January 25,2013 

By First Class Mail 

Jason Nichols 

Viejas Band of Kumeyaay Indians 

5000 Willows Road 

Alpine, CA 91901 

Re: Viejas Band of Kumeyaay Indians amended gaming ordinance 

Dear Mr. Nichols: 

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

to review and approve the Viejas Band of Kumeyaay Indians amended tribal gaming 

ordinance. The amendment was approved by the Viejas Tribal Council on January 16, 

2013. The amended ordinance is a complete revision to the ordinance that was approved 

in 1993 and includes amendments that were approved in 1998 and 2008. 

Thank you for bringing this amendment to our attention and for providing us with 

a copy of the updated ordinance. The ordinance is approved, as it is consistent with the 

requirements of the Indian Gaming Regulatory Act and the NIGC's regulations. If you 

have any questions, please feel free to contact Senior Attorney John R. Hay at 202-632- 

7003. 

Sincerely, 

Tracie L. Stevens 

Chairwoman 

NATIONAL HFAWUAWERS 1441 L St. NW, Suite 91W. Washington. DC 2W05 Tel: 202.632.7003 Fax: 202.632.7066 www.NlGc.GOV 

REGKINAL O~CES Ponland, OR: Sacramento. CA; Phoenix. Al; St. Paul. MN:Tulsa. OK 
P. 0. Box908 

Alpine. CA 91903 

TRIBAL GOVERNMENT # 1 Viejas Grade Road 

Alpine, CA 91901 

: * Anthony R. Pico,'Chairman 

Robert Cita Welch, Vice Chairman . Anita R. Uqualla, Tribal Secretary I Samuel Q. Brown, Tribal Twasurer 

Raymond "Bear" Cum, Councilman 

Adrian M. Brown, Councilman 

Ernest "Chuka" Pingleton, Councilman 

I 

Phone: 619.445.3810 

Fax: 619.445.5337 

viejas.com 

TRIBAL COUNCIL RESOLUTION 

APPROVIWG AND ADOPTING TRIBAL GAMING ORDINANCE 

Resolution No: 01 I b 13 

WHEREAS, the Viejas Band of ~umeyaa~ Indians, (appearing in the U.S. F'edk Register at 

Vol. 77, No. 155, p. 47869 as the Capffan Grande Band of Diegueno Mfssion Indians of 

California: Vfejas (Baron Long) Group of Capitan Grande Band of Mission Zndfans of 

the Viejas ReservaNon, Califrnia) (the "Viejas Band") is a self-governing federally 

recognized Indian Tribe exercising sovereign authority over the lands of the Viejas Indian 

Reseyvation. 

, 

WHEREAS, the ~iejas'~and is governed by a duly elected Tribal Council (the "Tribal 

Council"). 

WHEREAS, on February 5,2008, the Tribal Council previously adopted a Tribal Gaming 

Odice pursuant to Resolution No. 020508A to govern gaming activities taking place 

on the Viejas Indian Reservation (the "Tribal Gaming Ordinance!'). 

WHE&AS, the Tribal Council desires to adopt a new ordinance that shall supersede and 

replace the Tribal Gaming .Ordinance. 

I WHEREAS, the Tribal Council has reviewed the ordiance attached as ~xhibit A and desires that 

4 it shall take effect upon approval by the Chairperson of the National Indian Gaming 

Commission. 

NOW, THEREFORE BE IT RESOLVED THAT THE TRIBAL COUNCIL HE&BY 

CERTIFIES AND DULY APPROVES AND AUTHORIzF:S, AFTER MOTION AND 

, UPON THE V~TE OF THE MAJORITY OF COUNCIL MEMBERS, THE 

FOLLOWING: 

Tribal Council adopts and approves the ordinance attached as Exhibit A. 
Tribal Council Resolution 

Approving and Adopting Tribal Gaming Ordinance 

NO.: et 10 13 

Page 2 of 2 

Tribal Council hereby directs the Commissioner of the Viejas Tribal Gaming' 

Commission to submit to the chairperson of the National Indian aaming Commission for review 

and approval the ordinance attached as Exhibit A, and to take all such action that is necessary to 

make the ordinance effective. 

I 

The Chairperson of the Viejas Band, or in the Chairperson's absence, the Vice 

Chairperson, is hereby authorized to take any required action and to execute on behalf of the 

Viejas Band, any and all documents &quid to fUrther the purposes of this resolution. 

Upon approval of the ordinande attached as Exhibit A by the ~iiairpe~sonf the National 

Indian G+g Commission, this resolution shall supersede and replace all prior resolutions 

passed by Tribal Council related to the Tribal Gaming Ordinance. 

