FEB - 5 2007 

Troy Teague, Executive Director 

La Posta Band of Mission Indians Gaming Commission 

8 L/z Crestwood Road, Suite B 

P.O. Box 121 0 

Boulevard, CA 9 1905 

RE: Amended Gaming Ordinance 

Dear Mr. Teague: 

This letter is in response to your request for the National Indian Gaming Commission (NIGC) 

to review and approve amendments to the La Posta Band of Mission Indians' Amended 

Gaming Ordinance (Gaming Ordinance), Resolution No. 071701-A, approved by the Tribal 

Council on January 17, 2007. This letter constitutes such approval under the Indian Gaming 

Regulatory Act (IGRA). It is important to note that the Gaming Ordinances are approved for 

gaming only on Indian lands, as defined in the IGRA, over which the La Posta Band of 

Mission Indians has jurisdiction. 

Gaming Ordinance for review and approval. The NIGC staff 

with you and the La Posta Band of Mission Indians on future 

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 www.nlcc.cov 

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

BAND OF MISSION INDIANS 

Post Office Box 11 20 

Boulevard, California 91 905 

(61 9) 478-21 13 Fax (61 9) 478-21 25 

RESOLUTION NO. 07 1 70 1 -A 

OF THE GENERAL COUNCIL OF THE 

LA POSTA BAND OF MISSION INDIANS 

ADOPTION OF AMENDMENTS TO TRIBAL GAMING ORDINANCE 

WHEREAS, the La Posta Band of Mission Indians ("La Posta Band" or "Tribe") is a 

federally recognized Indian tribe with sovereign regulatory and 

management authority over the La Posta Indian Reservation, the Tribe and 

Tribal members, that acts through its General Council pursuant to Articles 

V and VI of the Constitution of the La Posta Band of Mission Indians 

adopted December 2,2005 and approved by the Secretary of the Interior 

December 13,2005; and 

WHEREAS, the La Posta Band has entered a TribaVState Gaming Compact with the 

State of California authorizing it to develop a Gaming Facility on the 

Reservation; and 

WHEREAS, various provisions of the Compact, as well as the Indian Gaming 

Regulatory Act and its implementing regulations, require the La Posta 

Band to adopt laws regulating various aspects Indian Gaming within the 

La Posta Band's jurisdiction; and 

WHEREAS, the General Council of the La Posta Band previously adopted a Tribal 

Gaming Code on or about April 16,2004, including seven subject matter 

titles, of which Title I addressed the above requirements and was approved 

by the National Indian Gaming Commission; and 

WHEREAS, while the La Posta Gaming Commission was working to develop 

regulations to further implement certain provisions of Title I of the Tribal 

Gaming Code, it discovered certain inconsistencies and lack of clarity in 

the existing law and recommended certain modifications to the existing 

Title I; and 

Gwendolyn ParadaKhairperson David La ChappaNice Chairperson James Hill Sr./SecretaryTTreasurer 

Richard Estrada/Council Member Victor EstradalCouncil Member 
WHEREAS, the "Tribal Gaming Ordinance," prepared to address the noted 

inconsistencies and provide clarity where needed, was approved by the 

General Council of the La Posta Band of Mission Indians by Resolution 

No. 062709 and was thereafter submitted to the National Indian Gaming 

Commission for approval; and 

WHEREAS, the NIGC requested certain amendments to the Tribal Gaming Ordinance 

to ensure compliance with the Indian Gaming Regulatory Act and its 

implementing regulations; and 

WHEREAS, the General Council has reviewed and approves the amendments to 

sections 2.26, 5.4.4, 5.4.5, 5.4.6 and 7.3.3 prepared pursuant to NIGC's 

request and reflected on the attached redlined version of the Tribal 

Gaming Ordinance. 

NOW, THEREFORE, BE IT RESOLVED that the General Council of the La Posta Band 

of Mission Indians hereby adopts the amendments to sections 2.26, 5.4.4, 5.4.5, 5.4.6 and 

7.3.3 reflected on the attached redlined version of the Tribal Gaming Ordinance and 

directs that the Tribal Gaming Ordinance, as amended, replace the Tribal Gaming 

Ordinance adopted September 27,2006, as Title I of the Tribal Gaming Code. 

BE IT FURTHER RESOLVED that the General Council hereby authorizes and directs 

that the attached redlined version of the Amended Tribal Gaming Ordinance, along with a 

copy of this Resolution, be submitted immediately to the National Indian Gaming 

Commission, along with any additional information and/or documents required. 

BE IT FINALLY RESOLVED that the remaining provisions of Title I not amended by 

this action of the General Council, along with Titles I1 through VII of the Tribal Gaming 

Code adopted on or about April 16,2004, shall remain in full force and effect unless and 

until modified, superceded or replaced by separate action of the General Council. 
CERTIFICATION 

This is to certify that Resolution No 071701-A was adopted at a duly called special 

meeting of the General Council of the La Posta Band of Mission Indians, in San Diego 

County, California, on the 17th day of January, 2007, by a vote of -6- "for," -0- 

"against," and -0- "abstaining," and that such Resolution has not been rescinded or 

amende+iq any way. i r\ 

David La Chappa, Tribal Vice Chairperson 

James Hill, Tribal SecretaryITreasurer C\ \Lu$&- Richard Estrada, Tribal Council Member 

Victor Estrada, Tribal Council Member 
TITLE I 

LA POSTA BAND OF MISSION INDIANS’ 

TRIBAL GAMING ORDINANCE
TRIBAL GAMING ORDINANCE – TABLE OF CONTENTS 

Section 1 Introductory Provisions 

1.1 Authority 

1.2 Purposes 

1.3 Policies 

1.4 Construction 

1.5 Severability 

1.6 Effective Date 

1.7 Repeal of Prior Laws; Effect 

Section 2 Definitions 

Section 3 General Provisions Regarding Gaming 

3.1 Tribal Class II Gaming Authorized 

3.2 Tribal Class III Gaming Authorized 

3.3 Tribal Ownership of Gaming Facility 

3.4 Number and Location of Facilities 

3.5 Hours of Operation 

3.6 Alcoholic Beverages 

3.7 Gaming Device Restrictions 

3.8 Age Restrictions 

3.9 Protection of Public Health and Safety and the Environment 

3.10 Discrimination in Employment 

Section 4 Tribal Gaming Commission 

4.1 Establishment 

4.2 Location and Place of Business 

4.3 Duration 

4.4 Attributes 

4.5 Recognition as a Political Subdivision of the Tribe 

4.6 Sovereign Immunity of the Tribal Gaming Commission 

4.7 Waiver of Sovereign Immunity of the Tribal Gaming 

Commission 

4.8 Sovereign Immunity of the Tribe 

4.9 Assets of the Tribal Gaming Commission 

4.10 Composition 

4.11 Appointment of Gaming Commissioners 

4.12 Meetings 

4.13 Removal of Commissioners; Vacancies 

4.14 Conflict of Interest 

4.15 Powers of the Tribal Gaming Commission 

4.16 Annual Budget 

4.17 Tribal Gaming Commission Regulations, Policies and 

Procedures 

4.18 Right of Entrance; Bi-Monthly Inspection 

4.19 Investigation 

4.20 Due Process for Dispute Resolution and Enforcement 

Proceedings 
Section 5 Tribal Gaming Licenses

5.1 Applicability and Type 

5.2 License Term 

5.3 Facility Licenses 

5.4 General Application Procedure for All Other Licenses 

5.5 Review Procedure and Determination of Suitability 

5.6 Role of National Indian Gaming Commission in Licensing 

Process 

5.7 Role of State Gaming Agency in Licensing Process 

5.8 Other License Provisions 

5.9 Temporary Licensing 

5.10 Conditional Licensing 

5.11 Renewals 

5.12 Denial, Suspension or Revocation of License 

Section 6 Gaming Facility Management and Operational Requirements 

6.1 Management Contracts 

6.2 General Manager 

6.3 Rules and Regulations Governing Operations and Management 

6.4 Bank Accounts 

6.5 Record Keeping 

6.6 Annual Reports from Enterprise 

6.7 Audit Requirements 

Section 7 Patron Disputes 

7.1 General Principles 

7.2 Tort Claims 

7.3 Gaming-Related Disputes 

Section 8 Security and Enforcement 

8.1 Jurisdiction 

8.2 Security 

8.3 Surveillance 

8.4 Prohibited Acts 

8.5 Civil Violations 

8.6 Purpose of Civil Penalties 

8.7 Cumulative Fines 

8.8 Seizure and Forfeiture of Property 

8.9 Criminal Violation 

8.10 Reporting of Offenders 

Section 9 Service of Process 

 9.1 Designated Agent
LA POSTA GAMING CODE PAGE 1 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

SECTION 1 INTRODUCTORY PROVISIONS 

1.1 Authority. This Tribal Gaming Ordinance is enacted under the sovereign 

authority of the La Posta Band of Mission Indians, pursuant to Articles V 

and VI of the Constitution of the La Posta Band of Mission Indians 

adopted December 2, 2005 and approved by the Secretary of the Interior 

December 13, 2005, and in accordance with the provisions of the Indian 

Gaming Regulatory Act of 1998, as amended, and the Tribal/State Gaming 

Compact between the La Posta Band of Mission Indians and the State of 

California. 

1.2 Purposes. The purposes of this Tribal Gaming Ordinance are to: 

1.2.1 Encourage Tribal economic development and employment 

opportunities. 

1.2.2 Ensure that all Gaming revenue is used for the benefit of the Tribe 

and its community. 

1.2.3 Ensure that the operation of Tribally regulated Gaming can 

continue as a means of generating Tribal revenue. 

1.2.4 Provide for the regulation, control and oversight of Gaming 

Operations within the jurisdiction of the Tribe. 

1.2.5 State, declare and otherwise clarify that a License related to 

Gaming is a revocable privilege, not a right. 

1.2.6 Ensure that Gaming is conducted fairly and honestly by both 

Licensees and Players, and that it remain free from corrupt, 

incompetent, unconscionable and dishonest practices. 

1.2.7 Ensure that the Tribe provides a fair and impartial forum for the 

resolution of Gaming-related disputes. 

1.2.8 Ensure that Tribal Gaming laws are strictly and fairly enforced 

upon Persons involved in Gaming Activity within the jurisdiction 

of the Tribe. 

1.3 Policies 

1.3.1 Tribal Policy of Self-Government The Tribe is firmly committed 

to the principle of Tribal self-government. Consistent with federal 

policy, Gaming revenues shall be utilized and expended by the 

General Council by ordinance and only for the following purposes: 

 
LA POSTA GAMING CODE PAGE 2 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

 (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. 

(e) To preserve and protect cultural and historic resources. 

(f) To help to fund operations of local government agencies, 

general governmental services, the maintenance of peace 

and good order, the establishment of educational systems 

and programs, and the promotion and regulation of 

economic activities within the sovereign jurisdiction of the 

Tribe. 

1.3.2 Tribal Gaming Policy The establishment, promotion and operation 

of Gaming is necessary, provided that such Gaming is regulated 

and controlled by the Tribe in accordance with the Indian Gaming 

Regulatory Act, the Tribal/State Compact, and such other Tribal, 

state and federal laws that may apply, and that the revenues of such 

Gaming are used exclusively for the benefit of the Tribe. 

1.4 Construction. In construing the provisions of this Ordinance, unless the 

context otherwise requires, the following shall apply: 

1.4.1 This Ordinance shall be liberally construed to effect its purpose 

and to promote substantial justice. 

