Unauthorized or Unapproved Gaming. ...................................................................1 

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

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

4.1 Delegation of Duties. ...............................................................................................7 

4.2 Registered Agent. .....................................................................................................7 

5. Jamul Gaming Commission ...................................................................................................7 

5.1 Establishment and Purpose......................................................................................7 

5.2 Duration and Attributes. ..........................................................................................7 

5.3 Sovereign Immunity of the Tribe. .............................................................................7 

5.4 Assets of the Commission. ........................................................................................8 

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

5.6 Gaming Commission Background Investigation. ....................................................8 

5.7 Term of Office. .........................................................................................................9 

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

5.9 Removal....................................................................................................................9 

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

5.11 Duties, Powers and Responsibilities. .....................................................................10 

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

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

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

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

5.16 Gaming Commission Staff......................................................................................12 

5.17 Ethics......................................................................................................................12 
TABLE OF CONTENTS

(continued) 

Page

-ii- 3518116.2

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 the Commission; Confidentiality of Information. .15 

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

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

9. Gaming Surveillance: Powers, Duties and Limitations .......................................................16 

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

9.2 Responsibilities. .....................................................................................................16 

9.3 Surveillance Records. ............................................................................................16 

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

10.1 Purpose. .................................................................................................................16 

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

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

10.4 Responsibilities. .....................................................................................................17 

11. Licensing of Primary Management Officials, Key Employees and Gaming Employees ....17 

11.1 Summary of Licensing Principles. .........................................................................17 

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

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

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

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

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

11.7 Temporary Licensure. ............................................................................................21 

11.8 Reliance on Previously Issued License. .................................................................21 

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

11.10 License Issuance; Renewals. ..................................................................................22 

11.11 Badge. ....................................................................................................................23 
TABLE OF CONTENTS

(continued) 

Page

-iii- 3518116.2

11.12 Suspension or Revocation of License. ....................................................................23 

11.13 Temporary Suspension of an Individual’s License. ...............................................25

11.14 Notice to Executive Committee. .............................................................................26 

11.15 Record of Proceedings. ..........................................................................................26 

11.16 Appeals. ..................................................................................................................26 

11.17 Appeals for Major Gaming Resource Suppliers and Financial Sources. ..............26 

11.18 Appeals for Manager and Manager’s Affiliates. ...................................................27 

11.19 Arbitration..............................................................................................................28 

11.20 Reconsideration. ....................................................................................................29 

12. Gaming Facility License ......................................................................................................29 

12.1 Compliance with Applicable Standards. ................................................................29 

12.2 Licensing Requirement...........................................................................................29 

12.3 Threshold Licensing Criteria. ................................................................................29 

12.4 Display of Gaming License. ...................................................................................29 

12.5 License Duration. ...................................................................................................29 

12.6 Submission of License to NIGC and State Gaming Agency. ..................................30 

12.7 Notice of Illegal Gaming Activity. .........................................................................30 

13. Financial Source License .....................................................................................................30 

13.1 Licensing Process. .................................................................................................30 

13.2 Exemptions. ............................................................................................................30 

13.3 Registration for Holders of Tribal Bonds. .............................................................30 

13.4 Submission of License to State Gaming Agency. ...................................................31 

13.5 Application Form and Procedures.........................................................................31 

13.6 Financial Source Application Forms and Procedures – Individual. .....................32 

13.7 Reliance on Previously Issued License. .................................................................32 

13.8 Duration; Renewal Process. ..................................................................................33 

13.9 Dispute Resolution. ................................................................................................33 

14. Gaming Resource Supplier License .....................................................................................33 

14.1 Licensing Process. .................................................................................................33 

14.2 Submission of License to State Gaming Agency. ...................................................33 
TABLE OF CONTENTS

(continued) 

Page

-iv- 3518116.2

14.3 Application Forms and Procedures. ......................................................................33 

14.4 Exemptions. ............................................................................................................34 

14.5 Manager Licensing Process. ..................................................................................34 

14.6 Reliance on Previously Issued License. .................................................................34 

14.7 Duration; Renewal Process. ..................................................................................34 

14.8 Dispute Resolution. ................................................................................................35 

15. Fees .......................................................................................................................................35 

15.1 License and Application and Renewal Fees. .........................................................35 

16. Entities ..................................................................................................................................35 

16.1 Licensing Criteria. .................................................................................................35 

16.2 Institutional Investor. .............................................................................................36 

17. Games ...................................................................................................................................36 

17.1 Who May Not Play. ................................................................................................36 

17.2 Patron Disputes. ....................................................................................................36 

18. Miscellaneous .......................................................................................................................36 

18.1 Gaming Rules. ........................................................................................................36 

18.2 Use of Net Gaming Revenues. ................................................................................37 

18.3 Minimum Internal Control Standards. ...................................................................37 

18.4 Annual Audit. .........................................................................................................37 

18.5 Commission Right to Conduct Audits. ...................................................................37 

18.6 Gaming Device Technical Standards. ....................................................................38 

18.7 Exclusion or Ejection of Individuals. .....................................................................38 

18.8 Emergency Evacuation and Preparedness Plans. .................................................38 

18.9 Minors. ...................................................................................................................38 

18.10 Severability. ...........................................................................................................38 

18.11 Repeal. ...................................................................................................................38 

18.12 Amendments. ..........................................................................................................39 

18.13 Effective Date. ........................................................................................................39 
3518116.3 

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 Tribe 

regarding all Gaming Activities conducted on the Tribe's Indian Lands. The Ordinance is 

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

entities, vendors, boards, committees, commissions and administrative review bodies on the 

Tribe’s Indian Lands. The purpose of this Ordinance is to ensure that the Gaming Activities 

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

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

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

intent of the Tribe that this Gaming Ordinance and provisions within shall be interpreted in a 

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

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

responsibility for the conduct of all Gaming Activities authorized by this Ordinance; provided, 

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

management of all or part of the Gaming Operation. 

1.3 Name. This Ordinance shall be known as the Jamul Indian Village Gaming Ordinance. 

2. Gaming Authorization 

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

the Tribe. 

2.2 Class II and Class III Authorization. Class II and Class III Gaming are each hereby 

authorized on the Tribe’s Indian Lands. 

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

on the Tribe’s Indian Lands except as authorized pursuant to this Ordinance is prohibited. 

3. Definitions 

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

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

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

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

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

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

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

other interests, by contract, governmental authority or otherwise. 

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

License, Financial Source License or Supplier License pursuant to Sections 11, 12, 13, and 14 of 

this Ordinance. 

3.3 Application means any application for a Gaming License, Gaming Facility License, 

Financial Source License, or Supplier License. 
 2 3518116.3 

3.4 Bond means any security within the meaning of the Securities Act of 1933 (15 U.S.C. § 

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

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

on behalf of all holders of the bonds. 

3.5 Class I Gaming means social games solely for prizes of minimal value or traditional 

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

ceremonies or celebrations. 

3.6 Class II Gaming means: 

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

computer or other technologic aids are used in connection therewith) in which: 

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

numbers or other designations. 

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

similarly numbered or designated, are drawn or electronically determined. 

(3) The game is won by the first individual covering a previously designated 

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

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

other games similar to bingo. 

(b) Card games which: 

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

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

location in the State, but only if such card games are played in conformity 

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

periods of operation of such card games or limitations on wagers or pot sizes 

in such card games. Class II Gaming does not include any banking card 

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

electronic or electro-mechanical facsimiles of any game of chance or slot 

machines of any kind. 