CERTIFICATION 

I 

~esolution passed this & dai of 'J dx\ ,2013; at a duly noticed meeting of the Viejas 

Anthony R. Pica, Chairman 
VIEJAS BAND OF KUMEYAAY INDIANS 

TRIBAL CODE 

TRIBAL GAMING ORDINANCE 
Table of Contents 

Section 1 . Defmitions ................................................................................................................. 1 

1 . 01 Agreed Upon Procedures .............................................................................................. 1 

1.02 Chairperson .................................................................................................................. 1 

1.03 Calendar Day ........................................................................................................... 1 

1.04 Class I Gaming ........................................................................................................... 1 

1.05 Class I1 Gaming ........................................................................................................ 1 

1.06 Class I11 Gaming ...................................................................................................... 2 

1.07 Collateral Agreement ................................................................................................... 2 . . 1.08 Comm~ss~oner ................................................................................................................. 2 

1.09 Compact .......................................................................................................................... 2 

1.10 Electronic, Computer or Other Technologic Aid ........................................................... 2 

1.1 1 Electronic or Electromechanical Facsimile .................................................................... 3 ... 1.12 Gaming Actmaes ..................................................................................................... 3 . . 1.13 Gaming Comrmss~on .................................................................................................... 3 

1.14 Gaming Employee ........................................................................................................ 3 

1.15 Gaming Facility .............................................................................................................. 3 

1.16 Gaming License ........................................................................................................... 3 

1.17 Gaming Operation .......................................................................................................... 3 

1.18 Gaming Resources .................................................................................................... 3 

1.19 Gaming Resource Supplier ......................................................................................... 3 

1.20 House Banking . Game ............................................................................................... 3 

1.21 IGRA .............................................................................................................................. 3 

1.22 Indian Lands ............................................................................................................ 3 

1.23 Indian Tribe .................................................................................................................... 4 

1.24 Key Employee ................................................................................................................ 4 

1.25 Licensee .......................................................................................................................... 5 

1.26 Management Contract .............................................................................................. 5 

Net Revenue ................................................................................................................. 5 

NIGC Chairperson .................................................................................................... 5 

Non-Gaming Employee ................................................................................................ 5 

Ordiice ................................................................................................................ 5 

Person ............................................................................................................................. 5 

Primary Management Official ...................................................................................... 5 

Regulations ................................................................................................................ 6 

Review Board ................................................................................................................. 6 

Secretary ......................................................................................................................... 6 

Tribal Council .......................................................................................................... 6 

Tribal Member ................................................................................................................ 6 

Viejas Band .................................................................................................................... 6 
Section 2 -Gaming Authorization; Ownenhip ......................................................................... 6 

2.01 Purpose ....................................................................................................................... 6 

2.02 Gaming Authorized ................................................................................................... 6 

2.03 Approval of Class I1 and Class 111 Gaming .................................................................... 6 

2.04 Approval of Gaming Equipment .................................................................................. 7 

2.05 Posting of Game Rules ................................................................................................. 7 

2.07 Unauthorized Gaming .................................................................................................... 7 

2.08 Ownership; Revenues to Benefit the Viejas Band ......................................................... 8 

Section 3 . Gaming Commission ................................................................................................. 8 

3.01 Establishment and Authority of the Gaming Commission ............................................. 8 . . 3.02 Appointment of Commissioner ...................................................................................... 8 

3.03 Commissioner's Contract ............................................................................................ 9 . . . . 3.04 Temaon of Comssioner ........................................................................................ 9 . . 3.05 Duties of Comrmssioner ........................................................................................... 9 

3.06 Monthly Report ............................................................................................................ 10 

3.07 Prior Notice. of Actions ................................................................................................. 10 

3.08 Right of Inspection ....................................................................................................... 10 

3.09 Powers of Delegation ................................................................................................... 11 

3.10 Confidentiality of Information ..................................................................................... 12 

3.1 1 Independence of Gaming Commission ........................................................................ 12 

Section 4 -Review Board ........................................................................................................... 12 

4.01 Establishment of the Review Board ............................................................................. 12 

4.02 Purpose and Authority of Review Board ..................................................................... 12 

4.03 Review Board Qualifications for Membership ............................................................ 12 

4.04 Compensation for Review Board Members ................................................................. 13 

4.05 Selection of Chairperson .............................................................................................. 13 

4.06 Meetings and Hearings ................................................................................................. 13 . . 4.07 Quorum; Majorrty Vote ................................................................................................ 13 . . 4.08 Pehaon for Review Board Action .............................................................................. 13 

4.09 Due Process; Appealing Commission Actions ............................................................. 13 . . 4.10 Review Board Fmdmgs ................................................................................................ 14 

4.1 1 Notification of Review Board Decision ....................................................................... 14 

Section 5 -Licensing ................................................................................................................. 14 

5.01 Gaming License Requirement ...................................................................................... 14 