 1.4.2 Words in the present tense include the future and past tenses. 

1.4.3 Words in the singular number include the plural, and words in the 

plural number include the singular. 

1.4.4 Words of the masculine gender or neuter include masculine and 

feminine genders and the neuter. 

1.4.5 Ambiguities in this Ordinance are to be construed in favor of the 

La Posta Band. 

1.5 Severability. If any section of this Ordinance is invalidated by a court of 

competent jurisdiction, the remaining sections shall not be affected 

thereby. 
LA POSTA GAMING CODE PAGE 3 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

1.6 Effective Date. This Ordinance shall become effective upon the date of 

its adoption by the General Council of the La Posta Band of Mission 

Indians and, if applicable, approval by the National Indian Gaming 

Commission. 

1.7 Repeal of Prior Laws; Effect. This Ordinance constitutes a restatement, 

with clarifications, of Title I of the La Posta Indian Reservation Gaming 

Code adopted April 16, 2004 by the General Council of the La Posta Band 

of Mission Indians. 

1.7.1 All chapters and sections of Title I of the Tribal Gaming Code that 

are in effect as of the date that this Ordinance becomes operative 

are hereby repealed, and all other laws, or parts thereof, 

inconsistent with the provisions of this Ordinance are hereby 

repealed. 

1.7.2 Repeal of this Ordinance, or any portion thereof, shall not have the 

effect of reviving any prior law of the La Posta Band theretofore 

repealed or suspended. 
LA POSTA GAMING CODE PAGE 4 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

SECTION 2 DEFINITIONS 

In this Ordinance, except where otherwise specifically provided or the context 

otherwise requires, the following terms and expressions shall have the following 

meanings: 

2.1 “Applicant” means any Person that has applied for a License under the 

provisions of this Ordinance and any implementing regulations. 

2.2 “Application” means a request for the issuance of a License under the 

provisions of this Ordinance and any implementing regulations. 

2.3 "Bingo" means the game of chance commonly known as bingo (whether 

or not electronic, computer or other technologic aids are used in 

connection therewith) which is played for prizes, including monetary 

prizes, with cards bearing numbers or other designations, in which the 

holder of each card covers such numbers or designations when objects, 

similarly numbered or designated, are drawn or electronically determined, 

and in which the game is won by the first Person covering a previously 

designated arrangement of numbers or designations 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. 

2.4 “Cash” means any currency commonly accepted as legal tender, including 

but not limited to currency, traveler’s checks, credit cards, and electronic 

debit cards. 

2.5 “Casino” means an establishment in which Gaming Activities or 

Enterprises are operated. 

2.6 “Charitable Gaming Ticket” means any game piece used in the play of a 

paper pull tab game, or jar ticket game, or raffle. 

2.7 “Cheating” means the operation or play of a game in any manner that 

violates written or commonly understood rules of the game, with the intent 

to create an advantage over and above the chance of the game. 

2.8 “Class II Gaming” means the game of chance commonly known as bingo 

(whether or not electronic, computer, or other technologic aids are used in 

connection therewith): 

(a) played for prizes, including monetary prizes, with cards bearing 

numbers or other designations; 
LA POSTA GAMING CODE PAGE 5 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

(b) in which the holder of the card covers such numbers or 

designations when objects, similarly numbered or designated, are 

shown or electronically determined; 

(c) in which the game is won by the first person covering a previously 

designated arrangement of numbers or designations 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; 

and 

(d) card games that 

(i) are explicitly authorized by the laws of the State, or 

(ii) 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. 

 

2.9 “Class III Gaming” means those Gaming Activities as defined as Class 

III Gaming in under IGRA, 25 U.S.C. § 2703(8). 

2.10 “Code” means the Tribal Gaming Code of the La Posta Indian 

Reservation, including this Tribal Gaming Ordinance and any and all other 

Ordinances or other Tribal laws that may be included within the Tribal 

Gaming Code by act of the General Council, as they now exist or may 

hereafter be amended. 

2.11 “Compact” or “Tribal/State Compact” means the Tribal/State Gaming 

Compact entered between the Tribe and the State of California, and 

approved by the Secretary of the Interior in or about December 2003. 

2.12 “Compensation” means all wages salaries, perks, bonuses and all other 

forms of enumeration for services rendered. 

2.13 “Contract” means any legally binding agreement made between a 

Licensee and another Person for the purpose of conducting any form of 

lawful Gaming Activity, or providing goods or services to any lawful 

Gaming Activity or Operation. 

2.14 “Council” or “General Council” means the General Council of the La 

Posta Band of Mission Indians, the governing body of the Tribe. 
LA POSTA GAMING CODE PAGE 6 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

2.15 “Determination of Suitability” means a formal finding by the La Posta 

Gaming Commission or the State Gaming Agency that an Applicant or 

Licensee is suitable to obtain and/or maintain a License. 

2.16 “Employee” means any individual employed by the Tribe who (a) 

operates, maintains, repairs, assists in any Gaming Activity, works in, or is 

in any way responsible for supervising such Gaming Activities, or 

conducts, operates, accounts for, or supervises any such Gaming Activity, 

(b) is in a category under federal or Tribal gaming law requiring licensing, 

(c) is employed by the Tribal Gaming Commission, or (d) has employment 

duties that require or authorize access to areas of the Gaming Facility that 

are not open to the public. 

2.17 “Enrolled Tribal Member” means a Person who is enrolled with the La 

Posta Band, and whose name appears on the tribal membership roll. 

2.18 “Enterprise” means the economic entity that operates games, receives 

revenues, issues prizes, and pays expenses. A Gaming Enterprise may be 

operated by the Tribe or by a Management Contractor. 

2.19 “False Statement” means any misstatement, misrepresentation or false 

statement of facts or information, including the withholding or omission of 

facts or information. 

2.20 “Financial Source” means a Person that extends financing to the Tribe 

pursuant to an agreement or contract, the proceeds of which are used 

either directly or indirectly to finance the Gaming Facility or Enterprise. 

Financial Sources must be licensed by the Tribal Gaming Commission in 

accordance with Section 5 of this Ordinance, unless exempted in 

accordance with section 6.4.6 of the Compact. 

2.21 “Game of Chance” means any game or activity that falls within the broad 

definition of Gaming or Gaming Activity. 

2.22 “Gaming” or “Gaming Activity” means any activity, operation or game 

of chance in which any valuable consideration may be wagered upon the 

outcome determined by chance, skill, speed, strength or endurance, and in 

which any valuable prize is awarded to the player so wagering. 

2.23 “Gaming Device” means a slot machine, including an electronic, 

electromechanical, electrical, or video device that, for consideration 

permits: individual play with or against that device or the participation in 

any electronic, electromechanical, electrical, or video system to which that 

device is connected; the playing of games thereon or therewith, including, 

but not limited to, the playing of facsimiles of games of chance or skill; 

the possible delivery of, or entitlement by the player to, a prize or 
LA POSTA GAMING CODE PAGE 7 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

something of value as a result of the application of an element of chance; 

and a method for viewing the outcome, prize won, and other information 

regarding the playing of games thereon or therewith, provided however 

the nothing herein shall be interpreted as including Class II Gaming as 

defined under IGRA 

2.24 “Gaming Employee” means a Key Employee, Primary Management 

Official or other Person employed by the Gaming Enterprise that performs 

Gaming-related activities, including those Persons whose employment 

duties require or authorize access to restricted Gaming-related areas of the 

Gaming Facility. 

2.25 “Gaming Employee License” means a License issued by the Tribal 

Gaming Commission, pursuant to Section 5 of this Ordinance permitting a 

Person to be employed as a Gaming Employee. 

2.26 “Gaming Facility” means any place, facility, or location on 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 hotels, ancillary businesses, parking lots and walkways, a 

principal purpose of which is to serve the Gaming Operation. A Gaming 

Facility must be licensed by the Tribal Gaming Commission in accordance 

with Section 5 of this Ordinance. 

2.27 “Gaming Operation” means the Class II or Class III gaming conducted 

by the Gaming Enterprise in a Gaming Facility. 

2.28 “Gaming Vendor” means the same as a “Gaming Resource Supplier,” as 

used and defined in section 2.12 of the Compact, or any Person that either 

directly or indirectly manufactures, distributes, supplies, vends, leases or 

otherwise purveys Class II Gaming or Class III Gaming resources to the 

Gaming Facility, provided that the Tribal Gaming Commission may 

interpret this definition to exclude a purveyor of equipment or furniture 

that is not specifically designed for, and is distributed generally for use 

other than in connection of Gaming. Gaming Vendors must be licensed 

by the Tribal Gaming Commission in accordance with Section 5 of this 

Ordinance. 

2.29 “General Manager” means the Person that has primary day-to-day 

management responsibilities for the Gaming Operation. 

2.30 "Gross Revenues" means all Gaming and non-Gaming revenues 

collected or received by the Tribe from a Gaming Enterprise. 
LA POSTA GAMING CODE PAGE 8 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

2.31 "Immediate Family" means a husband, wife, father, mother, son, 

daughter, brother, sister, father-in-law, mother-in-law, son-in-law, 

daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, 

stepson, stepdaughter, stepbrother, stepsister, half brother or half sister, 

and any other individual that resides in the home or residence of a person. 

2.32 "Indian Gaming Regulatory Act" or "IGRA" means the Indian 

Gaming Regulatory Act of 1988, Public Law 100-497, 102 Stat. 2426, 

codified at 25 U.S.C. §§2701, et seq. (1988), as amended. 

2.33 “Indian Land” means any land within the limits of an Indian 

Reservation; and any land title to which is either held in trust by the 

United States for the benefit of any Indian tribe or individual or held by an 

Indian tribe or individual subject to restriction by the United States against 

alienation and over which an Indian tribe exercises governmental power. 

2.34 "IRS" means the U.S. Internal Revenue Service. 

2.35 "Key Employee" means any of the following: 

 2.35.1 A person who performs one or more of the following functions: 

 (a) Bingo caller; 

(b) Counting room supervisor and personnel; 

(c) Chief of security, or any person who supervises or directs 

other employees engaged in providing security or 

surveillance services; 

(d) Custodian of Gaming supplies or cash; 

(e) Floor manager or management; 

(f) Pit boss; 

(g) Dealer; 

(h) Croupier; 

(i) Approver of credit; or 

(j) Custodian of Gaming Devices, including persons with 

access to cash and accounting records within such devices; 

or 
LA POSTA GAMING CODE PAGE 9 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

2.35.2 If not otherwise included, any other person employed to work in or 

in connection with the Gaming Facility whose total cash 

compensation is in excess of $50,000 per year; or 

2.35.3 If not otherwise included, any other person who supervises or 

directs other employees engaged in the control of Gaming assets 

and revenues and record keeping, including the recording of cash 

and evidences in indebtedness, and the maintenance, review, or 

control of the records, accounts, and reports of transactions; or 

2.35.4 If not otherwise included, the four most highly compensated 

persons in the Gaming Facility; or 

2.35.5 Any Applicant or Licensee the Tribal Gaming Commission finds is 

important or necessary to the operation of the Gaming Facility. 

2.36 "License" means the official, legal and revocable permission granted by 

the Tribal Gaming Commission to an Applicant to conduct Gaming 

Activities of, or engage in Gaming-related business with, the Tribe. 

2.37 “Licensee” means an Employee, Key Employee, Primary Management 

Official, Gaming Vendor, Gaming Enterprise, Gaming Facility or Labor 

Union to whom the Tribal Gaming Commission has issued a License in 

accordance with Section 5 of this Ordinance and any applicable 

implementing regulations. 