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

3.8 Commission means the Jamul Gaming Commission as established by this Ordinance. 

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

3.10 Compact means the Gaming compact between the Tribe and the State of California 

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

3.11 Compliance Certificate means a certificate issued by a qualified building and safety 

expert which states that the construction of the Gaming Facility complies with the Tribe’s 

applicable building and safety codes. 
 3 3518116.3 

3.12 Definitive Agreement means any contract or instrument between the Tribe and the 

Manager or its Affiliates which is not a Management Agreement. 

3.13 Executive Committee means the elected governing body of the Tribe exercising authority 

pursuant to Article 8, Section 1(h) of the Constitution of the Jamul Indian Village. 

3.14 Financial Source means a Person extending or guaranteeing financing, directly or 

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

Gaming Facility or Gaming Operation. 

3.15 Financial Source License 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 considered Class II or Class III Gaming. 

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

3.18 Gaming Employee means any individual who (a) operates, maintains, repairs, assists in 

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

individuals who conduct, operate, account for, or supervise any such Gaming Activity, (b) is an 

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

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

open to the public. 

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

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

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

Facility. 

3.20 Gaming Facility means any building on the Tribe’s Indian Lands in which Gaming 

Activities or Gaming operations occur, or in which the business records, receipts, or other funds 

of the Gaming Operation are maintained (but excluding offsite facilities primarily dedicated to 

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

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

Operation. 

3.21 Gaming Facility License means the official 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 the Commission 

to an Applicant in order to be a Primary Management Official, Key Employee, or Gaming 

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

Gaming License. 

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

Activities. 

3.24 Gaming Personnel means any individual employed by the Gaming Operation. 
 4 3518116.3 

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

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

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

playing cards and dice, furniture designed primarily for Gaming Activities, maintenance or 

security equipment and services, and Class III Gaming consulting services. “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 Resource Supplier does not 

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

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

not otherwise a Gaming Resource Supplier, the compensation received by the purveyor is not 

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

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

3.27 Incident means an accident, event or omission involving any individual on the premises 

of the Gaming Facility which results in injury, damage to property, loss of revenue or any 

unusual interruption in the conduct of any Game. 

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 Indian Lands means all lands within the exterior boundaries of the reservation of the 

Tribe and any lands title to which is either held in trust by the United States for the benefit of the

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

against alienation and over which the Tribe exercises governmental power. 

3.30 Institutional Investor means any: 

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

(b) banking, chartered, or licensed lending institution; 

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

1940, as amended; 

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

company; 

(e) investment company registered under Section 8 of the Investment Company Act of 

1940, as amended; 

(f) investment advisor registered under Section 203 of the Investment Advisors Act of 

1940, as amended; 

(g) collective trust funds as defined in Section 3(c)(11) of the Investment Company Act 

of 1940, as amended; 

(h) closed end investment trust; 
 5 3518116.3 

(i) employee benefit plan or pension fund that is subject to 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 

charter, bylaws, management, policies, or operations of the business entity in which it holds 

those securities. 

3.31 Jamul 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 Gaming Operation in a supervisory 

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

including, without limitation: 

(a) Pit bosses; 

(b) Shift bosses; 

(c) Credit executives; 

(d) Cashier operations supervisors; 

(e) Gambling operation managers and assistant managers; or 

(f) Managers or supervisors of security employees. 

(g) Bingo caller; 

(h) Custodian of Gaming supplies or cash; 

(i) Floor manager; 

(j) Dealer; 

(k) Croupier; 

(l) Custodian of Gaming Devices, including individuals with access to cash and/or 

accounting records within such Gaming Devices; 

(m) If not otherwise included in Section 3.32(a)-(l), any other individual whose total cash 

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

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

employees of the Gaming Operation. 
 6 3518116.3 

3.33 License shall mean a Gaming License, Gaming Facility License, Financial 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 the Tribe has entered into a 

Management Agreement. 

3.38 Net revenues means gross Gaming revenues of the Gaming Operation less (a) amounts 

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

those expenses of the Gaming Operation commonly known as operating expenses and nonoperating expenses consistent with professional accounting pronouncements, excluding 

management fees. 

3.39 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 Jamul Indian Village Gaming Ordinance, as it may from time to 

time be amended. 

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

Gaming Facility. 

3.43 Person means any person or entity, whether a natural person, trustee, corporation, general 

partnership, limited partnership, limited liability company, limited liability partnership, trust, 

estate, business association, Indian tribe (including the Tribe), commission, instrumentality, firm, 

joint venture, governmental authority, Affiliate of the Tribe, or otherwise. 

3.44 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 Employees, or (ii) to set 

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

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

responsibility. 

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

provide Gaming Equipment or services directly 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. 
 7 3518116.3 

3.46 Regulation means a Gaming regulation adopted by the Commission in accordance with 

the terms of this Ordinance. 

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

more than 5% of the outstanding shares), manager, or member of the Manager or the Manager’s 

Affiliates. 

3.48 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 California. 

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 with Section 

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

limited to, the California Gambling Control Commission. 

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

Supplier. 

3.52 Tribal means of or pertaining to the Tribe. 

3.53 Tribe means the Jamul Indian Village. 

4. Executive 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 Agent. The Chairperson of the Tribe shall be the designated and registered 

agent to receive notice of violations, orders, or determinations which are issued pursuant to 

IGRA or the Compact. 

5. Jamul Gaming Commission 

5.1 Establishment and Purpose. There shall be a Commission whose purpose is to exercise 

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

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

this Ordinance. It is the responsibility of the Commission to conduct on-site regulation of the 

Gaming Operation in order to enforce the terms of the Compact, IGRA and this Ordinance. 

5.2 Duration and Attributes. The Commission shall have perpetual existence and succession 

in its own name, unless dissolved under Tribal law. The Tribe reserves unto itself the right to 

bring suit against any Person in its own right, on behalf of the Tribe, or on behalf of the 

Commission, whenever the Tribe considers it necessary to protect the sovereignty, rights, and 

interests of the Tribe or the Commission. 

5.3 Sovereign Immunity of the Tribe. The Commission irrevocably waives its right to assert 

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

administrative hearing or arbitration contemplated under this Ordinance; (b) as an objection or 
 8 3518116.3 

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

Ordinance; (c) in any action (1) to enforce an obligation to arbitrate in the manner provided 

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

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

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

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

the decisions of the Jamul Tribal Court may be appealed. 

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

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

shall implicate or involve assets of Tribal members or the Tribe which are not assigned to the 

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

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

5.5 Number of Commissioners; Qualifications; Background Investigation. 

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

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

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

Commissioner. 

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

(1) Must be an enrolled member of the Tribe; 

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

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

of the Commission. 

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

(1) Gaming Personnel; 

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

(including any principal thereof); 

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

(4) Members of the Executive Committee. 

(d) The Commissioner qualifications set forth in this Ordinance may be modified by 

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

three months due to a lack of qualified applicants.

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

thorough background 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 interest as part of
 9 3518116.3 

such background investigation. No individual shall be eligible for appointment to, or continue 

services on, the Commission, if: 

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

any of the following offenses and the conviction has not been pardoned by the 

Tribe or otherwise removed from the record by executive pardon or state court 

order: 

(1) A felony; 

(2) Any offense involving fraud or misrepresentation; 

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

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

Compact; or 

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

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

enhance the dangers of unsuitable, unfair, or illegal 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 virtue 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 or 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 years. After receiving 

recommendations from the Commission Chairperson, the Executive 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 the terms of 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 and provide continuity on the Commission. The 

Commissioners may be reappointed for successive terms. 

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 

Executive Committee. 