5.02 Nature of a Gamimg License ........................................................................................ 14 

5.03 Gaming License Regulations ........................................................................................ 14 

5.04 Gaming License Fees ................................................................................................ 15 .... . . 5.05 Eligbility Detemhon ........................................................................................... 15 

5.06 Issuance of a Gaming License ...................................................................................... 15 

5.07 Employee Licensing ..................................................................................................... 15 

5.08 Background Investigation of Gaming License Applicants ........................................... 18 

5.09 Suitability Determination; Gaming License Denial ..................................................... 19 

5.1 0 Failure of Applicant to Disclose Material Information ................................................ 21 
5.1 1 Temporary Gaming Licenses ....................................................................................... 21 

5.12 Parameters of Licenses ............................................................................................... 21 

5.13 Procedures for Fmard'ig Applications and Reports ................................................. 22 

5.14 Report to the NIGC ...................................................................................................... 22 

5.15 Granting a Gaming License to Key Employee or Primary Management Official ....... 23 

5.16 Gaming License Suspension or Revocation ................................................................. 23 

5.17 Special Rules Regarding Gaming Commission Employees ......................................... 23 

Section 6 -Management Contracts ........................................................................................... 24 

6.01 Licensing of Management Contractor Required .......................................................... 24 

6.02 Approval of Management Contracts ............................................................................ 25 

6.03 Percentage of Net Revenue Fees .................................................................................. 25 

6.04 Disapproval of Management Contracts ........................................................................ 26 

6.05 Modifying or Voiding a Management Contract ........................................................... 26 

6.06 No Conveyance of an Interest in Land ......................................................................... 26 

6.07 Fee for Investigation Cost ............................................................................................ 26 

6.08 Dispute Resolution ....................................................................................................... 27 

Section 7 . Auditing. Fiscal Oversight. And Internal Controls ........................................ 28 

7.01 Audit ............................................................................................................................. 28 

7.02 .... Minimum ~ ~- Procedures for Control of Internal Fiscal Affairs ........................................ 28 

7.03 Gaming Commission Oversight of Internal Fiscal Affairs .......................................... 29 

7.04 Gaming . Commission's Right . to Conduct Audits ......................................................... 29 

7.05 Minimum Internal Control Standards; NIGC Oversight ............................................. 29 

Section 8 -Patron Disputes ....................................................................................................... 30 

8.01 Unresolved Patron Dispute ........................................................................................... 30 

8.02 Notice of Gaming Commission Decision ..................................................................... 30 

Section 9 -Unlawful Acts; Enforcement .................................................................................. 31 

9.01 Unlawful Acts ......................................................................................................... 31 . . 9.02 Prohibition against Electro111c Ads ........................................................................... 33 

9.03 Prohibition Against Embezzlement ........................................................................... 33 

9.04 Violations and Sanctions .............................................................................................. 33 

9.05 Limitations Period ........................................................................................................ 33 

9.06 Due Process Regarding Enforcement Actions ............................................................. 33 

Section 10 . Exclusion Or Ejection Of Individuals .................................................................. 34 

10.01 List of Undesirables ................................................................................................... 34 

10.02 Prohibition Against Listed Individuals ...................................................................... 34 

10.03 Prohibition against Facilitating Underage Gaming ...................................................... 34 

Section 11 -Facility License; Public Health and Safety ....................................................... 34 

11.01 Protection of the Environment and Public Health and Safety ...................................... 34 . . 11.02 Licensing of Gaming Faclllty .................................................................................... 34 

iii 
Section 12 . NIGC And Tribal-State Compacts ...................................................................... 34 

12.01 NIGC; Regulations ....................................................................................................... 34 

12.02 NIGC; Assessment ...................................................................................................... 35 

12.03 Compact ........................................................................................................................ 35 

Seetion 13 . Mi8eeUanwus ....................................................................................................... 35 

13.01 Security ........................................................................................................................ 35 

13.02 Surveillance .................................................................................................................. 35 

13.03 Maintenance of Ordinance and Regulations ................................................................ 35 

13.04 Amendments ............................................................................................................... 35 . . 13.05 Severability ............................................................................................................... 35 

13.06 Captions ................................................................................................................... 35 

13.07 Sovereign Immunity ..................................................................................................... 35 

13.08 Consent to Jurisdiction .............................................................................................. 35 

13.09 Agent for Service .......................................................................................................... 36 

13.10 Law Enforcement ......................................................................................................... 36 

13.1 1 Effective Date and Repeal ............................................................................................ 36 
Section 1 - Defmitions 

In construing the terms of this Ordinance, except when otherwise plainly declared or clearly 

apparent from the context, words in the present tense shall include the future tense, words in the 

singular shall include the plural, and vice versa. Unless a different meaning is indicated, the 

terms used in this Ordinance shall have the same meaning as defined in IGRA. 