2.38 "Lotto" means a form of Gaming in which the revenues derived from the 

sale of tickets or chances are pooled and those revenues or parts thereof 

allotted by chance to one or more chance takers or ticket purchasers. The 

Licensee conducting the “lottery” determines the amount of cash prizes or 

winnings and a progressive pool is permitted. 

2.39 “Management Contract” means a Contract for the management of Class 

II or Class III Gaming within the meaning of IGRA, including a Contract 

entered between the Tribe and a Gaming Vendor that authorizes the 

Gaming Vendor to manage any Gaming or Gaming Facility. 

2.40 “Management Contractor” means any Person that has entered into a 

Class II or Class III Gaming Management Contract or is a Gaming Vendor 

that is authorized to manage any Gaming or Gaming Facility, including 

any Person determined by the National Indian Gaming Commission to be 

a Management Contractor within the meaning of IGRA. 

2.41 "National Indian Gaming Commission" or “NIGC” means the 

National Indian Gaming Commission established by IGRA. 
LA POSTA GAMING CODE PAGE 10 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

2.42 "Net Revenues" means gross revenues of a Gaming Activity less 

amounts paid out as, or paid for, prizes and total operating expenses, 

excluding management fees. 

2.43 "Participate" means operate, direct, finance or in any way assist in the 

establishment or operation of any class of Gaming or any site at which 

such Gaming is being conducted, directly or indirectly, whether at the site, 

in person or off the Reservation. 

2.44 "Person" means any individual, partnership, joint venture, corporation, 

joint stock company, company, firm, association, trust, estate, club, 

business trust, municipal corporation, society, receiver, assignee, trustee in 

bankruptcy, political entity and any owner, director, officer or employee 

of any such entity or any group of individuals acting as a unit, whether 

mutual, cooperative, fraternal, nonprofit, or otherwise, the government of 

the Tribe or another Indian tribe, any governmental entity of the Tribe or 

another Indian tribe, or any of the above listed forms of business entities 

that are wholly owned or operated by the Tribe or another Indian tribe. 

2.45 "Player" means a person participating in a game with the hope of 

winning money or other benefit, but does not include a Licensee or any 

assistant of a Licensee. 

2.46 "Primary Management Official" means any of the following: 

2.46.1 Any person having management responsibility under a 

Management Contract; or 

 2.46.2 A person who has authority to: 

(1) Hire and fire employees, or 

(2) To set up working policy for the Gaming Operation; or 

2.46.3 The chief financial officer or other person that has financial 

management responsibility for the Gaming Operation or 

Enterprise. 

2.47 "Progressive" refers to a game in which a cash prize, not being won by 

any player during any game, is retained and further monetarily enhanced 

by the Licensee or eligible organization, and offered as a prize to players 

in the next game. 

2.48 “Pull-tabs,” “Punch Boards” and “Tip Jars" refer to forms of Gaming 

in which preprinted cards utilizing symbols or numbers in random order 

which are uncovered by random choice in expectation of cash prizes if 

prescribed combinations of symbols and numbers are revealed. 
LA POSTA GAMING CODE PAGE 11 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

2.49 “Raffle" means a form of Gaming in which each player buys a ticket for a 

chance to win a prize with the winner determined by a random method. 

"Raffle" does not include a slot machine. 

2.50 "Reservation" means the La Posta Indian Reservation, as it now exists or 

may hereafter be supplemented by acquisition(s) of land by the United 

States in trust for the benefit of the La Posta Band of Mission Indians. 

2.51 "State" means the State of California. 

2.52 “State Gaming Agency” means the entity of the State established 

pursuant to the Gambling Control Act, Division 8 of the Business and 

Professions Code, Chapter 5, §§19800 et seq. 

2.53 “Tribal Gaming Commission” means the La Posta Gaming Commission 

established and governed by Section 4 of this Ordinance. 

2.54 "Tribal Court" means any court that may be established and operated by 

or on behalf of the La Posta Band of Mission Indians or, until such Tribal 

Court is established, the General Council of the La Posta Band of Mission 

Indians. 

2.55 "Tribe" or “La Posta Band” means the La Posta Band of Mission 

Indians, a federally recognized Indian tribe. 

2.56 "Wager" means the initial bet made in any game.
LA POSTA GAMING CODE PAGE 12 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

SECTION 3 GENERAL PROVISIONS REGARDING GAMING 

3.1 Tribal Class II Gaming Authorized. Class II Gaming is hereby authorized 

to be operated on the La Posta Indian Reservation and on any other lands on 

which the La Posta Band may lawfully engage in Gaming in accordance with 

applicable provisions of IGRA, regulations promulgated by the NIGC, and 

Tribal law. 

3.2 Tribal Class III Gaming Authorized. Class III Gaming is hereby authorized 

to be operated on the La Posta Indian Reservation and on any other lands on 

which the La Posta Band may lawfully engage in Gaming in accordance with 

applicable provisions of IGRA, regulations promulgated by the NIGC, the 

Tribal/State Compact and other applicable Tribal, state and federal law. 

3.3 Tribal Ownership of Gaming Facility. The Tribe shall have the sole 

proprietary interest in and responsibility for the conduct of any Gaming 

authorized by this Ordinance. No part or share of the proceeds of any Tribal 

Gaming Operation shall inure to the benefit of any Person except as may be 

provided in a Management Contract approved in accordance with this 

Ordinance and IGRA. No Gaming Employee shall have any interest in the 

ownership or leasing of any property, Gaming Device or Facility used in any 

Gaming Operation. 

3.4 Number and Location of Facilities 

3.4.1 The Tribe may establish and operate no more than the number of 

Gaming Facilities authorized by the Tribal/State Compact or any 

amendments thereto or separate compact(s) entered between the La 

Posta Band and the State of California and approved in accordance 

with IGRA. Such facility(ies) may only be operated on those lands 

on which Gaming may lawfully be conducted under IGRA. 

3.4.2 The Tribe may combine and operate in each Gaming Facility any 

forms and kinds of Gaming permitted under IGRA, the Tribal/State 

Compact and Tribal law. 

3.5 Hours of Operation. The Gaming Facility may operate up to twenty-four 

(24) hours per day, seven (7) days per week, 365 days per year, subject to any 

limitations imposed by applicable tribal or federal law or the Compact. 

3.6 Alcoholic Beverages. Alcoholic beverages may be sold and served only in 

full compliance with all applicable tribal, federal, state and local laws, and any 

license(s) or permit(s) issued thereunder.
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3.7 Gaming Device Restrictions 

 

3.7.1 Number of Devices. The Tribe may offer no more than Three 

Hundred Fifty (350) Class III Gaming Devices combined in all 

Facilities, except as may be authorized by any amendment to the 

existing Tribal/State Compact or separate compact entered between the 

La Posta Band and the State of California and approved in accordance 

with IGRA. 

3.7.2 Transferability of Devices. Neither the Gaming Enterprise nor any 

other Licensee is authorized to sell, rent or lend any Gaming Device to 

any Person without prior written approval of the Tribal Gaming 

Commission in accordance with Gaming Commission Regulations. 

3.7.3 Transportation of Devices. Transportation of a Class III Gaming 

Device to or from the Gaming Facility must be in accordance with 

section 7.4.5 of the Compact and Gaming Commission Regulations. 

3.7.4 Technical Standards. All Gaming Devices shall comply with the 

technical standards adopted by the Commission. 

3.8 Age Restrictions. 

3.8.1 Subject to the following provisions, no person under the age of eighteen 

(18) years shall be employed by the Gaming Facility, any Management 

Contractor or the Tribal Gaming Commission. 

3.8.2 No person under the age of twenty-one (21) years shall be employed in the 

service of alcoholic beverages at the Gaming Facility. 

3.8.3 No person under the age of twenty-one (21) years shall be permitted in 

any area where alcoholic beverages are being sold. 

3.8.4 No person under the age of twenty-one (21) years shall be permitted to 

place any wager, directly or indirectly, in any Gaming Activity. 

 

3.8.5 No person under the age of twenty-one (21) years shall be permitted in 

any room or area in which Gaming is being conducted unless the person is 

en route to a non-Gaming area of the Gaming Facility. 

3.9 Protection of Public Health and Safety and the Environment. 

3.9.1 All Gaming Facilities shall be constructed, maintained and operated in 

a manner that adequately protects public health and safety and the 

environment, and complies with all applicable Tribal, state and federal 

laws. 
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3.9.2 Gaming may only be conducted in a Facility for which the Tribal 

Gaming Commission has issued a certificate of occupancy (or a 

renewal every two years after initial certification), based on a finding, 

after inspections by qualified building and safety experts have been 

undertaken, that the Facility complies with all applicable Tribal public 

health and safety laws. 

3.9.3 The Enterprise shall provide adequate security to protect the public in 

and about each Gaming Facility. 

3.9.4 No person shall be allowed to possess firearms in or on the premises of 

any Gaming Facility, with the exception state, local or Tribal security 

or law enforcement personnel authorized by federal, state or Tribal law 

to possess firearms at the Facility. 

3.10 Discrimination in Employment. Subject to applicable Indian Preference 

laws, no Gaming Enterprise may discriminate on the basis of sex, race, 

color, or creed in its employment practices and, in accordance with section 

6.3.2 of this Ordinance, each Enterprise shall establish employment 

policies and procedures that implement this provision in a manner that, 

except with respect to Indian Preference, is at least as stringent as federal 

and state anti-discrimination laws. 
LA POSTA GAMING CODE PAGE 15 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

SECTION 4 TRIBAL GAMING COMMISSION 

4.1 Establishment. The General Council hereby charters, creates and 

establishes the La Posta Gaming Commission as a governmental 

subdivision of the Tribe. 

4.2 Location and Place of Business. The Commission shall be a resident of 

and maintain its headquarters, principal place of business and offices on 

the La Posta Indian Reservation. The Commission may, however, 

establish other places of business in such other locations as the 

Commission may from time to time determine to be in the best interest of 

the Tribe. 

4.3 Duration. The Tribal Gaming Commission shall have perpetual existence 

and succession in its own name, unless dissolved by the General Council 

pursuant to Tribal law. 

4.4 Attributes. As a governmental subdivision of the Tribe, the Tribal 

Gaming Commission is under the directive and control of the General 

Council, but it is the purpose and intent of the General Council that the 

operations of the Tribal Gaming Commission be conducted neutrally on 

behalf of the Tribe for the sole benefit and interests of the Tribe, its 

members and the residents of the Reservation in relation to Gaming. 

4.4.1 Arm of Tribe In carrying out its purposes under this Ordinance and 

other applicable Tribal law, the Commission shall function as an 

arm of the Tribe. 

4.4.2 Tribal Actions Notwithstanding any authority delegated to the 

Commission under this Ordinance or other applicable Tribal law, 

the General Council reserves to 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 Council deems it necessary to 

protect the sovereignty, rights and interests of the Tribe. 

4.5 Recognition as a Political Subdivision of the Tribe The General 

Council shall take all necessary steps to acquire recognition of the 

Commission as a political subdivision of the Tribe, recognized by all 

branches of the federal government and the various states as having been 

delegated the right to exercise one or more substantial governmental 

functions as specifically authorized under the terms and conditions of this 

Ordinance and other applicable Tribal law.
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TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

4.6 Sovereign Immunity of the Tribal Gaming Commission 

4.6.1 Authority. The Commission is cloaked by federal and Tribal law 

with all the privileges and immunities of the Tribe, except as 

specifically limited by this Ordinance or other applicable law, 

including sovereign immunity from suit in any state, federal or 

tribal court. 