5.10 Vacancies. If any Commissioner shall die, resign, be removed, or otherwise be unable to 

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

successor to fill the position. The term of office of any individual so appointed shall be for the 

balance of the unexpired term for such position. 
 10 3518116.3 

5.11 Duties, Powers and Responsibilities. The Commission shall perform all duties, exercise

all powers, promulgate all Regulations, assume and discharge all responsibilities 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 Gaming 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 contained 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) To draft internal Commission bylaws and operating procedures appropriate to 

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

conduct and operating procedures that identify the method by which the 

Commission will monitor and investigate compliance with applicable Gaming laws; 

(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 NIGC on any matter; 

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

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

which is to enable the Tribe to carry out the purpose and intent of this Ordinance, 

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

however, that no such proposal shall have 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 Facility; 

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

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

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

Gaming Equipment and any premises where Gaming Equipment is distributed, 

provided that all monitoring and investigations must be conducted pursuant to 

policies and procedures adopted in conformance with Tribal law and that all 

monitoring and investigations are for the purpose of determining compliance with 

applicable Gaming laws; 

(h) To draft and implement licensing procedures, including the establishment and 

imposition of licensing fees, for all Primary Management Officials, Key 

Employees, Gaming Employees, Financial Sources, and Gaming Resource 

Suppliers; 

(i) To approve or disapprove the Gaming License of any Applicant; 
 11 3518116.3 

(j) To suspend or revoke any Gaming License consistent with this Ordinance; 

(k) To develop procedures for the establishment and maintenance of a list of 

individuals banned from the Gaming Facility; 

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

(m) To approve the Gaming Operation’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 is 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 commensurate 

fine; and 

(w) To seize any 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 its Affiliates for breach or alleged breach of a Management Agreement 

or Definitive Agreement. 

5.12 Meetings. Meetings of the Commission shall be held at least once each month and 

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

held if requested by the Chairperson or by at least two other Commissioners. Meetings may be 

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

5.13 Full-time or Part-time Exclusivity. The Commission shall identify the appropriate work 

schedule for its members and employees. Each Commissioner and the Executive Director shall 

perform his or her duties and responsibilities on a full-time or part-time basis, as determined by 

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

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

to perform duties on behalf of the Commission or that competes with the Tribe’s interests. 
 12 3518116.3 

5.14 Reporting Requirements. The Commission shall adhere to the following reporting 

requirements: 

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

less than quarterly. 

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

Executive Committee within thirty days of their approval. 

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

be provided to the Executive Committee. 

5.15 Compensation and Annual 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 budget 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 Commission Staff. Commission staff shall be supervised by the Executive 

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

an individual who meets the standards and qualifications set forth in Section 11.6. 

5.17 Ethics. 

(a) Commissioners and Commission staff shall not hold financial interests that conflict 

with the conscientious performance of their duties.

(b) Commissioners and Commission staff shall not engage in financial transactions 

using nonpublic information or allow the improper use of such information by 

others on their behalf to further any private interest. 

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

item of monetary value, including complimentary items or services, from any 

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

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

substantially affected by the Commission. This restriction does not apply to items 

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

all members of the Commission. 

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

(e) Commissioners and Commission staff shall act impartially, in accordance with all 

relevant tribal, federal and state laws (where applicable), and shall not give 

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

individuals related to Commissioners or Commission staff. 
 13 3518116.3 

(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 authorities. 

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

the appearance that they are violating the law or the ethical standards listed in this 

Section 5.17. 

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

bylaws governing conflicts of interest and codes of conduct. 

(j) Commissioners shall disclose to the Executive Committee any conflicts of interest. 

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

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

interest. If there is a real or apparent conflict of interest related to any matter before 

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

part in a decision related thereto. 

6. Executive Director. 

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

The Commission shall appoint the Executive Director, subject to confirmation of the appointment 

by the Executive Committee. 

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

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

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

(A) Post-secondary education; 

(B) Gaming training; 

(C) Gaming experience in one or more of the following areas: 

(i) Gaming laws or regulations; 

(ii) Gaming operations; 

(iii) Gaming licensing; 

(iv) Auditing; 

(v) Indian law; 

(vi) Administrative reviews; 
 14 3518116.3 

(vii) Background investigations; 

(viii) Surveillance; 

(ix) Law enforcement; or 

(x) Business administration or business management. 

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

standards and qualifications set forth in Section 11.6. 

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

(1) 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 the Tribal government. 

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

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

a lack of qualified applicants. 

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

imposed under this Ordinance and the business of the Commission and shall not 

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

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

company holding a License under this Ordinance. 

6.2 Authority of Executive Director. 

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

Commission delegates to the Executive Director to carry out the Commission's 

functions;

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

technical and administrative personnel as may be necessary; 

(c) The Executive Director may:

(1) Carry out all responsibilities delegated by the Commission; 
 15 3518116.3 

(2) Negotiate and execute any and all contracts for the purchase of goods and 

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

accordance with the procurement policies and procedures of the Tribe; 

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

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

7. Gaming Personnel 

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

years of age. 

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

all employment laws and requirements that are otherwise applicable to employees of the Gaming 

Facility or Gaming Operation. 

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

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

information obtained pursuant to the exercise of its authority and responsibilities shall remain 

confidential and shall not be 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 any supporting materials; 

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

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

Applicant or Licensee; 

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

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

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

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

confidence and treated as confidential; 

(hereinafter, collectively “Application Information”) is confidential and may be reviewed only by 

the Commission, the Commission staff, and, as necessary, by the NIGC and the State Gaming 

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

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

NIGC or the State Gaming Agency, as necessary, will require: (1) the prior written voluntary 

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

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

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

Information to someone other than the Commission. Any Application Information provided by 
 16 3518116.3 

the Commission to the NIGC or the State Gaming Agency will be governed by the applicable 

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

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

because of an ongoing criminal investigation, all records and Application Information retained 

by the Executive Director or the Commission shall be retained for a period of 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 or Commission policy. 

9. Gaming Surveillance: Powers, Duties and Limitations

9.1 Purpose. The purpose of surveillance is to assist in safeguarding the Gaming Operation’s 

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

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

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

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

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

without the approval of, the Commission. 

9.2 Responsibilities. Surveillance shall be responsible for all Gaming surveillance activities 

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

is responsible for the: 

(a) Development, implementation, and maintenance of written policies and procedures 

for the conduct and integrity of the surveillance department, subject to approval of 

the Commission; 

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

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

approval of the Commission; and 

(c) Maintenance of the Gaming Facility surveillance floor plan required pursuant to the 

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

address Commission access to the surveillance system, which may include 

dedicated access, at the Commission’s discretion. 

9.3 Surveillance Records. Surveillance personnel shall provide to Senior Gaming 

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

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

hours of such request. Surveillance shall retain video recordings for at least seven (7) days from 

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

10. Gaming Security: Powers, Duties and Limitations 

10.1 Purpose. The purpose of Gaming security is to assist in safeguarding the Gaming 

Operation’s assets and to protect the Gaming Personnel and Patrons by deterring and detecting 

criminal acts and regulatory violations. 
 17 3518116.3 

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

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

law. 

10.3 Reports. Gaming security shall provide to Senior Gaming Management and the 

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

shall be consistent with the requirements of the Compact. 

10.4 Responsibilities. Gaming security is responsible for the: 

(a) Development, implementation, and maintenance of written policies and procedures 

for the conduct and integrity of Gaming security, subject to approval of the 

Commission; and 

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

governing the use and release of Incident reports, subject to approval of the 

Commission. 

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

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

Operation or Facility who are required to be licensed or to submit to a background 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 by the Commission. 

11.2 Licenses. The Commission shall issue Licenses for all Persons for which a License is 

required under IGRA and the Compact, including: 

(a) Class II and Class III Gaming Facilities; 

(b) Key Employees; 

(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 Employees employed by the Gaming Operation must possess a valid Gaming License or 

have an Application for a Gaming License pending. 