1.01 Agreed Upon Procedures means the procedures that an independent certified public 

accountant shall employ in order to verify that the Gaming Operation is in compliance with the 

internal control standards in the manner provided for in 25 CFR 542.3(f). 

1.02 Chairperson means the Review Board member selected annually fiom the Review 

Board's membership who shall chair all necessary hearings and meetings. 

1.03 Calendar Day means any day of the year, including weekends and holidays. 

1.04 Class I Gaming means: 

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

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

with tribal ceremonies or celebrations. 

1.05 Class II Gaming means: 

(A) Bingo or lotto (whether or not Electronic, Computer, Or Other Technologic Aids 

are used) when players: 

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

(II) Cover numbers or designations when objects, similarly numbered or 

designated, are drawn or electronically determined; and 

(111) Win the game by being the fvst Person to cover a designated pattern on 

such cards. 

(B) Pull-tabs, punch boards, tip jars, instant bingo, and other games similar to bingo, 

if played in the same location as bingo or lotto. 

(C) Card games that: 

(I) California state law explicitly authorizes; or 

(10 Are not explicitly prohibited by California state law and are played legally 

anywhere in the state; and 
(111) Players play in conformity with California state laws and regulations 

concerning hours, periods of operation and limitations on wagers and pot 

sizes. 

@) Any other games classified as Class II by the Federal Government. 

(E) Class I1 Gaming does not include: 

(I) Any House Banking Game, including but not liited to: 

(a) Card games such as baccarat, chemin de fer, blackjack (21), and 

pai gow (if played allowing only one Person or entity the opportunity to 

bank); and 

(b) Casino games such as roulette, craps, and keno. 

(11) Any gaming device as defmed in 15 U.S.C. $1 171 (a)(l) and Electronic or 

Electromechanical Facsimiles of any game of chance. 

1.06 Class III Gaming means all forms of gaming that are not Class I Gaming or Class I1 

Gaming. 

1.07 Collateral Agreement means any contract, whether or not in writing, that is related 

either directly or indirectly, to a Management Contract or to any rights, duties, or obligations 

created between a tribe (or any of its members, entities, or organizations) and a management 

contractor or subcontractor (or any Person or entity related to a management contractor or 

subcontractor). 

1.08 Commissioner means the chief adminishator of the Gaming Commission appointed by 

the Tribal Council. 

1.09 Compact means any agreement reached between the Viejas Band and the State of 

California pursuant to 25 U.S.C. $2710 (d) and approved by the Secretary of the Interior. Any 

such agreement shall affect the scope and regulation of Class I11 Gaming Activities only. 

1.10 Electronic, Computer or Other Technologic Aid means a device such as a computer, 

tablet, telephone, cable, television, satellite or bingo blower and that when used: 

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

(£5) is readily distinguishable £tom the playing of a game of chance on an Electronic 

or Electromechanical Facsimile; and 

(C) is operated according to applicable federal communications law. 
1.11 Electronic or Electromechanical Facsimile means any gambling device as defined in 

15 U.S.C. $1171 (a) (2) or (3). 

1.12 Gaming Activities means operating Class I1 Gaming and Class I11 Gaming authorized 

under this Ordinance. 

1.13 Gaming Commission shall have the meaning set forth in Section 3of this Ordinance. 

1.14 Gaming Employee means any Person employed by the Gaming Operation engaged in 

the conduct of Class I1 or Class 111 Gaming Activity as well as any Primary Management Official 

or Key Employee. 

1.15 Gaming Facility means any premises where Gaming Activities are operated or 

conducted. 

1.16 Gaming License means a Tribal gaming license issued by the Gaming Commission. 

1.17 Gaming Operation means the business enterprise owned by the Viejas Band that 

conducts Gaming Activities. 

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

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

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

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

security equipment and services, and gaming consulting services. Gaming Resources does not 

include professional accounting and legal services. 

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

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

Operation or Gaming Facility, provided that the Gaming Commission may exclude a purveyor of 

equipment or furniture that is not specifically designed for, and is distributed generally for use 

other than in connection with, Gaming Activities, if the purveyor is not otherwise a Gaming 

Resource Supplier, the compensation received by the purveyor is not grossly disproportionate to 

the value of the goods or services provided, and the purveyor is not influence over the Gaming 

Operation. 

1.20 House Banking Game means any game of chance that is played with the house as a 

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

winners, and the house can win. 

1.21 IGRA means the "Indian Gaming Regulatory Act", Public Law 100 $497, 102 Stat. 

2467, codified at 25 U.S.C. §$2701 et seq. (Oct. 17,1988). 