4.6.2 No Waiver. Nothing in this Ordinance shall be deemed or 

construed to be a waiver of sovereign immunity of the Commission 

from suit, which may only be waived pursuant to subsection 4.7 

below. 

4.6.3 No Consent to Jurisdiction. Nothing in this Ordinance shall be 

deemed or construed to be a consent of the Commission to the 

jurisdiction of the United States or of any state or of any other tribe 

with regard to the business or affairs of the Commission. 

4.7 Waiver of Sovereign Immunity of the Tribal Gaming Commission. 

The sovereign immunity of the Commission may be waived only by 

express resolutions of both the Commission and the General Council after 

consultation with legal counsel. 

4.7.1 Resolution Effecting Waiver. All waivers of sovereign immunity 

must be asserted by resolutions of continuing force and effect of 

the Commission and the General Council. 

4.7.2 Policy on Waiver. Waivers of sovereign immunity are disfavored 

and shall be granted only when necessary to secure a substantial 

advantage or benefit to the Commission or the Tribe. 

4.7.3 Limited Nature to Waiver. Waivers of sovereign immunity shall 

not be general but shall be specific and limited as to duration, 

grantee, transaction, property or funds, if any, of the Commission 

and shall specify the forum having jurisdiction pursuant thereto 

and the law applicable thereto. 

4.7.4 Limited Effect of Waiver. Neither the power to sue and be sued, 

nor any express waiver of sovereign immunity by resolution of the 

Commission, shall be deemed a consent to the levy of any 

judgment, lien or attachment upon property of the Commission 

other than property specifically pledged or assigned, or a consent 

to suit in respect of any land within the exterior boundaries of the 

Reservation or other Indian Land, or a consent to the alienation, 

attachment or encumbrance of any such land. 
LA POSTA GAMING CODE PAGE 17 of 48 

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ADOPTED 9/27/06 (as amended 1/17/07) 

4.8 Sovereign Immunity of the Tribe. All inherent sovereign rights of the 

Tribe as a federally recognized Indian tribe are hereby expressly reserved, 

including sovereign immunity from suit in any state, federal or tribal 

court. Nothing in this Ordinance or other provisions of the Tribal Gaming 

Code, except as may be expressly provided, nor any action of the 

Commission, shall be deemed or construed to be a waiver of sovereign 

immunity from suit of the Tribe; or to be a consent of the Tribe to the 

jurisdiction of the United States or of any state or any other tribe with 

regard to the business or affairs of the tribe; or to be a consent of the Tribe 

to any cause of action, case or controversy, or to the levy of any judgment, 

lien or attachment upon any property of the Tribe; or to be a consent to 

suit with respect to any land within the exterior boundaries of the 

Reservation or any other Indian Land, or to be a consent to the alienation, 

attachment or encumbrance of any such land. 

4.9 Assets of the Tribal Gaming Commission. The Commission shall have 

only those assets specifically assigned to it by the General Council or 

acquired in its name by the Tribe or by it on its own behalf. No activity of 

the Commission, nor any indebtedness incurred by it, shall implicate or in 

any way involve any assets of the Tribe or Enrolled Tribal Members not 

assigned in writing to the Commission. Nothing in this Ordinance or any 

activity of the Commission shall implicate or in any way involve the credit 

of the Tribe. 

4.10 Composition. 

4.10.1 Number of Commissioners. The Commission shall be comprised 

of three (3) Tribal Gaming Commissioners, and one alternate 

Commissioner that may be appointed as provided in Sections 

4.11.5 and 4.11.6 of this Ordinance. 

4.10.2 Chairperson. One Commissioner, appointed as provided in Section 

4.11 of this Ordinance, shall serve as the Chairperson. The 

Chairperson shall direct Commission meetings and be the 

Commission’s agent for service of process. 

4.10.3 Background Checks/Qualifications. Prior to the time that any 

Commissioner takes office, the Tribe shall perform or arrange to 

have performed a comprehensive background check on each 

prospective Commissioner, who shall meet the background 

requirements of a Management Contractor under IGRA. The 

General Council may request that the State Gaming Agency assist 

in the conduct of such a background investigation, or in the 

investigation of any possible corruption or compromise of a 

Commissioner. No person shall serve as a Commissioner if: 
LA POSTA GAMING CODE PAGE 18 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

(a) His/her prior activities, criminal record, if any, or reputation, 

habits or associations pose a threat to the public interest; threaten 

the effective regulation and control of Gaming; or enhance the 

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

activities in the conduct of Gaming. 

(b) S/he has been convicted of or entered a plea of nolo 

contendere to a felony in any jurisdiction or to a 

misdemeanor involving dishonesty or moral turpitude in 

any jurisdiction; provided that the General Council may 

determine that such time has passed after such conviction 

or plea, or the circumstances of such conviction or plea 

warrant a finding, that such individual has been sufficiently 

rehabilitated that his/her presence on the Commission need 

not violate the standards set forth above; or 

(c) S/he has a direct monetary or financial interest, other than 

as an Enrolled Tribal Member, in the conduct of any 

Gaming Operation or is in privity of contract with a 

Management Contractor as circumscribed by Title X of the 

Tribal Gaming Code; or 

(4) S/he or any member of his/her Immediate Family is a Key 

Employee or Primary Management Official, or has any 

other relationship in connection with any Gaming 

Operation, as circumscribed by Title X of the Tribal 

Gaming Code, that places him or her in a conflict of 

interest. 

4.11 Appointment of Gaming Commissioners 

4.11.1 The General Council shall appoint three Commissioners and 

designate one to be the Chairperson of the Commission. 

4.11.2 The Chairperson shall serve a term of three (3) years, and may 

retain the position through consecutive reappointments, at the 

discretion of the General Council. 

4.11.3 One Commissioner shall be appointed for a period of two years. 

4.11.4 One Commissioner shall be appointed for a period of one year. 

4.11.5 The three (3) Commissioners appointed by the General Council 

may appoint one Alternate Commissioner, whose term shall be a 

period of one year. 
LA POSTA GAMING CODE PAGE 19 of 48 

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ADOPTED 9/27/06 (as amended 1/17/07) 

4.11.6 All subsequent appointments will be for three (3) year terms, with 

the exception of the Alternate Commissioner, who shall remain an 

annual appointment at the discretion of the Commission. 

4.11.7 There will not be a limit to the number of times a person may be 

reappointed as a Commissioner. 

4.11.8 The General Council shall determine and authorize the 

compensation to be paid to the Commissioners based on the 

Commission duties, and a comparison of the Commissioner’s 

duties and responsibilities with those of other Tribal appointive 

bodies. 

4.12 Meetings. 

4.12.1 Regular Meetings. The Commission shall conduct formal business 

at least bi-weekly on a set day of the week. Nothing in this 

Ordinance shall prohibit the Commission from authorizing 

telephonic or off-site meetings. Commission meetings may be 

open to invited guests or convened in closed or confidential session 

in accordance with Gaming Commission Regulations. 

4.12.2 Special Meetings. Special meetings may be called at the request of 

the General Council, the Chairperson of the Tribal Gaming 

Commission or by majority vote of the Gaming Commissioners. 

4.12.3 Quorum. A quorum for all hearings shall consist of at least three 

(3) Commissioners, one of which may be the Alternate 

Commissioner. A quorum for the conduct of other Commission 

business and meetings shall consist of at least two (2) 

Commissioners, on of which may be the Alternate. 

4.12.4 Voting. All questions that arise or are brought to the Commission 

related to issues within the Commission’s authority shall be 

decided by majority vote and subject to appeal only as provided in 

this Ordinance and Commission Regulations. 

4.13 Removal of Commissioners; Vacancies 

4.13.1 Removal. The General Council may remove a Commissioner from 

office for misconduct, neglect of duty, or act(s) that would render 

such person unqualified for a License pursuant to Section 5 of this 

Ordinance. Any removal action by the General Council shall be 

conducted at a duly noticed meeting, at which the Commissioner 

charged with misconduct shall have the right to hear and present 

evidence concerning his/her proposed removal. 
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TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

4.13.2 Removal Final The decision of the General Council upon the 

removal of a Commissioner shall be final. 

4.13.3 Vacancies If any Commissioner shall die, resign, be removed or 

for any reason be unable to serve as a Commissioner, the General 

Council shall declare his/her position vacant and shall appoint 

another person to fill the position within thirty (30) days of the 

vacancy. The term of office of each person appointed to fill a 

vacant Commission position shall be for the balance of the unexpired term for such position; provided, however, that any 

prospective appointee must meet the qualifications established by 

this Ordinance. 

4.14 Conflict of Interest No Person shall serve as a Commissioner if s/he or 

any member of his/her Immediate Family has an ownership, partnership or 

other direct financial interest, other than a regular salary interest, in any 

Gaming Enterprise, or if s/he has any other relationship in connection with 

the Gaming Operation that places him/her in a conflict of interest. The 

Tribe shall take all reasonable steps to ensure that all Commissioners are 

free from corruption, undue influence, compromise, and conflicting 

interests in the conduct of their duties under this Ordinance and, to that 

end, shall promptly and uniformly enforce the Ethics and Conduct 

Ordinance set forth at Title X of the Tribal Gaming Code. 

4.15 Powers of the Tribal Gaming Commission In furtherance, but not in 

limitation, of the Tribal Gaming Commission's purposes and 

responsibilities, and subject to any restrictions contained in this Ordinance 

or other applicable law, the Commission shall have, and is authorized to 

exercise, the following powers in addition to all powers otherwise 

conferred by this Ordinance: 

4.15.1 To reasonably inspect and regulate all Gaming within the 

jurisdiction of the Tribe, provided that the Commission does not 

make management decisions as to the day-to-day operations of any 

Gaming Enterprise. 

4.15.2 To make, or cause to be made by its agents or employees, an 

examination or investigation of the place of business, equipment, 

facilities, tangible personal property and the books, records, 

papers, vouchers, accounts, documents and financial statements of 

any Gaming Operation within the jurisdiction of the Tribe. 

4.15.3 To investigate any reported violations of this Ordinance, any other 

provisions of the Tribal Gaming Code, the Compact, IGRA, 

Gaming Commission Regulations, or any other applicable law 

regarding Gaming within the jurisdiction of the Tribe. In 
LA POSTA GAMING CODE PAGE 21 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

undertaking such investigations, the Tribal Gaming Commission 

may request the assistance of Tribal Gaming staff, Federal or local 

law enforcement officials, legal counsel, and/or other third parties. 

4.15.4 To publish and distribute copies of this Ordinance, other provisions 

of the Tribal Gaming Code and Gaming Commission Regulations, 

and any Commission, General Council or Tribal Court decisions 

regarding Gaming-related matters. 

4.15.5 To prepare and submit for General Council approval proposals, 

including budget and monetary proposals related to the operation 

of the Commission, that will enable the Tribe to better carry forth 

the policies and intent of this Ordinance and other provisions of the 

Tribal Gaming Code. 

4.15.6 To work directly with the General Council with regard to any 

Gaming-related issues, including consultation and 

recommendations regarding changes in Tribal Gaming laws and 

policies. 

4.15.7 To arrange for training of Commissioners and Commission staff in 

areas relating to the regulation or operation of Gaming. 

4.15.8 To employ such advisors as it may deem necessary. Advisors may 

include, but are not limited to, lawyers, accountants, law 

enforcement specialists and Gaming professionals. 