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

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

and additional supplemental information to the Commission on such forms or in such manner as 

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

and Key Employee shall contain the following information. 
 18 3518116.3 

(a) The Applicant’s full name, including all other names used (oral or written), current 

home and work addresses and telephone numbers, gender, Social Security Number, 

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

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

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

(c) The names, current addresses, and telephone numbers of three references who are 

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

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

(d) A list of the Applicant’s current and previous jobs over the preceding five years, 

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

the positions held. 

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

Applicant currently holds, or has within the last five years held, an ownership or 

financial interest. 

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

Tribe or any other Indian tribe, including the position held, the name of the tribe, 

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

information provided. 

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

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

the tribe and the name and address of an individual who can attest to the accuracy 

of the information provided. 

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

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

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

the position was held, a description of the Applicant’s ownership interest (when 

applicable), job responsibilities, the name, address, and telephone number of the 

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

of the information provided. 

(i) A list of all gaming-related licenses for which the Applicant has applied, whether or 

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

regulatory agencies involved. 

(j) A list of all professional and business licenses for which the Applicant has applied, 

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

number of the regulatory agency involved. 

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

(l) Written permission giving the Commission the right to investigate the Applicant’s 

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

credit history. 
 19 3518116.3 

(m) A complete disclosure of any pending civil or criminal action (including any 

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

department and court involved. 

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

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

court involved, the final disposition of the case, and the date of final disposition. 

(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 information which might bring into question the Applicant’s fitness to be 

employed within a Gaming Facility. 

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

jurisdiction of the Commission for purposes of processing the Application. 

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

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

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

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

(1) The Privacy Act of 1974; 

(2) False statements; and 

(3) Credit reporting. 

(t) Each Application shall be accompanied by a photograph of the Applicant. All 

Applicants for a Primary Management Official License or Key Employee License 

are required to submit fingerprint cards. The Commission is hereby identified as 

the law enforcement agency responsible for taking fingerprints. Following receipt 

of an Applicant’s fingerprint cards, the Commission will forward an Applicant’s 

fingerprint cards to the NIGC for a criminal history check through the Federal 

Bureau of Investigation National Crime Information Center . 

The Commission shall amend the Application and investigation procedure for a Gaming 

License in the event that the Tribe receives notice that the Application and investigation 

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

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

by the Commission. Non-Key Gaming Employee Applicants will submit an Application for a 

Non-Key Gaming Employee license to the Commission on such a form or in such manner as the 

Commission may require. The Application for a Non-Key Gaming Employee license shall 

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

Employee’s background, including his or her criminal record, civil and criminal judgments, and 

credit history, but shall not require all of the information detailed in Section 11.4 for Primary 

Management Officials and Key Employees. If the Commission determines that the Applicant is 
 20 3518116.3 

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

criminal history check, the Commission will license the Non-Key Gaming Employee. Non-Key 

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

Section 11.9 of this Ordinance. 

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

Applicants. 

(a) Eligibility for Licensure. The Commission shall review an Applicant’s prior 

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 determined that 

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

effective regulation of Gaming, or creates or enhances dangers of unsuitable, unfair, 

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

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

or Gaming Employee if: 

(1) He or she is under the age of 21; 

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

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

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

pardon or state court order: 

(A) A felony; 

(B) Any offense involving fraud or misrepresentation; or 

(C) Any Gaming related offense; 

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

associations pose a threat to the public interest, threaten the effective 

operation and regulation of Gaming, or create or enhance the dangers of 

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

Gaming; 

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

(5) His or her application to the State Gaming Agency for licensure or a 

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

determination, has been denied or has expired without renewal. 

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

Commission immediately upon the occurrence of any circumstance or event which 

may disqualify the Person from obtaining or retaining a License. Failure to report 

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

License and immediate termination from employment. 
 21 3518116.3 

11.7 Temporary Licensure. The Commission shall develop standards and procedures for the 

temporary licensure of Applicants who have filed an Application for a License. An Applicant 

who has submitted an Application as a Primary Management Official or Key Employee may be 

given a temporary License for a period of ninety days. No Primary Management Employee or 

Key Employee shall continue to be employed if that Primary Management Employee or Key 

Employee does not have a license within ninety days from the start of employment with the 

Gaming Operation. For purposes of temporary licensure, the Commission shall rely upon a state 

gaming license or finding of suitability previously issued to the Applicant from either a 

California, Iowa, Illinois, Nevada, New Jersey, Ohio, or Pennsylvania state gaming agency for 

purposes of satisfaction of a preliminary background investigation. The Commission shall not 

delay or deny the issuance of a temporary license if: (a) a California, Iowa, Illinois, Nevada, New 

Jersey, Ohio or Pennsylvania state gaming agency has issued a license to, or made a 

determination of suitability with respect to, such Applicant, and (b) no state gaming agency has 

revoked or withdrawn such license or determination of suitability. 

11.8 Reliance on Previously Issued License. In lieu of completing its own background 

investigation, and to the extent that doing so does not conflict with or violate IGRA or the 

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

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

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

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

for licensing Applicants. 

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

Official or a Key Employee License, the Commission shall: 

(a) Conduct a background investigation of the Applicant and create and maintain an 

investigative report as to findings and conclusions of the foregoing background 

investigation, including, but not limited to: 

(1) Steps taken in conducting the background investigation; 

(2) The results obtained from the background investigation; 

(3) The conclusions reached as a result of the background investigation; and 

(4) The basis for those conclusions. 

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

report, the Commission shall determine the eligibility of the Applicant to receive a 

Gaming License. 

(b) Upon completion of the background investigation and a determination of eligibility 

for a Gaming License, the Commission shall forward the Applicant’s completed 

Application materials and an investigative report with a determination as to whether 

the Commission intends to license the Applicant to the NIGC (to the extent 

required by 25 CFR Part 556) and the State Gaming Agency (to the extent required 

by the Compact) no later than sixty (60) days after the Applicant begins work as a 
 22 3518116.3 

Key Employee or Primary Management Official (the “Notice of Results”). The 

Notice of Results shall contain: 

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

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

Primary Management Official; 

(3) A summary of the information presented in the investigative report, which 

shall at a minimum include a listing of: (i) license applications filed by 

Applicant that have previously been denied; (ii) gaming licenses held by 

Applicant that have been revoked, even if subsequently reinstated; (iii) every 

known criminal charge brought against the Applicant within the last ten (10) 

years of the date of the Application; and (iv) every felony of which the 

Applicant has been convicted or any ongoing prosecution of Applicant for a 

felony; and 

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

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

pursuant to Section 11.9(b) above, the Chairman of the NIGC may request 

additional information from the Commission concerning the individual who is the 

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

Chairman receives the additional information. 

(d) If, within the thirty day period described in Section 11.9(c) above, the NIGC 

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

Commission may grant the License to the Applicant. 

(e) If, within the thirty day period described in Section 11.9(c) above, the NIGC 

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

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

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

whether to issue a License to the Applicant. 

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

determinations, findings and decisions of the Commission shall be retained in the 

Commission’s files for a period of at least five years. 

(g) In the event that the Commission does not license an Applicant, the Commission 

shall notify the NIGC and forward copies of the Commission’s eligibility 

determination and Notice of Results to the NIGC. 

(h) Within thirty (30) days after the issuance of a License to a Primary Management 

Official or to a Key Employee, the Commission shall notify the NIGC of its 

issuance. 

11.10 License Issuance; Renewals. Any Gaming License issued pursuant to the requirements 

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

of the Gaming Employee, and the date that the Gaming License became effective. Such a 
 23 3518116.3 

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

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

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

Applicants for a renewal shall not be required to resubmit historical data already available to the 

Commission. Additional background investigations shall not be required of Applicants for a 

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

information, that there is a need for further information concerning the Applicant’s continuing 

eligibility for a Gaming License. 