1.22 Indian Lands means: 

(A) Land within the limits of an Indian reservation; or 
(B) Land over which an Indian Tribe exercises governmental power and that is either- 

(I) Held in trust by the United States for the benefit of any Indian Tribe or 

individual; or 

(11) Held by an Indian Tribe or individual subject to restriction by the United 

States against alienation. 

1.23 Indian Tribe means any Indian tribe, band, nation, or other organized group or 

community of Indians that the Secretary recognizes as: 

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

Indians because of their status as Indians; and 

(B) Having powers of self-government. 

1.24 Key Employee means: 

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

(I) Bingo caller, supervisor, cashier; 

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

(111) Chief of security; and security personnel; 

(N) Custodian of gaming supplies or cash; 

(V) Floor manager; 

(VI) Pit boss; 

(VII) Dealer; 

(VIII) Cashier; 

(IX) Croupier; 

(X) Approver of credit; 

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

(XII) Custodian of gambling devices including Persons with access to cash and 

accounting records within such devices; 
(B) If not otherwise included, any other Person whose total cash compensation is in 

excess of $50,000 per year; or 

(C) If not otherwise included, the four most highly compensated Persons in the 

Gaming Operation. 

1.25 Licensee means a Person that has been issued a Gaming License. 

1.26 Management Contract means any contract, subcontract, or Collateral Agreement 

between an Indian Tribe and a contractor or between a contractor and a subcontractor if such 

contract or agreement provides for the management of all or part of a Gaming Operation. 

1.27 MICS means the minimum internal control standards promulgated by the Gaming 

Commission. 

1.28 Net Revenue means gross gaming revenues of a Gaming Operation less: 

(A) Amounts paid out as, or paid for, prizes; and 

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

1.29 NIGC means the National Indian Gaming Commission. 

130 NIGC Chairperson means the chairperson of the NIGC. 

1.31 Non-Gaming Employee means any employee of the Gaming Operation who is not a 

Gaming Employee, Primary Management Official or Key Employee. Non-Gaming Employees 

shall also be licensed by the Gaming Commission in accordance with any liitations, restrictions 

or regulatory requirements deemed appropriate by the Gaming Commission. 

1.32 Ordinance means this Gaming Ordinance authorizing and setting the terms for Class I1 

and Class 111 Gaming Operations on the Viejas Band's Indian Lands. 

133 Person includes any natural person, corporation, limited liability company, partnership, 

association, Gaming Resource Supplier, or other form of business association. 

134 Primary Management Official means: 

(A) The Person having management responsibility for a Management Contract; 

(B) Any Person who has authority: 

(I) To hire and fire employees; or 

To set up working policy for any portion of the Gaming Operation; or 
(C) The chief financial officer or other Person who has financial management 

responsibility. 

1.35 Regulations means the regulations of the Gaming Commission promulgated under or in 

furtherance of this Ordinance. 

1.36 Review Board shall have the meaning set forth in Section 4 of this Ordinance. 

1.37 Secretary means the Secretary of the Interior. 

1.38 Tribal Council means the duly elected governing body of the Viejas Band. 

1.39 Tribal Member means any individualwho has been determined by the Viejas 

Enrollment Committee to be eligible for enrollment in the Viejas Band, or by having previously 

been qualified by the 1999 enrollment listing as set forth in the official records of the Viejas 

Enrollment Committee. 

1.40 Viejas Band means the Viejas Band of Kumeyaay Indians. 

Section 2 - Gamine Authorization: Ownership 

2.01 Purpose. The Viejas Band hereby enacts this Ordinance to authorize and govern Gaming 

Activities on the Viejas Band's Indian Lands. 

2.02 Gaming Authorized. Class 11 Gaming as defined in the Indian Gaming Regulatory Act, 

P. L. 100-447,25 U.S.C. $2703 (7) (a) (''IGRA') and by the regulations promulgated by the 

National Indian Gaming Commission at 25 C.F.R. $502.3 ("NIGC") (as published in the Federal 

Register at 57 FR 12382-12393, April 9, 1993) is hereby authorized. Additionally, all forms of 

Class 111 Gaming permitted in any Compact are authorized. The Gaming Commission shall 

promulgate Regulations for rules governing all authorized games, including Regulations 

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

provision in the Viejas Band's Compact with the State of California providing for testing, notice 

to, and comment hm the State, shall be complied with before any game is authorized by the 

Gaming Commission. When there is reasonable cause to question the classification of a game 

(i.e. Class I1 or Class III) the Gaming Commission shall authorize such games to be conducted as 

Class 11, unless or until the NIGC rules otherwise or until a court of competent jurisdiction has 

ruled otherwise. 