4.15.9 Subject to Section 4.17 below, to promulgate rules, regulations and 

policies to implement and further the provisions of this Ordinance 

and other provisions of the Tribal Gaming Code. 

4.15.10 To accept, review, approve or disapprove any Application for a 

License in accordance with Section 5 of this Ordinance and 

applicable Gaming Commission Regulations. 

4.15.11 To examine under oath, either orally or in writing, in hearings or 

otherwise, any Person with respect to any matters related to this 

Ordinance or other provisions of the Tribal Gaming Code, 

Commission Regulations, or other applicable law, and to compel 

by subpoena the attendance of witnesses and the production of 

any books, records, and papers with respect thereto. 

4.15.12 To delegate to an individual Commissioner, employee or other 

Commission agent such of its functions as may be necessary to 

efficiently administer this Ordinance, other provisions of the Tribal 

Gaming Code and Gaming Commission Regulations; provided, 
LA POSTA GAMING CODE PAGE 22 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

that the Commission may not re-delegate its power to exercise any 

of the substantial governmental functions of the Tribe or its power 

to promulgate rules and regulations; and provided further that the 

Commission may not delegate to any person the power to 

permanently revoke a License. 

 

4.15.13 To issue fines and sanctions to any Gaming Facility operating in 

violation of any applicable law in accordance with Section 8 of this 

Ordinance, and report significant violations of the Compact to the 

General Council and the State Gaming Agency. 

4.15.14 To sue or be sued in courts of competent jurisdiction, subject to 

the provisions of Sections 4.6 through 4.8 of this Ordinance; 

provided, however, that the Commission must obtain the prior 

written approval of the General Council before bringing suit. 

4.15.15 To use the seal of the Tribe with the approval of the General 

Council. 

4.15.16 To arbitrate, compromise, negotiate or settle any dispute to which 

it is a party or over which it has decision-making authority. 

4.15.17 To exercise the Tribal power to tax solely for the purpose of 

allowing it to charge to Applicants administrative and License 

Application fees that are reasonably related to the costs of 

operating the Commission. 

4.15.18 To purchase insurance from any stock or mutual company for any 

 property or against any risk or hazard. 

4.15.19 With prior approval of the General Council, to make application 

for and accept grants and/or other awards from private and/or 

governmental sources to fund activities that carry out or further the 

purposes of the Commission or the Tribe. 

4.15.20 To establish and maintain such bank accounts as may be necessary 

or convenient. 

4.15.21 To require the filing of any records, forms, and reports and any 

and all other information required by this Ordinance, other 

provisions of the Tribal Gaming Code, Gaming Commission 

Regulations, and other applicable law. 

4.15.22 To provide for an internal system of record keeping with adequate 
LA POSTA GAMING CODE PAGE 23 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

safeguards for preserving confidentiality as deemed necessary by 

the Commission for retaining records, forms and reports, in hard 

copy and/or electronically, for at least five (5) years. 

4.15.23 To adopt a schedule of fees to be charged for Licenses and 

Applications therefor. 

4.15.24 To adopt schedules of fees for services rendered relating to 

administrative hearings and appeals, transcripts and the furnishing 

or certifying of copies of proceedings, files, and records. 

4.15.25 To conduct or arrange for background investigations of all 

Applicants in accordance with section 5 of this Ordinance. 

4.15.26 To discipline any Licensee or Person participating in Gaming by 

ordering immediate compliance with this Ordinance, other 

provisions of the Tribal Gaming Code, Commission Regulations, 

and/or other applicable law, and to issue orders suspending or 

revoking any License in accordance with the procedures set forth 

in this Ordinance and applicable Gaming Commission Regulations. 

4.15.27 To issue an order of temporary closure of a Gaming Facility in 

the event the Commission determines that immediate closure is 

necessary to protect assets or interests of the Tribe, in accordance 

with the procedures set forth in this Ordinance and applicable 

Gaming Commission Regulations. 

4.15.28 To become self-regulating whenever the Tribe becomes eligible 

for a certificate of self-regulation under IGRA. 

4.15.29 To file with the State Gaming Agency a request to be heard on 

any denial of a Determination of Suitability as defined by the 

Tribal/State Compact. 

4.15.30 To work with the State Gaming Agency as it deems appropriate 

to process Licenses in accordance with the provisions of Section 

6.4 and 6.5 of the Compact. 

4.15.31 To assist Management in taking all steps necessary and 

appropriate to insure the physical safety of all Tribal Gaming 

Facilities, their licensees, patrons and employees. 

4.15.32 To file regular reports with the General Council summarizing 

reports received from any Management Contractor or General 

Manager, and further to make such comments as it deems 

necessary to keep the General Council fully informed as to the 
LA POSTA GAMING CODE PAGE 24 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

status of the Tribal Gaming Commission’s activities in response to 

those reports. 

4.15.33 To determine whether any Game of Chance is classified as Class 

II Gaming or Class III Gaming. 

4.15.34 To fix technical standards for Gaming Devices and regulations 

governing Gaming Device procurement, testing, certification, 

operational and maintenance requirements, removal, storage and 

disposal. 

4.15.35 To establish such departments and employ such staff as 

reasonably may be required to fulfill its responsibilities under this 

Ordinance, other provisions of the Tribal Gaming Code, and other 

applicable law. Compensation of Commission staff shall be 

limited to that which is comparable to compensation paid to 

persons performing similar duties in other governmental Gaming 

regulatory agencies. 

4.16 Annual Budget. The Commission shall prepare an annual operating 

budget for all Commission activities and present it to the General Council 

for approval by December 15 of each year. 

4.17 Tribal Gaming Commission Regulations, Policies and Procedures 

4.17.1 The Commission shall promulgate such regulations, policies and 

procedures as are necessary to carry out the orderly performance 

of its duties and powers, including, but not limited to, the 

following: 

(a) Minimum Internal Control Standards (“MICS”) at least as 

stringent as those issued by the NIGC; 

(b) Interpretation and application of this Ordinance and other 

provisions of the Tribal Gaming Code, as may be necessary 

to enforce the Commission's duties and exercise its powers; 

(c) Regulations governing the procurement, operation, 

maintenance, storage and disposal of Gaming Devices, 

technical specifications and rules of play; 

(d) Internal operations, including the establishment and 

functions of departments and the conduct of inspections, 

investigations, hearings, enforcement actions and other 

powers of the Commission authorized by this Ordinance; 
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ADOPTED 9/27/06 (as amended 1/17/07) 

(e) Licensing procedures; 

(f) A regulatory system for overseeing Gaming, including 

accounting, contracting, operation and management, and 

those items identified in Section 6.3 of this Ordinance; 

(g) Internal controls and financial audits of all Gaming 

Operations that shall, at a minimum: 

(1) Prescribe minimum procedures for safeguarding the 

gaming operation’s assets and revenues, including 

recording of cash and evidences of indebtedness and 

mandatory count procedures. Such procedures shall 

establish a control environment, accounting system and 

control procedures that safeguard the assets of the 

organization, assure that operating transactions are 

properly recorded and encourage adherence to 

prescribed policies. 

(2) Prescribe minimum reporting requirements to the 

NIGC. 

(3) Provide for the adoption and use of internal audits by 

Tribal Gaming Commission auditors and Certified 

Public Accountants licensed to practice accounting in 

the State of California. 

(4) Ensure that a uniform code of accounts and accounting 

classifications are formulated to assure consistency, 

comparability and effective disclosure of financial 

information. Such code shall require that records be 

retained that reflect statistical drop (amount of cash 

wagered by patrons), statistical win (amount of cash 

won by the gaming operation) and the percentage of 

statistical win to statistical drop, or provide similar 

information for each type of game or each gaming 

device. 

(5) Provide for the maintenance of documentation (i.e., 

checklist, transaction forms, programs, reports, etc.) to 

evidence all internal work performed as it relates to the 

requirements of this section. 

(6) Provide that all financial statements and supporting 

documentation relating to the gaming operation be 

maintained for a minimum of five (5) years. 
LA POSTA GAMING CODE PAGE 26 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

(h) Procedures for the fair and timely resolution of gamingrelated disputes between patrons and management; 

(i) A procedure for the listing of persons who may be excluded 

or ejected from any licensed Gaming Facility. The list may 

include any person whose presence in the gaming 

establishment is determined by the Commission to pose a 

threat to the welfare of the Tribe, the gaming public, or to 

licensed gaming. 

4.17.2 All initial regulations of the Tribal Gaming Commission are 

subject to review and approval of the General Council, 

documented by General Council resolution. Modifications and 

amendments to any Commission Regulations shall be effective 

upon their adoption by the Commission, but shall be noticed to the 

General Council, and may be vetoed or further modified in whole 

or in part by the General Council if such action is determined to be 

in the best interests of the Tribe. 

4.17.3 Gaming Commission Regulations, and any amendments thereto, 

that require NIGC approval in accordance with 25 CFR Part 522 

shall be timely submitted to NIGC for processing. 

4.18 Right of Entrance; Bi-Monthly Inspection. The Commission and its duly 

authorized officers, employees and/or agents may reasonably enter upon the 

premises of any Licensee or Gaming Facility at any time for the purposes of 

making inspections and examining the accounts, books, papers and documents of 

any such Licensee or Gaming Facility. 

4.18.1 Aid to Entry. The Licensee or Gaming Facility staff shall facilitate 

such inspection or examinations by giving every reasonable aid to 

the Commission and to any properly authorized Commission 

representative. 

4.18.2 Frequency of Inspection. An authorized representative of the 

Commission shall visit each Gaming Facility at least once every 

two weeks during normal business hours for the purpose of 

monitoring its operation. Such visits shall be unannounced. 

4.19 Investigation The Commission, or its designee, upon complaint or upon 

its own initiative, whenever it may deem it necessary in the performance 

of its duties or the exercise of its powers, may investigate and examine the 

operation and premises of any Licensee within its jurisdiction. 

 

4.20 Due Process for Dispute Resolution and Enforcement Proceedings. 

The Commission shall ensure due process by providing notice and an 
LA POSTA GAMING CODE PAGE 27 of 48 

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opportunity to be heard in connection with any exercise of its dispute 

resolution or enforcement capabilities. 

4.20.1 Patron Dispute Resolution Patron disputes shall be processed in 

accordance with the provisions of Section 7 of this Ordinance (as 

to Gaming-related disputes), Title IX of the Tribal Gaming Code 

(in connection with patron tort claims), and Gaming Commission 

Regulations. 

4.20.2 Enforcement Proceedings. Enforcement proceedings arising from 

the violation of any Gaming-related law shall be processed in 

accordance with the provisions of Section 8 of this Ordinance and 

Gaming Commission Regulations. 

4.20.3 Appeals. Affected parties may have a right to appeal a 

Commission determination as provided in Section 7 of this 

Ordinance and Title IX of the Tribal Gaming Code (as to patron 

disputes) or Section 8 of this Ordinance (as to enforcement 

proceedings), and in applicable Gaming Commission Regulations. 

 
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SECTION 5 TRIBAL GAMING LICENSES 

5.1 Applicability and Type.

5.1.1 Every Gaming Facility is required to have a current and valid 

Facility License issued by the Commission to lawfully operate 

within the jurisdiction of the La Posta Band. 

5.1.2 Every Key Employee, Primary Management Official (including 

every Management Contractor) and Employee that aids or 

participates in Gaming within the jurisdiction of the La Posta Band 

is required to have a current and valid Gaming Employee License 

issued by the Commission. 