11.11 Badge. Any individual who holds a Gaming License issued pursuant to this Ordinance 

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

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

an identification number that is adequate to enable the Commission to readily identify the 

individual and determine the validity and date of expiration of his or her Gaming License. 

11.12 Suspension or Revocation of License. 

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

any License it has issued, but only after notice and opportunity for review and cure, 

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

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

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

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

statements on an Application; 

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

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

any provision of this Ordinance; 

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

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

law; 

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

records which relate to the operation of Gaming Activity; 

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

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

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

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

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

enhance the dangers of unfair, unsuitable, or illegal gaming practices; 

(6) The Licensee has willfully refused to comply with any lawful directive of the 

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

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

record, or reputation, habits or associations which pose a threat to the public 
 24 3518116.3 

interest or to the effective operation of Gaming, or create or enhance the 

dangers of unsuitable, unfair, or illegal practices or methods or activities in 

the conduct of Gaming; 

(8) The Licensee no longer meets the explicit License qualifications set forth in 

this Ordinance; or 

(9) The Commission receives reliable information from the State Gaming 

Agency that the Licensee is unsuitable for a License. 

It is the intent of the Tribe when adopting this Ordinance that the Commission shall consider the 

gravity of an offense and whether such offense occurred on multiple occasions or was an isolated 

instance, when considering whether it is appropriate to suspend or revoke a License under this 

Ordinance. 

(b) Procedure for Suspension or Revocation. Whenever the Commission shall have 

cause to believe that any of the reasons under Section 11.12(a) apply to any Person 

who holds a License issued by the Commission, the Commission shall serve upon 

the Person an order to show cause why the License should not be suspended or 

revoked. The order to show cause shall state with specificity the grounds upon 

which it is based, including citations to the relevant sections of this Ordinance, the 

time and place for the administrative review, and notice that the Person shall have 

the opportunity to present documentation and any other relevant information. The 

administrative review shall be set for not less than ten days or more than fourteen 

days from the date of the order to show cause. Subject to Section 11.12(e), no 

License will be suspended or revoked for the reasons set forth in Section 11.12(a) 

until the administrative review by the Commission is concluded and a final written 

decision is rendered by the Commission. 

(c) Notice and Opportunity to Cure for Manager. Before issuing any order to show 

cause to the Manager or any of its Affiliates under Section 11.12(b), the 

Commission shall give the Manager or its Affiliate notice of any alleged violation 

of this Ordinance by the Manager or any of its Affiliates and one hundred 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 Affiliates cures any such 

alleged violation or if such violation is not susceptible of being cured within such 

120-day period or if the Commission determines in good faith that the Manager or 

any of its Affiliates is diligently continuing to take action to cure the alleged 

violation, the Commission shall grant an additional 120-day extension of time to 

cure the alleged violation, and during such time the Commission shall not take any 

further action against the Manager or any of its Affiliates based upon such alleged 

violation. Further, the Commission shall notify the Manager or any of its Affiliates 

in writing of any concerns brought to the Commission's attention so that such 

concerns may be addressed in a timely fashion. For purposes of clarity, this 

Section is meant to address alleged violations by the Manager or any of its 

Affiliates regarding the operations of the Gaming Facility, rather than day-to-day 

regulatory issues involving isolated Gaming Personnel. For example, provided that 

the Manager or any of its Affiliates promptly removes any individual subject to 

Section 11.12(d) from any duties or responsibilities which requires such individual 
 25 3518116.3 

to apply for or maintain a Gaming License until such time, if any, as the 

Commission modifies its determination with respect to such individual, such 

removal shall constitute a cure and shall not be grounds for suspension or 

termination of the License issued to the Manager or any of its Affiliates. 

(d) Removal. If the Commission has rendered a final decision, after the exhaustion of 

all appeals, related to the denial, suspension, revocation, termination or failure to 

renew the License of any individual, the applicable 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 until such time, if any, as the 

Commission modifies its determination. 

(e) Suspension Due to Notice of Information from NIGC. Notwithstanding anything 

else herein to the contrary, if, after the issuance of a License, the NIGC notifies the 

Commission of reliable information indicating that a Key Employee or Primary 

Management Official is not eligible for employment pursuant to 25 CFR § 556.5 

(the “NIGC Notification”), the Commission shall immediately suspend the License 

and shall provide the Licensee with written notice of suspension and the reasons for 

the proposed revocation. The Commission shall notify the Licensee of the time and 

place for a hearing on the proposed revocation of the License. After a revocation 

hearing conducted by the Commission, the Commission shall decide to revoke or to 

reinstate the License. The Commission shall notify the NIGC of its decision within 

45 days from the date of receipt of the NIGC Notification. 

11.13 Temporary Suspension of an Individual’s License. Temporary suspension of an 

individual’s License is appropriate when the individual’s continued presence in the Gaming 

Facility or Gaming Operation poses a direct and immediate threat to the general public or to the 

safety, health and welfare of the Tribe. 

(a) Grounds for Temporary Suspension. The Commission may suspend the License of 

any individual for not more than thirty days if the Commission has good and 

reliable cause to believe: 

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

have occurred; and 

(2) that the individual’s continued presence in the Gaming Facility or Gaming 

Operation a direct and immediate threat to the general public or to the safety, 

health and welfare of the Tribe. 

(b) Procedure for Temporary Suspension. The Commission may issue a notice of 

temporary suspension of a License if the Commission has cause to believe that any 

of the reasons in Section 11.12(a) above apply to the individual. The Commission 

shall provide written notice to the individual that states with specificity the grounds 

upon which it is based, including citations to the relevant provisions of this 

Ordinance, and the individual’s right to administrative review. The individual has 

the right to file a request for review with the Commission within five calendar days 

of receipt of the notice of temporary suspension. The Commission shall hold an 

administrative review on the notice of temporary suspension within fourteen 
 26 3518116.3 

calendar days of its receipt of the notice of request for review. At the 

administrative review, the individual shall have an opportunity to present 

documentation and any other information as to the License should not be 

temporarily suspended. After such administrative review, and in no event later than 

thirty days from the issuance of the notice of temporary suspension, the 

Commission shall issue a final decision regarding the temporary suspension. Any 

final decision of the Commission to condition, grant, deny, suspend or revoke a 

License may be appealed pursuant to Sections 11.16, 11.17, 11.18 and 11.19 of this 

Ordinance, as applicable. 

11.14 Notice to Executive Committee. Prior to any suspension or revocation of the License of 

any member of Senior Gaming Management, or Related Person (provided that the Commission 

has knowledge that such individual is a Related Person), the Commission shall provide written 

notice to the Executive Committee and the Manager seventy-two (72) hours prior to the issuance 

of the suspension or revocation. 

11.15 Record of Proceedings. The Commission shall maintain a complete and accurate record 

of all proceedings relating to the issuance, denial, temporary suspension, suspension, revocation 

of all Licenses and of the imposition of any fines on a Licensee or imposition of a condition on a 

License. Records pertaining to the issuance, denial, temporary suspension, suspension, 

revocation of a License and of the imposition of any fines on a Licensee or imposition of a 

condition on a License shall be confidential and be handled in compliance with Section 8. 