2.03 Approval of Class I1 and Class I11 Gaming. No Person licensed by the Gaming 

Commission shall engage, conduct or condone any Class I1 Gaming or Class 111 Gaming unless 

approved by the Gaming Commission and ~egulitions for rules governing such have been duly 

promulgated by the Gaming Commission and approved by the Review Board. Each request for 

approvd of any Class I1 Gamii or Class I11 ~&ii~ shall be filed with the Gaming 

Commission. The Commission will consider the request and will either approve or deny the 

request based on consistency with this Ordinance and any other applicable laws or Regulations. 
2.04 Approval of Gaming Equipment. The Gaming Commission shall review and approve 

all gaming equipment and other devices used in the Gaming Operation as to quality, design, 

integrity, fairness, honesty, and suitability. 

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

gaming equipment or other device used in the Gaming Operation to be placed in 

the custody of the Commissioner and retained as a control for comparison 

purposes. 

) The Gaming Commission may contract with any outside independent gaming test 

laboratory or other professional expertise it deems necessary or appropriate to 

ensure the integrity of gaming devices, equipment, supplies, etc. 

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

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

integrity, fairness, honesty or suitability of the equipment or device shall be 

immediately reported to the Gaming Commission. 

2.05 Posting of Game Rules. The rules of each authorized game offered at any Gaming 

Facility shall be posted in a conspicuous location and shall be clearly legible. 

2.06 Other Gaming Related Activity. The Gaming Commission shall have full jurisdiction 

for regulatory compliance and enforcement of any other gaming related activity that the Viejas 

Band may elect to conduct. The Gaming Commission shall promulgate such Regulations as it 

deems necessary to ensure the integrity - of such activity and to ensure compliance with all - 

applicable ~ed~ral laws and regulations. Gaming onk kiss ion approval with regard to 

compliance with applicable gaming laws and regulations shall be required for any contracts 

related to any such gaming relatedactivities. or the purposes of this section, such gaming 

related activities shall include but not be limited to: 

(A) manufacture, development, assembly, sales, or distribution of any gaming 

machines, devices, equipment, software, or components thereof; 

(B) joint ventures with other tribes, entities, persons, etc., related to Gaming Activity; 

(C) management or service contracts with any other Indian Tribe, entities, Persons, 

etc., related to Gaming Activities; and 

@) any financial loans, grants or other relationship with any Indian Tribe, entity, 

Person etc., related to Gaming Activity. 

2.07 Unauthorized Gaming. Any Person who commits any act of unauthorized gaming on 

the Viejas Band's Indian Lands shall be in violation of this Ordinance. If the Gaming 

Commission should have reasonable cause to beLieve any such violation occurred, it may impose 

licensing sanctions, fmes, prosecution and exclusion. 
2.08 Ownership; Revenues to Benefit the Viejas Band. The Viejas Band shall have the sole 

proprietary interest in, and sole responsibility for, the conduct of the Gaming Activity. Such 

provision does not, however, lit the Viejas Band's ability to enter into a Management Contract 

wherein net profits are divided between the Viejas Band and other parties to the contract. The 

Viejas Band's share of Net Revenues will go entirely to the Viejas Band and will be used solely 

for the following purposes: 

(A) to fund Tribal government operations or programs; 

(B) to provide for the general welfare of the Viejas Band and its members; 

(C) to promote Tribal economic development; 

@) to donate to charitable organizations; 

(E) to help fund operations of local government agencies; or 

(F) Net Revenues from the Gaming Operation may be used to make per capita 

payments to members of the Viejas Band pursuant to a plan approved by the 

Secretary. 

Section 3 - Gaming Commission 

3.01 Establishment and Authority of the Gaming Commission. The Gaming Commission 

is hereby established. The Gaming Commission shall exercise all mwers necessary to effectuate 

the of this Ordinance. The Gaming Commission may exercise any power and 

authority necessary to perform the duties assigned to it by this Ordiice, and is not limited by 

the enumeration of in this section. The Gaming commission shall promulgate rules id 

Regulations for the operation of any Gaming Facility and shall hear and resolve all disputes 

regarding any provision of the Ordinance. In all decisions, the Gaming Commission shall act to 

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

of gaming and ancillary activities of the Gaming Operation. The Gaming Commission shall 

have the power and authority to: deny any application; limit, condition, suspend, or restrict any 

Gaming License; make a finding of suitability or approval of a Gaming License; or impose a fine 

upon any Person or entity licensed, for any cause deemed reasonable by the Gaming 

Commission. 

3.02 Appointment of Commissioner. The Tribal Council shall appoint a Commissioner who 

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

well as overseeing the Gaming Facility and Gaming Operation for compliance with all applicable 

Federal, State and Tribal gaming laws and Regulations. The Commissioner shall report directly 

and only to the Tribal Council. The Commissioner shall have no personal interest in the Gaming 

Activity. No one convicted of a felony of any kind or misdemeanor related to gambling or moral 

turpitude can serve as Commissioner. To ensure that the Commissioner and the Gaming 

Commission are shielded from tribal politics and insulated fiom any actual or perceived conflict 

of interest related to the regulation of Gaming Activity by the Gaming Commission (including, 
without limitation, licensing, investigation, surveillance, audit or enforcement), Viejas Tribal 

Members are not eligible to hold the position of Commissioner. 