5.1.3 Every Gaming Vendor that provides or receives, or is likely to 

provide or receive at least Twenty-five Thousand Dollars 

($25,000) in cash or value in any twelve (12) month period to or 

from a Gaming Enterprise is required to have a current and valid 

Vendor License issued by the Commission. 

5.1.4 Every Financial Source doing business with a Gaming Enterprise 

within the jurisdiction of the La Posta Band is required to have a 

current and valid Vendor License issued by the Commission, 

unless such requirement is waived pursuant to the provisions of 

Section 6.4.6 of the Compact. 

5.1.5 Every Labor Union and Representative that seeks to or does 

organize Gaming Employees and/or other Employees of the 

Gaming Enterprise and/or Commission in accordance with Title 

XIII of the Tribal Gaming Code is required to have a current and 

valid Labor Organization License issued by the Commission. 

5.1.6 The Commission may require other categories of persons to be 

licensed, in its discretion, and may exempt certain persons or 

organizations from licensing requirements, subject to the 

requirements of the Tribal/State Compact. 

5.2 License Term. No License shall be in effect for a period of longer than 

two years; provided, however, that all Licensees may seek to renew their 

Licenses for additional periods of time in accordance with Section 5.11 of 

this Ordinance and applicable Gaming Commission Regulations. 

5.3 Facility Licenses. Each Gaming Facility authorized by the Compact and 

this Ordinance must be licensed by the Tribal Gaming Commission to 

operate lawfully within the jurisdiction of the La Posta Band. 
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5.3.1 A Facility License shall be issued if the following criteria are met: 

(a) The construction, expansion or modification of the 

Facility meets the building and safety requirements as 

required by Title VII of the Tribal Gaming Code. 

(b) The construction, expansion or modification of the 

Facility shall meet the standards of the federal 

American with Disabilities Act pursuant to Title IV of 

the Tribal Gaming Code. 

(c) The Commission has issued a certificate of occupancy 

that is in current force and effect in accordance with 

section 3.9.2 of this Ordinance. 

5.3.2 The Commission shall forward each Facility License to the State 

Gaming Agency within ten (10) days of issuance. 

5.3.3 The Facility License shall be posted in a conspicuous and public 

place in the Facility at all times. 

5.4 General Application Procedure for All Other Licenses 

5.4.1 Submission to Tribal Gaming Commission. An Applicant seeking 

an Employee License, a Vendor or Financial Source License, or a 

Labor Organization License shall submit an Application to the 

Tribal Gaming Commission on such form as the Commission may 

require. 

5.4.2 Application Fees. The Commission may fix a reasonable 

Application fee and guidelines for the payment thereof. 

5.4.3 Application Contents. In accordance with section 6.4.7 of the 

Tribal/State Compact, all application forms must request adequate 

information from the Applicant to enable the Commission to 

undertake the appropriate background investigation and render a 

determination of suitability. Specific requirements shall be set 

forth in Gaming Commission Regulations. 

5.4.4 Privacy Act In accordance with 25 C.F.R. §556.2, all application 

forms must comply with the provisions of the Privacy Act of 1974 

by including the following language: 

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

provided: Solicitation of the information on this form is authorized by 25 
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ADOPTED 9/27/06 (as amended 1/17/07) 

U.S.C. § 2701 et seq. The purpose of the requested information is to 

determine the eligibility of individuals to be employed in a gaming 

operation. The information will be used by the Tribe and the National 

Indian Gaming Commission members and staff who have need for the 

information in the performance of their official duties. The information 

may be disclosed to appropriate Federal, Tribal, State, local or foreign law 

enforcement and regulatory agencies when relevant to civil, criminal or 

regulatory investigations or prosecutions or when necessary pursuant to a 

requirement by a Tribe or the National Indian Gaming Commission in 

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

revocation of a gaming license, or investigation of activities while 

associated with a Tribe or a gaming operation. Failure to consent to the 

disclosures indicated in this notice will result in a Tribe being unable to 

hire you in a primary management official or key employee position. The 

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

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

5.4.5 False Statement. In accordance with 25 C.F.R. § 556.3, all 

application forms must contain the following language as required by the 

False Statements Act: 

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

hiring you, or for firing you after you begin work. Also, you may be 

punished by fine or imprisonment. 

5.4.6 Fingerprints. The Commission must obtain, or cause to be obtained, 

fingerprints for each Applicant (or principal, if the Applicant is a business 

entity), in accordance with Commission procedures developed in 

compliance with 25 C.F.R. § 522.2(h) for use in completing background 

investigations. Fingerprints shall be processed for background 

investigation purposes in accordance with section 5.6.1 below. 

5.4.7 Background Investigation. Upon receipt of a completed Application 

and Applicant fingerprints, the Commission must conduct or cause to be 

conducted a background investigation on each Applicant using the 

information provided on the Application, which investigation will 

conform to the procedures detailed in Commission Regulations and 

policies in accordance with 25 C.F.R. § 522.2(b) and, at a minimum, 

satisfy the requirements of 25 C.F.R. Parts 556 and 558. 

5.5 Review Procedure and Determination of Suitability. The Tribal Gaming 

Commission, or its designee, shall thoroughly review and conduct a 

background investigation of each License Applicant sufficient to make a 

determination of suitability as required under IGRA, the Compact and this 

Ordinance. 
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5.5.1 The Commission’s review and background investigation shall 

include, without limitation, the following: 

(a) contact all references; 

(b) verify all information provided in Application; and 

(c) investigate prior activities, criminal record (if any), reputation, 

habits and associations. 

5.5.2 The Commission shall prepare, or cause to be prepared, a report of 

findings, including documentation of potential problem areas and 

disqualifying information. The report should describe the steps taken to 

conduct the background investigation, the results obtained, the conclusions 

reached and the bases for those conclusions. 

5.5.3 If the Commission determines that a Person poses a threat to the 

public interest or to the effective regulation of gaming, or creates or 

enhances dangers of unsuitable, unfair, or illegal practices and methods 

and activities in the conduct of gaming, or otherwise fails to satisfy the 

criteria set forth in section 6.4.3 of the Compact, the Commission shall 

issue a determination that the Person is not suitable and deny the Person’s 

Application for a License. 

5.5.4 No License shall be granted to any person who: 

(a) is under the age of 18 (except as may be provided by 

Commission Regulation as to personnel employed by a lessee 

or licensee to sell food and non-alcoholic beverages outside 

Gaming areas within the Facility); or 

(b) has been convicted of or entered a plea of guilty or no contest 

to a gambling related offense, fraud or misrepresentation; or 

(c) has been convicted of or entered a plea of guilty or no contest 

to any offense not specified in subsection (B) within the 

immediately preceding five years. This provision shall not 

apply if that person has been pardoned by the Governor of the 

State where the conviction occurred or, if an Enrolled Tribal 

Member, is determined to be a person who is not likely again 

to engage in any offense or criminal course of conduct and the 

public good does not require that the Applicant be denied a 

Gaming License; or 

(d) is determined to have participated in organized crime or 

unlawful gambling or whose prior activities, criminal record, if 

any, or reputation, habits, and associations pose a threat to the 

public interest or to the effective regulation and control of 
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gaming, or create or enhance the dangers of unsuitable, unfair, 

or illegal practices, methods and activities in the conduct of 

gaming or the carrying on of the business and financial 

arrangements incidental thereto. 

5.6 Role of National Indian Gaming Commission in Licensing Process 

5.6.1 The Commission shall transmit fingerprints of each Applicant to 

the NIGC to obtain a criminal history from the FBI. In addition, 

the Commission shall provide to NIGC each Application, 

investigative report and supporting documentation, and 

preliminary determination of suitability for further processing in 

accordance with 25 C.F.R. §§ 558.3 and 558.4. The Commission 

may issue a license to any Applicant otherwise determined suitable 

for which NIGC provides no objection within thirty (30) days of 

the provision of the Applicant’s file to the NIGC. If NIGC 

identifies any objections to the licensing of the Applicant during 

that time period, the Commission must take such objections into 

account before making a final determination as to whether the 

Applicant should be licensed. 

5.6.2 The Commission shall maintain each Applicant’s file, including 

Applications, background investigation reports, and suitability 

determination reports, for inspection by the NIGC for no less than 

three (3) years from the date of denial of an Application or 

termination of employment, as the case may be. 

5.6.3 If an Applicant is denied a License, the Commission shall notify 

NIGC and may forward to NIGC a copy of the rejected 

Applicant’s file pursuant to 25 C.F.R. §556.5(d). 

5.7 Role of State Gaming Agency in Licensing Process

5.7.1 Pursuant to sections 6.4.4, 6.4.5 and 6.4.6 of the Compact, each 

Applicant for a Gaming Employee License or a Gaming Vendor 

License must obtain a determination of suitability from the State 

Gaming Agency. 

5.7.2 In accordance with section 6.4.4 of the Compact, no Gaming 

Employee may be employed if the State Gaming Agency has 

denied his/her application for an initial determination of suitability, 

or if his/her application for a renewal of such determination has 

been denied, or if his/her determination of suitability has expired 

without renewal, unless: 
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(a) The person holds a valid and current License issued by the 

Commission; 

(b) The denial of the application by the State Gaming Agency is 

based solely on activities, conduct or associations that antedate 

the filing of the person’s initial application to the State Gaming 

Agency for a determination of suitability; 

(c) The person is not an employee or agent of any other gaming 

operation; and 

(d) The person either (i) is an Enrolled Tribal Member, or (ii) has 

been in the continuous employ of the La Posta Band for at least 

three years prior to the effective date of the Compact. 

5.7.3 Subject to the provisions of sections 6.4.5 and 6.4.6 of the 

Compact, no Gaming Vendor or Financial Source may enter or 

continue to perform under an agreement or contract with the La 

Posta Band for the provision of any Gaming Resources or 

financing if the State Gaming Agency has denied its application for 

an initial determination of suitability, or if its application for a 

renewal of such determination has been denied, or if its 

determination of suitability has expired without renewal. 

5.7.4 The Commission may, in its discretion, seek to contract with the 

State Gaming Agency for the conduct of background 

investigations, may rely on state certification of non-objection 

previously issued under a gaming compact involving another tribe, 

or may rely on a state gaming license previously issued to an 

applicant, to fulfill some or all of the Commission’s background 

investigation responsibilities. 

5.7.5 The Commission shall ensure that a monthly report is provided to 

the State Gaming Agency with the name, badge identification 

number, and job descriptions of all Employees licensed by the 

Commission. 

 5.8 Other License Provisions 

5.8.1 Gaming Employee License A Gaming Employee License issued 

pursuant to this section shall be effective for only the location, job 

and employer contained in the Application; provided, however, 

nothing herein shall prohibit a Primary Management Official or 

Key Employee from simultaneously performing the duties and 

responsibilities of more than one position; provided further, that 

the Primary Management Official or Key Employee is performing 
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a position that is directly in lineal descent below him/her in the 

organizational structure of the Enterprise and that s/he is qualified 

and trained to perform the duties of the positions so performed. 

Dealers may also be permitted to deal various card games so long 

as they are qualified and trained to perform the duties of the 

positions so performed and are specifically licensed for those 

positions. 

5.8.2 Non-Gaming Employee License A Non-Gaming Employee 

License, that may be issued to Employees that are not permitted in 

areas of Gaming, such as cooks, kitchen staff, food servers, or 

hosts/hostesses, shall be effective for only the location, job and 

employer contained in the Application. The Commission may 

determine, and document through Regulation, that these Licenses 

do not require the same level of background scrutiny required for 

Gaming Licenses. 