11.16 Appeals. Any Person, other than the Manager, the Manager’s Affiliates, a Financial 

Source, a Major Gaming Resource Supplier or a Related Person appealing an Adverse 

Commission Action or Manager Adverse Commission Action pursuant to Sections 11.17 and 

11.18, aggrieved by a final decision 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, as well as any courts to which the decisions of the Jamul Tribal Court may be appealed, 

which decisions shall be binding upon the Commission and aggrieved Person. A temporary 

suspension 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 Suppliers and Financial Sources. Major Gaming 

Resource Suppliers and Financial 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 License 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(b) of this Ordinance (each, an “Adverse Commission Action”). For purposes of this 

Section 11.17, any Major 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 

business days after the Commission’s written notice of the Adverse Commission Action is 

received, the Aggrieved Major Vendor must send written notice of appeal by certified mail, 

return receipt requested, to the attention of the Executive Director at the Commission office. The 

Aggrieved Major Vendor 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 by the Executive Director, unless both parties agree in writing to an extension of time. 
 27 3518116.3 

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 be conducted pursuant to Section 11.19. Should any Aggrieved Major Vendor 

inadvertently miss a deadline under this Section 11.17 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 appeal 

the decision to the Jamul Tribal Court, as well as any courts to which the decisions of the Jamul 

Tribal Court may be appealed, which decisions shall be binding upon the parties. 

For purposes of this Section 11.17, 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 11.12(b) until the time that the arbitration decision and any appeal 

thereof is 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 Person; or (c) suspension, 

revocation, or imposition of conditions on a License of Manager, Manager’s Affiliate, or Related 

Person after an administrative hearing pursuant to Sections 11.12(b) or 11.13(b) of this 

Ordinance (each, a “Manager Adverse Commission Action”). For purposes of this Section 11.18, 

any of the Manager, Manager’s Affiliates or Related Person requesting an appeal are referred to 

as a “Manager Aggrieved Person.” Any Manager Adverse Commission Action must be 

communicated by the Commission to the Manager Aggrieved Person 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 by the Executive Director, unless both parties agree in writing to an extension of time. 

The Manager Aggrieved Person may request that the dispute be settled by de novo binding 

arbitration under the commercial arbitration rules of the AAA. The arbitration shall be conducted 

pursuant 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 the Manager Aggrieved Person’s right to appeal the Manager 

Adverse Commission Action. 

In an arbitration involving a Manager Aggrieved Person, any party to the arbitration dissatisfied 

with the decision of the arbitration panel may at that party's election request that the decision be 

reviewed through de novo binding arbitration by a different arbitration panel under the 

commercial arbitration rules of the AAA (“Manager Arbitration Appeal”). The Manager 

Arbitration Appeal shall be conducted pursuant to Section 11.19. 

For purposes of this Section 11.18, the Commission will stay the effects of any Manager Adverse 

Commission Action, other than the temporary suspension of a Related Person license held by an 

individual pursuant to Section 11.13, from the time that a Manager Aggrieved Person requests an 
 28 3518116.3 

administrative hearing pursuant to Sections 11.12(b) or 11.13(b) until the time that the arbitration 

decision 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 advise the AAA and the other 

party (“Arbitrator Selection Notice”). Each party will disclose in such Arbitrator Selection Notice 

the name, qualifications, past experience 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. If any objections are lodged, the parties will promptly attempt in good faith to 

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 with these same procedures. Within fifteen calendar days after the selection 

of the two arbitrators is completed, such two arbitrators shall select a third arbitrator, who shall 

chair the arbitration panel. 

Any arbitrator identified and appointed by the parties shall be impartial, 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 San 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 business days from the date of such disqualification to appoint a replacement 

arbitrator. The disqualification of any arbitrator appointed by a party to the arbitration shall not 

affect the prior appointment of the chair of the arbitration panel and the chair shall continue to 

serve. 

Depositions may be taken and discovery obtained in arbitration proceedings in the manner 

provided in Section 1283.05 of the 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 determine whether the Adverse Commission Action was arbitrary, 

capricious, an abuse of discretion or inconsistent with law or policy, because, by way 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 

law. If the arbitration panel determines that the Adverse 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 reconsideration of its 

determination consistent with the arbitration panel’s written findings. If necessary, the 

arbitration panel may direct the Commission to issue a License to the Aggrieved Major Vendor 

or Manager Aggrieved 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 

damages. The decision of the arbitration panel shall be in writing and shall provide reasons for 

the decision. 
 29 3518116.3 

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 shall award to the 

substantially prevailing party its costs and expenses, including costs of the arbitration and 

arbitration panel. 

11.20 Reconsideration. In the event the Commission suspends, conditions, revokes, terminates 

or fails to renew a License after an administrative hearing or appeal, and such Person is thereafter 

able to obtain a license or determination of suitability from a state gaming agency, such Person 

shall have a right to request that the Commission reconsider its prior determination. In such 

event, the Commission shall promptly reconsider its prior determination in good faith. 

12. Gaming Facility License 

12.1 Compliance with Applicable Standards. The construction and maintenance of any 

Gaming Facility, and the operation of Gaming Activities, shall be conducted in a manner which 

adequately protects the environment and the public health and safety, and shall comply with 

requirements of the Gaming Compact and all other applicable health, safety, and environmental 

standards. 

12.2 Licensing Requirement. The Commission is responsible for licensing the Gaming 

Facility located on the Indian Lands after receiving information regarding the following: 

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

(1) To show compliance with applicable health and safety standards, Senior 

Gaming Management shall submit certified copies of Compliance 

Certificates. 

(2) If health and safety standards are not met, proof must be submitted by Senior 

Gaming Management of the process of improvements which will place the 

Gaming Facility in compliance with the applicable standards. 

(b) The Commission shall forward all Compliance Certificates to the 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 Indian Lands; 

(b) The Gaming Activity to be conducted at the Gaming Facility is Class II or Class III 

Gaming as defined by this Ordinance and IGRA; and 

(c) The Gaming Facility is authorized by a resolution of the Executive Committee. 

12.4 Display of Gaming License. A current valid Gaming Facility License shall be

prominently displayed at each Gaming Facility. 

12.5 License Duration. A Gaming Facility License shall be issued for a period of two years, 

and shall be reviewed and renewed, if appropriate, every two years thereafter. 
 30 3518116.3 

12.6 Submission of License to NIGC and State Gaming Agency. The Commission shall submit 

to the NIGC and the State Gaming Agency a copy of each Gaming Facility License 

12.7 Notice of Illegal Gaming Activity. If the Commission finds that the Gaming Facility is 

operating in violation of this Ordinance, or otherwise presents a threat to the public, the 

Commission shall immediately notify the Executive Committee and the Manager. 

13. Financial Source License 

13.1 Licensing Process. Financial Sources shall be licensed by the Commission. If the State 

by tribal-state gaming compact, rule or other written determination agrees that licensure of a 

Person as a Financial Source is not necessary or otherwise waives such requirement, then the 

Commission shall not require licensure of such Person. 

13.2 Exemptions. The following Persons do not need to file Applications for a Financial 

Source License: 

(a) Gaming Resource Suppliers. A licensed Gaming Resource Supplier who provides 

financing exclusively in connection with the sale or lease of Gaming Resources 

obtained from that supplier shall not be required to obtain a separate Financial 

Source license. 

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

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

(d) Any investor who, alone or in conjunction with others, holds less than 10% of any 

outstanding indebtedness evidenced by Bonds issued by the Tribe. 

13.3 Registration for Holders of Tribal Bonds. Pursuant to the State Gaming Agency Uniform 

Tribal Gaming Regulations, including CGCC-1, CGCC-2, any of the following entities that is an 

actual or prospective holder of any Bond issued by the Tribe may register with the Commission 

on comparable forms utilized by the State Gaming Agency: 

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

federal- or state-regulated lending institution; 

(b) Any company that is organized as an insurance company, the primary and 

predominant business activity of which is the writing of insurance or the reinsuring 

of risks underwritten by insurance companies, and that is subject to supervision by 

the Insurance Commissioner of California, or a similar official or agency of another 

state; 

(c) Any investment company registered under the federal Investment Company Act of 

1940 (15 U.S.C. § 80a-1 et seq.); 

(d) Any retirement plan established and maintained by the United States, an agency or 

instrumentality thereof, or by a state, its political subdivisions, or any agency or 
 31 3518116.3 

instrumentality of a state or its political subdivisions, for the benefit of its 

employees; 

(e) Any employee benefit plan within the meaning of Title I 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 federal Securities Exchange Act of 

1934 (15 U.S.C. § 78a et seq.); and 

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

subsection 13.3. 