3.03 Commissioner's Contract. The Commissioner shall be hired on a contract. The terms 

of the contract will be negotiated with and approved by the Tribal Council. The Commissioner's 

compensation shall be part of the negotiations. Compensation for the Commissioner shall not be 

based, in whole or in part, on the profitability of the Gaming Operation. 

3.04 Termination of Commissioner. The Commissioner shall be terminated immediately 

and without the necessity of a vote of the Tribal Council upon the Commissioner's conviction in 

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

to gamblmg or moral turpitude, or upon conviction of any charge that the Tribal Council finds 

relates to the Commissioner's honesty or ability to fulfill hidher duties. If the Commissioner is 

convicted of violating any part of this Ordinance, hetshe shall be immediately terminated. 

Additionally, the Commissioner may be terminated for inadequate performance of the duties 

required, or may additionally be terminated for associations or conduct that would tend to bring 

the Commissioner's integrity or Gaming Operation into disrepute. 

3.05 Duties of Commissioner. The Commissioner shall perform all duties, exercise all 

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

Ordinance relating to the regulation of all Gaming Activity. In all decisions, the Commissioner 

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

administration of all Gaming Activity. The Commissioner's duties shall include but not be 

limited to the following: 

(A) Negotiating contracts for payments by the Viejas Band for the provision of 

security. surveillance, outside inde~endent auditing services. Such contracts must 

be apPi&ed by the T&bal council-and shall not constitute a waiver of jurisdiction 

by the Viejas Band. 

(B) Correspond with the NIGC and do whatever is necessary to ensure compliance 

with the rules and regulations of that agency. Specifically, the Commissioner, 

with approval of the Tribal Council, shall arrange for an annual outside audit of 

authorized gaming and will provide a copy to the NIGC. 

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

which adequately protects the environment and the public's health and safety; 

@) The Commissioner will ensure that background investigations are conducted on 

all Primary Management Officials, Key Employees, Gaming Employees and NonGaming Employees of any Gaming Facility and that oversight of such officials 

and their management is conducted on an ongoing basis. The Commissioner will 

make suitabilitv determinations on the erantine of Tribal licenses for all of the 

Gaming operakon employees. The CO-mmisskner shall immediately notify the 

NIGC of the issuance of such licenses for Primary Management Officials and Key 

Employees. The Commissioner will review all darning License applications and 
background investigations to ensure that no Person shall be eligible for 

employment if that Person's prior activities, criminal record (if any), or 

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

effective regulation of gaming or create or enhance the dangers of unsuitable, 

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

jeopardize the integrity or reputation of the Viejas Band or its Gaming Operation. 

The Commissioner shall notify the NIGC of the results of such background 

checks before the issuance of such licenses to Primary Management Officials and 

Key Employees. 

(E) Hig, pursuant to the approval of the Tribal Council, such professional, clerical, 

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

provisions of this Ordinance. 

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

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

Ordinance. 

(G) Making decisions and execute any sanctions on any Person subject to the 

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

3.06 Monthly Report. The Commissioner shall make at least monthly reports to the Tribal 

Council within thirty (30) Calendar Days after the close of the month for which the information .. . 

is being required. The report shall at a minimum include a full and complete statement of 

auditing activities, expenses and all other financial transactions of the Gaming Commission and 

summary of all licensing and enforcement actions. 

3.07 Prior Notice of Actions. In promulgating, amending, and repealing Regulations, the 

Gaming Commission shall give -. prior notice of the proposed action to all Licensees and other 

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

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

oro~osed 

. . actions and advise them as to the manner in which comments on said vro~osed action A 

shall be received by the Gaming Commission Upon receipt of input and comments from 

affected varties, the Commissioner shall schedule a meeting with the Review Board and present 

proposed ~egulations for approval and adoption. Any disagreements between parties kected by 

the proposed Regulations and the Gaming Commission will be considered by the Review Board 

prior to adoption. In emergencies, the Gaming Commission may summarily adopt, amend or 

repeal any regulation if at the time the Commissioner determines such action is necessary for the 

immediate preservation of the public peace, health, safety, morals, and good order or general 

welfare, together with a statement of facts constituting the emergency, provided the 

Commissioner and Review Board shall schedule such emergency action for a regular hearing as 

soon as possible not to exceed thirty (30) Calendar Days after any such emergency action. 