5.8.3 Part-Time or Full-Time Licenses Each Employee’s License 

shall state clearly whether the Employee is a part-time or full-time 

Employee. 

5.8.4 Requirement to Produce License Upon Request All Licensees 

must carry the License and visibly display the License during 

working hours and must produce the License upon the request of 

any person. 

5.8.5 Non-Transferability. No License shall be sold, lent, assigned or 

otherwise transferred. 

5.9 Temporary Licensing. Notwithstanding anything herein to the contrary, 

if an Applicant has completed a License Application, the Commission 

may immediately issue a temporary License, lasting no longer than ninety 

(90) days, if: 

5.9.1 The Commission has conducted a preliminary local background 

investigation; and 

5.9.2 Based on the preliminary investigation, the information does not 

indicate that the Applicant has a criminal history. 

5.10 Conditional Licensing. The Commission may by regulation define 

circumstances under which licenses may be issued on a conditional basis. 

. 

5.11 Renewals. A Licensee may seek to renew his/her License by applying to 

the Commission for a renewal before the License expires. Applicants may 

be required to provide updated material as requested, and should also 
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ensure there are current determinations of suitability on file with the State 

Gaming Agency. 

 5.12 Denial, Suspension or Revocation of License 

5.12.1 License Denial. Any Application for a License shall be denied if 

the Tribal Gaming Commission, after an adequate review, 

determines the Application is incomplete or deficient, or that 

employment of or contract with the Applicant would pose a threat 

to the public interest or the effective regulation of gaming, or 

would create or enhance the danger of unsuitable, unfair or illegal 

practices and methods and activities in the conduct of gaming. If 

the Commission has made any of the foregoing determinations 

about an Applicant for an Employee License, no Management 

Contractor or Gaming Enterprise shall employ the Applicant. 

5.12.2 Suspension or Revocation The Tribal Gaming Commission may 

suspend or revoke a License for any of the following reasons: 

(a) The Licensee withheld pertinent information or made False 

Statements on the Application; 

(b) The Licensee participated in Gaming that was not 

authorized by any License or Tribal law, and therefore 

deemed illegal; 

(c) The Licensee attempted to bribe a General Council 

member, Commissioner or other Person, in an attempt to 

avoid or circumvent Tribal law; 

(d) The Licensee offered something of value to a Tribal 

Gaming Commission member, in violation of the Tribal 

Gaming Commission Ethics and Conduct Ordinance set 

forth at Title X of the Tribal Gaming Code; 

(e) The Licensee knowingly promoted, played or participated 

in any Gaming operated in violation of Tribal or federal 

law; 

(f) The Licensee is knowingly involved in the falsification of 

books or records that relate to a transaction connected with 

a Gaming Operation; 

(g) The Licensee violates this Ordinance, other applicable 

Tribal or federal law, or Gaming Commission Regulations; 
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(h) The Licensee has been convicted of, or has entered a plea 

of nolo contendere to, any crime involving Gaming, fraud, 

theft, or embezzlement, or the sale of illegal narcotics or 

controlled substances; 

(i) The Licensee has refused to comply with any lawful order, 

inquiry or directive of the Commission, the General 

Council, the federal government or any court of competent 

jurisdiction; 

(j) The Licensee has been charged with a felony; however, a 

temporary suspension may be removed if the charges are 

subsequently dismissed. 

(k) Any other Cause the Commission deems appropriate to ensure 

the integrity of the Gaming Operation. 

5.12.3 Procedure for Denial, Suspension or Revocation 

(a) The Commission shall by Regulation establish procedures for 

the denial, suspension or revocation of a license. 

 

(b) If the NIGC notifies the Tribe that it has received reliable 

information indicating that a Key Employee or Primary 

Management Official is not eligible for employment under 25 

C.F.R. §558.2, the Commission shall suspend such person’s 

License and serve upon such Licensee a written notice of 

suspension with an order to show cause why the Licensee’s 

License should not be revoked or the Licensee should not be 

enjoined from conducting or participating in Gaming. 

(c) The Applicant or Licensee shall be given due process and 

Commission decision-making shall proceed in accordance with 

Gaming Commission Regulations. 

(d) The Tribe shall notify NIGC of all final decisions to suspend or 

revoke any License. 
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SECTION 6 GAMING FACILITY MANAGEMENT AND OPERATIONAL 

REQUIREMENTS 

 6.1 Management Contracts 

6.1.1 Each Management Contract must be approved by the General 

Council to be effective. In making its decision on a proposed 

Management Contract, the General Council shall review the 

following: 

(a) Background information on the proposed Management 

Contractor including its name, address, the names and 

addresses of each Person having a direct financial interest 

or management responsibility for the proposed 

Management Contractor and, in the case of a corporation, 

the names and addresses of each member of its board of 

directors and all stockholders who hold directly or 

indirectly ten percent (10%) or more of its issued or 

outstanding stock. 

(b) A description of any previous experience that each Person 

listed in subsection (a) above has had with other Gaming 

contracts with Indian tribes or within the Gaming industry 

generally, including the name and address of any tribal 

government or licensing agency with which such Person 

has had a contract relating to Gaming. 

(c) A complete financial statement of each Person listed in 

subsection 6.1.1(a) above. 

6.1.2 The General Council shall undertake any additional steps 

necessary and feasible to determine the character and reputation of 

each proposed Management Contractor. 

6.1.3 If the General Council, after reviewing the above-described 

information, still desires to enter into a Management Contract with 

the proposed Management Contractor, such Management Contract 

shall be placed in writing and submitted to legal counsel for review 

before the Council approves it. 

6.1.4 Any Management Contract approved by the General Council must 

contain, at a minimum, the following with respect to the Gaming 

Enterprise to which the Contract is applicable: 
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(a) A provision requiring a monthly financial accounting of the 

Gaming Enterprise's income and expenses. An 

independent auditor who is mutually acceptable to the 

Tribe and the Management Contractor shall prepare such 

reports. 

(b) A provision guaranteeing the Tribe a minimum payment 

that shall always take precedence over the Management 

Contractor's right to recoup development and construction 

costs. 

(c) An agreed upon ceiling for the Management Contractor's 

development and construction costs. 

(d) A provision that the contract shall not exceed seven (7) 

years or 40% of Net Revenues. 

(e) A provision for termination of the contract and the grounds 

for termination. 

6.1.5 If the General Council is satisfied with the information it receives 

it shall submit its proposed Management Contract along with all of 

the above-described information to the Tribal Gaming 

Commission, the State Gaming Agency, and the NIGC. 

6.1.6 No Management Contractor may operate a Gaming Operation 

within the jurisdiction of the La Posta Band and no Tribal 

Management Contract will be valid without prior approval of 

NIGC pursuant to the provisions of 25 C.F.R. Part 533. 

6.1.7 No Management Contractor may operate a Gaming Operation 

within the jurisdiction of the La Posta Band and no Tribal 

Management Contract will be valid unless the Contractor obtains 

and maintains a valid license from the La Posta Gaming 

Commission in accordance with Section 5 of this Ordinance. 

 

6.2 General Manager

6.2.1 The Management Contractor or, if no such contractor, the Tribe 

shall identify in writing the identity of the person who shall serve 

as General Manager of the Gaming Enterprise. The proposed 

General Manager must undergo a background check by the Tribal 

Gaming Commission and obtain a License in accordance with the 

provisions of Section 5 of this Ordinance before commencing 

work. 
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6.2.2 Subject to approved policies and procedures, the General Manager 

shall have access to any area within the Gaming Facility except the 

surveillance room and storage, and other surveillance-related 

facilities for which access requires prior Gaming Commission 

authorization. 

6.2.3 The General Manager shall present a written monthly report to the 

Tribal Gaming Commission that estimates the number of patrons 

served, the amount of income generated, the numbers of 

employees working at the establishment, a detailed description of 

any patron complaints and other problems experienced at the 

establishment, a written statement of any changes in Primary 

Management Officials, and all bills which are thirty (30) days or 

more past due. 

6.2.4 The General Manager shall be responsible for ensuring that a 

liability insurance policy, that has been approved by the General 

Council, with limits of at least Five Million Dollars 

($5,000,000.00) to protect the public in the event of an accident, 

remains in force and effective during all periods in which the 

Gaming Facility is open and operational and Gaming Activity is 

taking place. 

6.2.5 The General Manager shall be responsible for ensuring that 

Gaming Activity is managed in accordance with Tribal and federal 

law and that such Gaming Activity complies with all IRS reporting 

requirements. 

6.3 Rules and Regulations Governing Operations and Management Each 

Enterprise shall comply with all rules and regulations or specifications 

adopted by the La Posta Gaming Commission governing, in addition to 

those specified in sections 3.7, 7.3.3 and 8.2 of this Ordinance, the 

following subjects: 

6.3.1 The enforcement of all relevant laws and rules with respect to each 

Gaming Operation and Facility; 

6.3.2 The establishment of employee policies and procedures to address 

hiring, training, conduct, and anti-discrimination; 

6.3.3 The conduct of annual Gaming Operations audits consistent with 

section 6.7 below; 

6.3.4 Maintenance of a cashier’s cage in accordance with industry 

standards; and 
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6.3.5 Minimum staff and supervisory requirements for each Gaming 

Activity to be conducted in the Facility. 

6.4 Bank Accounts. The Tribe shall open one or more separate bank account(s) 

for each Gaming Enterprise and receipts of all Gaming Activities operated or 

conducted by the Enterprise(s) shall be deposited into such account(s). 

6.5 Record Keeping Accounting records of each Gaming Enterprise and Facility 

shall be kept on a double entry system of accounting, maintaining detailed 

supporting and subsidiary records. Each Enterprise shall maintain the 

following records, in hard copy and/or electronic form, for not less than five 

(5) years: 

6.5.1 Revenues, expenses, assets, liabilities and equity for each location 

at which Class II and Class III Gaming is conducted. 

6.5.2 Daily cash transactions for Gaming, including but not limited to 

transactions relating to each Gaming table, game drop box and 

game room bank. 

6.5.3 All markers, IOUs, returned checks, hold checks or other similar 

credit instruments. 

6.5.4 Individual and statistical game records to reflect statistical drop 

and statistical win for electronic, computer, or other 

technologically assisted games. 

6.5.5 Contracts, correspondence and other transaction documents 

relating to all Gaming Vendors and Financial Sources. 

6.5.6 Records of all customer complaints and Gaming-related 

enforcement activities. 

6.5.7 All Gaming-related audits. 

6.6 Annual Reports from Enterprise. Each Enterprise must file an annual 

report with the Commission and the General Council between the 15th and 

the last day of the 12th month duration of each License period. The 

Commission may by regulation require more frequent reporting. The 

report should include, at a minimum, the following information: 

 

6.6.1 The name, address and telephone number of the Licensee; 

6.6.2 The names, addresses and titles of all of its current managers; 

6.6.3 A description of the Gaming operated and Gross Revenue; 
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6.6.4 The name and address of the Person who will be designated as 

Primary Management Official and Key Employees over the next 

License term; 

6.6.5 Written proof that the Licensee has paid all fees required by 

applicable law; 

6.6.6 A sworn statement that it has complied with all requirements of the 

IRS, including written notice of customer winning; 

6.6.7 The number of full-time equivalent people, on an annualized basis, 

employed by the Gaming Operation during the past twelve (12) 

months, together with a projection of the number of full-time 

equivalent people who are expected to be employed during the 

next License period; 

6.6.8 A sworn statement that the Licensee will continue to comply with 

all applicable Gaming-related laws; 

6.6.9 The name, address and signature of the agent who will accept 

service of process on behalf of the Enterprise; and 

6.6.10 If the Licensee is a corporation, a copy of any amendment to its 

articles of incorporation, properly certified by the incorporating 

government, unless a current copy has already been filed with the 

Commission.