Registration and renewal of registration under this Section 13.3 shall constitute a finding of 

suitability in compliance with the Compact. 

13.4 Submission of License to State Gaming Agency. The Commission shall submit to the 

State Gaming Agency a copy of each Financial Source License. 

13.5 Application Form and Procedures. The Commission shall adopt Financial Source 

Application forms to license Financial Sources. At a minimum, the Financial Source Application 

form shall contain the following information: 

(a) The name of the Applicant, including any trade name to be used and the Applicant's 

principal place of business. 

(b) Whether the Applicant is a corporation, limited liability company, limited 

partnership or privately-held business entity, including the state in which the 

Applicant is organized and a general description of the nature of the Applicant's 

principal business. 

(c) The name, telephone number and mailing address for the contact person responsible 

for the Applicant's accounts payable and billing information. 

(d) The tax reporting status of the Applicant. 

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

the Applicant. 

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

(g) If a publicly-traded company, the Applicant's ticker symbol and a list of all 

exchanges on which the Applicant's shares are traded 

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

regulated. 

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

An Applicant for a Financial Source License will be required to provide evidence that the 

Applicant is eligible for licensure as a Financial Source (if applicable), and a statement 
 32 3518116.3 

committing the Applicant to notify the Commission and the State Gaming Agency 

promptly of any termination of the Applicant's eligibility as a Financial Source. 

13.6 Financial Source Application Forms and Procedures – Individual. The Financial Source 

Application form for individuals shall contain the following information: 

(a) The Applicant’s full name, including all other names used (oral or written), current 

home and work addresses and telephone numbers, gender, Social Security Number, 

place of birth, date of birth, citizenship, marital information, educational and 

military background and driver’s license number(s) and the addresses of his or her 

residences over the past five years. 

(b) The names, current addresses, and telephone numbers of three references who are 

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

Applicant resided at 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 describing his or her position, the dates during which 

the position was held, a description of the Applicant’s ownership interest (when 

applicable), job responsibilities, the name, address, and telephone number of the 

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

of the information provided. 

(e) A list of all gaming-related licenses for which the Applicant has applied, whether or 

not those licenses were granted, whether any disciplinary actions (including fines or 

temporary suspensions) were taken with respect to such gaming-related licenses, 

and the name, address and telephone number of the regulatory agencies involved. 

(f) A list of all professional and business licenses for which the Applicant has applied, 

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

number of the regulatory agency involved. 

(g) A complete disclosure of any pending civil or criminal action against the Applicant, 

including the name, and address of the police department and court involved. 

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

and if so, the charge, the name and address of the court involved, the final 

disposition of the case, and the date of final disposition. 

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

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

of the court involved. 

13.7 Reliance on Previously Issued License. In lieu of completing its own background 

investigation, and to the extent that doing so does not conflict with or violate IGRA or the 
 33 3518116.3 

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

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

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

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

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 renewal Applications. Applicants for a renewal shall not be required to resubmit 

historical data already available to the Commission. Additional background investigations shall 

not be required of Applicants for a renewal unless the Commission determines, based upon the 

disclosure or discovery of new information, that there is a need for further information 

concerning the Applicant’s continuing eligibility for a License. 

13.9 Dispute Resolution. Any Person aggrieved by a final decision of the Commission to grant, 

or deny an Application for a Financial Source License, or to suspend or revoke a Financial 

Source License may utilize the dispute resolution procedures set forth in Sections 11.16 and 

11.17, as applicable. 

14. Gaming Resource Supplier License 

14.1 Licensing Process. Any Gaming Resource Supplier who provides, has provided, or has 

an agreement to provide at least $25,000 in Gaming Resources in any twelve month period, or 

who has received as compensation for providing Gaming Resources to the Gaming Facility or 

Gaming Operation valued at $25,000 or more in any consecutive twelve month period within the 

twenty-four month period immediately preceding application, shall be licensed by the 

Commission prior to the sale, lease, or distribution of any such Gaming Resources to the Gaming 

Facility or Gaming Operation. 

14.2 Submission of License to State Gaming Agency. The Commission shall submit to the 

State Gaming Agency a copy of each Supplier License. 

14.3 Application Forms and Procedures. The Commission shall adopt: 

(a) Manager Application forms consistent with the standards set forth in Sections 13.5 

and 13.6 for Financial Source and Financial Source – Individuals. 

(b) Major Gaming Resource Suppliers Application forms consistent with the standards 

set forth in Sections 13.5 and 13.6 for Financial Source and 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 the State Gaming Agency for Gaming Resource Suppliers. 

All Supplier License Application forms shall, at a minimum, require the name of the Applicant, 

the address of the Applicant's principal place of business, and evidence that the Applicant is 

eligible for licensure as a Gaming Resource Supplier. 
 34 3518116.3 

14.4 Exemptions. The Commission may exclude Providers of Non-Gaming Services from the 

Supplier License requirement (a) if the Providers of Non-Gaming Services provide services or 

purvey equipment or furniture that is not specifically designed for, and is distributed generally for 

use other than in connection with, Gaming Activities, (b) if the Provider of Non-Gaming Services 

does not additionally provide Gaming Equipment to the Gaming Facility or Gaming Operation, 

(c) if the compensation received by the Provider of Non-Gaming Services is not grossly 

disproportionate to the value of the goods or services provided, and (d) if the Provider of NonGaming Services is not otherwise a Person who exercises a significant influence 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 Manager Licensing Process. The Manager and those Affiliates and Related Persons 

required to be licensed pursuant to Section 16 of this Ordinance shall submit Applications to the 

Commission in the manner provided within Section 14.3(a) within 120 days of submission of a 

Management Agreement to the NIGC. The Commission shall, after its background investigation 

of such Applicant, render a decision as to whether such Applicant is eligible for licensure within 

120 days of receipt of the aforementioned Applications. 

The Commission shall not delay, deny, suspend, condition, revoke, terminate or fail to renew a 

License that has been issued to the Manager or a Manager Affiliate based upon the following: 

(a) any matter, condition or circumstance, other than those specified in Section 

11.12(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 be, 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 Issued License. In lieu of completing its own background 

investigation, and to the extent that doing so does not conflict with or violate IGRA or the 

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

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

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

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

14.7 Duration; Renewal Process. A Supplier License shall be issued for a period of two 

years, and shall be reviewed and renewed, if appropriate, every two years thereafter. Applicants 

for a renewal of a Supplier License shall provide to the Commission updated materials, as 

requested, on the appropriate renewal Applications. Applicants for a renewal shall not be 

required to resubmit historical data already available to the Commission. Additional background 
 35 3518116.3 

investigations shall not be required of Applicants for a renewal unless the Commission 

determines, based upon the disclosure or discovery of new information, that there is a need for 

further information concerning the Applicant’s continuing eligibility for a License. 

14.8 Dispute Resolution. Any Person aggrieved by a final decision of the Commission to 

grant, or deny an Application for a Supplier License, or to suspend or revoke a Supplier License 

may utilize the dispute resolution procedures set forth in Section 11.16, 11.17 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 License renewals. Unless specifically waived by the Commission, 

all Persons applying for a License shall be required to pay application and investigation fees 

when due, including a reasonable deposit for costs that may be incurred in connection with the 

License investigation. Estimates of investigation costs will be provided to Applicants upon 

request. The Commission will set the Application fees and any applicable License renewal fees 

at amounts reflecting the actual cost to the Commission of enforcing this Ordinance and 

conducting investigations. 

16. Entities

16.1 Licensing Criteria. For Applicants who are business entities, the licensing provisions of 

this Ordinance shall apply to the entity as well as: 

(a) each of its officers and directors; 

(b) 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 members who own more than a 10% membership interest of the 

limited liability company, if a limited liability company; and 

(e) Each Person (other than a Financial Source exempt under Section 13.2 of this 

Ordinance) that, alone or in combination with others, has provided financing in 

connection with any Gaming Activity at the Gaming Operation, if that Person 

provided more than 10% of: 

(1) the start-up capital; 

(2) the operating capital over a 12-month period; or 

(3) a combination thereof. 

For purposes of this Section, where there is any commonality of the characteristics identified in 

(a) through (e) inclusive between any two or more entities, those entities may be deemed to be a 

single entity. 
 36 3518116.3 

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 Investor indirectly holds, through its 

Affiliates, more than 25% of the issued and outstanding shares or membership interests of an 

Applicant or Licensee or parent company of an Applicant or Licensee. 

17. Games 

17.1 Who May Not Play. It is 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. At 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 Management 

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 Patron of the Gaming Facility who has a dispute, disagreement or 

other grievance that involves any Gaming Activity offered at the Gaming Facility shall have their 

dispute resolved in the following manner. 

(a) Any Patron with a Gaming dispute shall be notified of the Patron’s right to submit a 

written statement of the facts or circumstances surrounding the dispute with Senior 

Gaming Management. Such written statement must be submitted within five 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, the Patron has the right to contact the Commission to 

resolve the dispute 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 submitted to the Commission for resolution shall be decided 

by the Commission based on information provided by the Patron and Senior Gaming 

Management. The decision of the Commission shall be in writing copied to the 

Patron and to Senior Gaming Management, and shall be issued within fifteen days of 

submission of the matter to the Commission. The decision of the Commission 

regarding any Patron dispute shall be final and shall not be subject to further review 

by any court in any jurisdiction. 

18. Miscellaneous 

18.1 Gaming Rules. Gaming operated under this Ordinance shall be consistent with the 

Compact and any amendments thereto. 

(a) All rules, Regulations and procedures for Games, including the method of play and 

the odds and method of determining amounts paid to winners, shall be approved 

and maintained by the Commission. 
 37 3518116.3 

(b) Information regarding betting limits, the method of play, odds and payoff 

determinations shall be visibly displayed or available to Patrons in written form in 

the Gaming Facility. 

18.2 Use of Net Gaming Revenues. Net Revenues from the Gaming Operation may only be 

used for the following purposes: (a) to fund Tribal government operations or programs; (b) to 

provide for the general welfare of the Tribe and its members; (c) to promote Tribal economic 

development; (d) to donate to charitable organizations; and (e) to help fund operations of local 

government agencies. 

18.3 Minimum Internal Control Standards. The Commission shall promulgate Regulations for 

the minimum internal control standards of the Gaming Operation. The minimum internal control 

standards shall: 

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

103; and 

(b) Establish internal control standards for all Class II and Class III Gaming Activities 

consistent with the requirements of this Ordinance, IGRA, 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 shall 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 

independent, certified public accounting firm in accordance with the auditing and accounting 

standards for audits of casinos of the American Institute of Certified Public Accountants. Copies 

of the annual audit will be provided to the Executive Committee, the Commission and Senior 

Gaming Management. The Commission shall submit the annual audit to the NIGC upon receipt. 

All gaming related contracts for supplies, services, or concessions in excess of twenty-five 

thousand dollars ($25,000) shall be included in the scope of this audit. Contracts for legal 

services and accounting services are exempt from this requirement. 

18.5 Commission Right to Conduct Audits. The Commission may require audits of the 

financial statements of the Gaming Operation and of any Gaming Activity. The Commission 

shall require such audits to occur when necessary to ensure the integrity, security, honesty and 

fairness of the Gaming Operation and all Gaming Activity. The Commission shall take 

reasonable steps to coordinate the timing of these audits with the annual audit, provided that the 

Commission may require audits to occur at other times if necessary to preserve the assets of the 

Tribe or ensure the integrity, security, honesty and fairness of the Gaming Operation or any 

Gaming Activity. Such audits may: 

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

State of California; 

(b) Include an opinion (qualified or unqualified), or if appropriate, disclaim an opinion 

on the financial statements taken as a whole in accordance with standards of the 
 38 3518116.3 

accounting profession established by rules and requirements of the California State 

Board of Accountancy and the American Institute of Certified Public Accountants; 

(c) Disclose whether the accounts, records and control procedures maintained by the 

Gaming Operation are as required by the Compact, Ordinance or Regulations; and 

(d) Provide for a review of the Gaming Operation’s system of internal controls to 

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 Commission shall provide for the establishment 

of a list of individuals who are to be excluded or ejected from the Gaming Facility. The list shall 

include any individual whose presence in the Gaming Facility is determined by the Commission 

to pose a threat to the integrity of Gaming Operation, a threat to the health, safety or welfare of 

Gaming Personnel or Patrons, interests of the Tribe, or State of California. Race, religious creed, 

color, national origin, ancestry, physical or mental disability, medical condition, marital status, 

sex, age, or sexual orientation must not be grounds for placing the name of an individual on the 

list. The Commission shall promulgate Regulations providing due process to any individual 

whose name the Commission is considering placing on the exclusion list. It shall be a violation of 

this Ordinance for any Licensee to knowingly fail to exclude or eject from a Gaming Facility any 

individuals placed on the exclusion list. It shall be a violation of this Ordinance for any 

individual whose name appears on the exclusion list to enter into or engage in any Game at the 

Gaming Facility. 

18.8 Emergency Evacuation and Preparedness Plans. For the purpose of ensuring the 

physical safety of the Gaming Operation and its Patrons and Gaming Personnel, and any other 

individuals present in the Gaming Facility, the Commission shall develop and implement an 

Emergency Evacuation and Preparedness Plan in compliance with the State Gaming Agency’s 

Uniform Tribal Gaming Regulations. 

18.9 Minors. The Gaming Operation shall not permit individuals under the age of 18 to be 

present in any room in which Gaming Activities are being conducted unless the individual is 

enroute to a non-Gaming area of the Gaming Facility. The Gaming Operation shall prohibit 

individuals under the age of 21 to be present in any area in which Gaming Activities are being 

conducted and in which alcoholic beverages may be consumed, unless the individual is en route 

to a non-Gaming area of the Gaming Facility. 

18.10 Severability. Should a provision of this Ordinance or the application of a provision of 

this Ordinance be determined to be invalid, the invalidity shall not affect the other provisions of 

this Ordinance. 

18.11 Repeal. This Ordinance shall repeal and supersede all previous Gaming ordinances 

adopted by the Tribe. This Ordinance shall also repeal and supersede all other Tribal policies, 

regulations, rules, motions, memoranda, and other similar acts which are inconsistent with this 

Ordinance. Specifically, the Jamul Indian Village Class II Gaming Ordinance, adopted on August 
 39 3518116.3 

3, 1993, approved by the NIGC 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. All provisions of this Ordinance are 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 NIGC. In the event 

that the Tribe or the Commission enact any law, ordinance or regulation (including amendments 

to this Ordinance) which is more stringent or burdensome than applicable federal or State legal 

requirements or the terms of the Compact, then the provisions of this Ordinance shall apply to the 

Manager and its Affiliates, and any new or amended provision shall not apply to any action or 

determinations 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.