6.7 Audit Requirements 

6.7.1 Each Enterprise must retain an independent auditor to conduct an 

annual audit of all Gaming Operations. 

6.7.2 All Gaming-related contracts that result in the purchase of supplies, 

services, or concessions in excess of $25,000 annually, except 

contracts for professional legal and accounting services, shall be 

specifically included within the scope of the audit. 

6.7.3 Copies of each audit must be provided to the Tribal Gaming 

Commission, the General Council, the State Gaming Agency and 

the NIGC. 
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SECTION 7 PATRON DISPUTES 

7.1 General Principles. The Tribe values its customers and intends, at all times, 

to see that questions, concerns, issues, and/or disputes raised by the Gaming 

public are addressed in a fair and orderly manner. 

7.2 Tort Claims. Patron tort claims for personal injury or property damage or 

loss shall be processed in accordance with section 10.2(d) of the Compact, the 

provisions of Title IX of the Tribal Gaming Code and such Gaming 

Commission Regulations as may be promulgated to implement those 

provisions. 

7.3 Gaming-Related Disputes.

7.3.1 Members of the Gaming public who, in the course of their 

otherwise lawful and proper use of the Tribe’s Gaming Facilities, 

have questions or concerns about the operation of any Gaming 

Activity, or who believe themselves to be aggrieved by some 

aspect of the condition or operation of any Game of Chance, shall 

direct their questions, concerns, or disputes (hereinafter 

collectively “Gaming-Related Disputes”) in the first instance to 

Gaming Facility management. 

7.3.2 Gaming-Related Disputes must be raised as soon as reasonably 

possible after the events giving rise to the dispute occur; however, 

no dispute may be raised more than seven (7) calendar days after 

said events take place. 

7.3.3 The Gaming Commission shall promulgate regulations governing 

the processing of Gaming-Related Disputes that provides for 

Gaming Facility management and/or the Commission to 

expediently and informally gather sufficient facts to make a 

determination about the dispute and provide the complainant with 

notice and an opportunity to be heard before a final decision is 

rendered. At a minimum, the regulations shall provide the 

following: 

(a) that every patron with a potential gaming-related dispute be 

given information regarding the process for resolving such dispute; 

(b) that steps be taken to preserve any surveillance video and other 

evidence related to each such dispute; 

(c) that management make a good faith effort to negotiate a 

resolution of each dispute; 
LA POSTA GAMING CODE PAGE 43 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

(d) that disputes not resolved by negotiation between the patron 

and management be referred to the Gaming Commission for 

further investigation and processing, including provision of a 

preliminary written decision to the patron and an opportunity for 

the patron to be heard before the Commission prior to the issuance 

of a final decision. 

 
LA POSTA GAMING CODE PAGE 44 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

SECTION 8 SECURITY AND ENFORCEMENT 

8.1 Jurisdiction. The Tribal Gaming Commission shall have primary 

responsibility for enforcing all Gaming-related laws, and the Commission, the 

General Council, and the Tribal Court, if any, shall have jurisdiction over all 

violations of such laws, except as otherwise provided in IGRA, the Compact, 

this Ordinance, or other provisions of the Tribal Gaming Code. 

8.2 Security. Gaming Management shall have primary responsibility for 

establishing and maintaining adequate security in and about each Gaming 

Facility and shall develop such policies and procedures as are necessary to 

ensure compliance with security-related Gaming Commission Regulations 

adopted in accordance with section 8.1 of the Tribal/State Compact, including, 

but not limited to, the following: 

8.2.1 Ensuring the physical safety of Facility patrons and Employees; 

8.2.2 The physical safeguarding of assets transported to, within, and 

from each Gaming Facility; 

8.2.3 The prevention of illegal activity from occurring within any 

Gaming Facility, including employee procedures and surveillance; 

8.2.4 The recording of occurrences that deviate from normal operating 

policies including, at a minimum, the specific procedures for 

reporting incidents set forth in section 8.1.5 of the Compact. 

8.2.5 The establishment of procedures designed to permit detection of 

any irregularities, theft, cheating, fraud, and the like. 

8.2.6 Maintenance of a list of persons barred from each Gaming Facility. 

8.3 Surveillance. To assist in maintaining the security of each Gaming Facility, 

the Tribal Gaming Commission shall establish and maintain a surveillance 

department with primary control over such surveillance devices as may be 

located in and around each Facility and the records generated thereby. 

Security and Surveillance Department personnel shall work in a cooperative 

and coordinated fashion to maximize the effectiveness of security at each 

Facility. 

8.4 Prohibited Acts In addition to civil and criminal offenses defined by 

other Tribal, state or federal law, the following acts are prohibited by any 

Person and subject any violator to the processes and penalties specified 
LA POSTA GAMING CODE PAGE 45 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

herein: 

8.4.1 Participating in any Gaming not authorized by this Ordinance. 

8.4.2 Knowingly making a False Statement in connection with any 

License Application or Contract to participate in any Gaming 

Activity. 

8.4.3 Attempting to bribe any Person participating in any Gaming 

Activity. 

8.4.4 Offering or accepting a loan, financing or other thing of value 

between a Commissioner or Employee and any Person 

participating in any Gaming Activity. 

8.4.5 Promoting or participating in any illegal Gaming Activity. 

8.4.6 Failing to keep sufficient books and records to substantiate 

receipts, disbursements and expenses incurred or paid from any 

Gaming Activity authorized pursuant to this Ordinance. 

8.4.7 Falsifying any books or records that relate to any transaction 

connected with any Gaming Activity pursuant to this Ordinance. 

8.4.8 Conducting or participating in any Gaming Activity that results in 

Cheating. 

8.4.9 Allowing participation in Gaming Activity by or with an 

intoxicated and disorderly Player. 

8.4.10 Allowing or participating in the sale of liquor when or where such 

sale is prohibited by applicable law. 

8.4.11 Accepting consideration other than money, tokens or chips for 

participation in any Gaming Activity. 

8.4.12 Using bogus or counterfeit chips or Charitable Gaming Tickets, or 

substituting or using any cards, Charitable Gaming Tickets or 

Gaming equipment that has been marked or tampered with. 

8.4.13 Employing or possessing any Cheating device or facilitating 

Cheating in any Gaming Activity. 

8.4.14 Willfully using any fraudulent scheme or technique to change the 

odds of any Game of Chance. 
LA POSTA GAMING CODE PAGE 46 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

8.4.15 Soliciting, directly or indirectly, or using inside information on the 

nature or status of any Gaming Activity for the benefit of an 

individual. 

8.4.16 Tampering with a Gaming Device, attempting to conspire to 

manipulate the outcome or the payoff of a Gaming Device, or 

otherwise unlawfully tampering with or interfering with the proper 

functioning of the machine. 

8.4.17 Altering or counterfeiting a License. 

8.4.18 Aiding, abetting, or conspiring with another Person knowingly, or 

knowingly causing another Person, to violate any Gaming-related 

law. 

8.4.19 Operating, using or making available to the public any illegal 

Gaming Device, apparatus, material or equipment. 

8.4.20 Selling, holding out for sale or transporting into or out of the 

jurisdiction of the Tribe any illegal Gaming Device, apparatus, 

material or equipment. 

8.4.21 Assisting or allowing a Person who is under the age of twenty-one 

(21) to participate in a Gaming Activity. 

8.4.22 Possessing any illegal narcotics or controlled substances in or 

about the premises of any licensed Gaming Facility. 

8.4.23 Stealing or attempting to steal funds or other items of value from 

any Gaming Facility or from the Tribal Gaming Commission. 

8.4.24 Employing any Person at a licensed Gaming Facility whom the 

Licensee knows has been convicted of a Gaming-related crime or a 

crime of fraud. 

8.4.25 Any other act defined by Gaming Commission Regulation as an 

offense. 

8.5 Civil Violation. Any Person who violates or fails to comply with any 

provision of this Ordinance, other provision of the Tribal Gaming Code, or 

Gaming Commission Regulation, or who fails or neglects to comply with 

any final order of the Tribal Gaming Commission, General Council or 

Tribal Court, may be subject to civil penalties of not more than Five 

Thousand Dollars ($5,000.00) per violation and/or forfeiture of privileges, 

and may be required to take corrective action. Alleged violators shall be 

afforded notice and an opportunity to be heard, in accordance with Gaming 
LA POSTA GAMING CODE PAGE 47 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

Commission Regulations, before the Commission makes a final 

determination as to the occurrence of a violation and the imposition of 

sanctions. Nothing in this section precludes the Gaming Commission from 

adopting Regulations authorizing interim suspension of a Gaming 

Commission license for good cause prior to a hearing and final disposition 

of a matter involving an alleged violation by a licensee. 

8.6 Purpose of Civil Penalties The civil fines authorized by this Ordinance 

are intended to be remedial and not punitive and are designed to 

compensate the Tribe for the damage done to the peace, security, economy 

and general welfare of the Tribe and the Reservation, and to compensate the 

Tribe for costs incurred in enforcing this Ordinance and other provisions of 

Tribal law. The civil fines that may be imposed under this Ordinance are 

also intended to encourage all People to comply with all Gaming-related 

laws, and not as punishment for violation of such laws. 

8.7 Cumulative Fines Civil fines imposed by the Commission may be 

cumulative and an action for the recovery of one fine shall not bar or affect 

the recovery of any other fine, or judgment, penalty, forfeiture or damages, 

nor bar the power of the Commission, the General Council or the Tribal 

Court to punish for contempt, nor bar any criminal prosecution against any 

officer, director, agent, or employee of any Licensee, or any other Person. 

8.8 Seizure and Forfeiture of Property. Property utilized in the commission of 

any violation of this Ordinance or other Gaming-related law may be subject 

to seizure and forfeiture by order of the Commission pursuant to such 

procedures and rules as the Commission may promulgate. 

8.9 Criminal Violation Any Indian who violates or fails to comply with any 

provision of this Ordinance, other provisions of the Tribal Gaming Code, or 

Gaming Commission Regulations, or who fails or neglects to comply with 

any order or decision of the Tribal Gaming Commission, General Council or 

Tribal Court may be subject to criminal prosecution under such Tribal 

criminal laws as may be promulgated to effectuate this provision. Any 

Person suspected of committing a violation of State penal law may be turned 

over to County law enforcement personnel for prosecution under the laws of 

the State of California.

8.10 Reporting of Offenders The Tribal Gaming Commission shall report the 

names of all Persons found to have violated any Gaming-related law, 

along with the nature of the violation, to the General Council, State 

Gaming Agency and NIGC. 
LA POSTA GAMING CODE PAGE 48 of 48 

TITLE I ~ TRIBAL GAMING ORDINANCE 

ADOPTED 9/27/06 (as amended 1/17/07) 

SECTION 9 SERVICE OF PROCESS 

9.1 The La Posta Band’s designated agent for service of process is as follows: 

Chairperson 

La Posta Band of Mission Indians 

8 Crestwood Road 

La Posta Indian Reservation 

Post Office Box 1120 

Boulevard, California 91905 

Phone: (619) 478-2113 

Fax: (619) 478-2125