3.08 Right of Inspection. The Commissioner and hisher agents, inspectors and employees 

have the authority: 
(A) to inspect and examine all premises wherein gaming is conducted or gambling 

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

) to inspect all equipment and supplies in, upon or about a Gaming Facility, or 

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

Gaming Facility; 

(C) to summarily to seize and remove from a Gaming Facility (or wherever located) 

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

evidence, or forfeiture; 

@) to demand immediate access to and inspect, examine and audit all papers, books, 

and records of applicants and Licensees, and require verification of income and all other 

matters affecting the enforcement of the policy of or any of the provisions of this 

Ordinance; 

Q to seize and impound any patron's winnings which the Gaming Commission has 

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

civil forfeiture hearing on such seizure, and 

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

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

any place within the Viejas Band's Indian Lands, to administer oaths and to require 

testimony under oath. Any process or notice may be sewed in the manner provided for 

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

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

and proper. Any Licensee failing to comply with any subpoena shall be subject to 

immediate revocation of their Gaming License. 

3.09 Powers of Delegation. The Gaming Commission may organize itself into a functional 

division as it may deem necessary and fiom time to time alter such plan of organization as it may 

deem expedient. The Gaming Commission shall establish its own budget for operations, and 

acquire such furnishings, equipment, supplies, stationery, books, motor vehicles, and other things 

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

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

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

contract for the services of such professional, technical and operational personnel and 

consultants as the execution of its duties and the operation of the Gaming Commission may 

require. At the Tribal Council's discretion, said budget may be reviewed and modified by the 

Tribal Council every six (6) months. Upon the end of the budget year, any surplus which might 

exist shall revert to the Tribal Government. The Commissioner shall keep and maintain a file of 

all applications for licenses under this section, together with a record of all actions taken with 

respect to such applications. The Commissioner shall keep and maintain such other files and 

records as helshe may deem desirable. 
3.10 Confdentialitv of Information. Each member of the Review Board and each em~lovee 

of the Gaming omm mi is ion shall be required to sign a confidentiality agreement, and will be ' 

responsible for ensuring the strictest standards of confidentiality with all information. All 

information provided ti the Review Board and Gaming ~omm&sion and all information 

obtained by the Review Board and Gaming Commission in the performance of their duties shall 

be kept confidential and shall not be disclosed to any Person or organization without the written 

consent of the Tribal Council. The Review Board and the Commissioner may refuse to reveal, in 

any court proceeding, the identity of any informant, or the information obtained from the 

informant, or both. 

3.11 Independence of Gaming Commission. The Commissioner, Commission Employees, 

members of the Tribal Council and their immediate families shall receive no personal 

compensation, gift, reimbursement or payment of any kind from any Person doing or wishing to 

do business with the Viejas Band relating to gaming nor with any Person wishing to obtain an 

unfair advantage in any authorized wager on gaming. Any property received in violation of this 

provision, including cash payments, shall be immediately forfeited to the Viejas Band and the 

offending Persons shall be prosecuted to the fullest extent possible. Neither the Commissioner 

nor any Gaming Commission employees and their immediate families may gamble in the 

Gaming Facility nor shall the Commissioner or any Gaming Commission employees have any 

personal financial interest in any Gaming Facility, Gaming Operation, or Gaming Resource 

Supplier. 

Section 4 -Review Board 

4.01 Establishment of the Review Board. The Review Board is hereby established. The 

Review Board shall consist of four (4) members appointed by a majority vote of the Tribal 

Council. A Review Board member shall serve for three (3) years and may be removed from 

office prior to the end of their term by a unanimous vote of Tribal Council. In order to establish 

annually staggered terms, the first Review Board members shall be appointed by the Tribal 

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

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

Thereafter, all successive terms of appointment shall run for three (3) years. Vacancies shall be 

filled within thirty (30) Calendar Days by the Tribal Council. 

4.02 Purpose and Authority of Review Board. The Review Board shall be responsible for 

the review and approval of any Tribal gaming Regulations promulgated by the Gaming 

Commission under the authority of this Ordinance. In addition, the Review Board shall serve as 

a final appeal board to review any disputes between patrons and the Gaming Operation as well as 

review andlor hear any appeals for any contested licensing actions or fmes imposed by the 

Gaming Commission. 

4.03 Review Board Qualifications for Membership. Each Review Board member shall 

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

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

an equivalent combination thereof. Each Review Board member shall be subject to the same 

background and licensing standards as currently required for top-level casino management 
positions according to this Ordinance and NIGC regulations and shall be required to sign a 

confidentiality agreement as required by Section 3.10. No Person shall be eligible to serve as a 

Review Board member who has been convicted or is currently being prosecuted for any crime of 

moral turpitude or any felony. Review Board members may not be concurrently employed in 

any Gaming Operation, may not concurrently hold any elected Tribal office, and may not be 

related to any Person employed by the Tribal Gaming Operation. Review Board members and 

their immediate family members may not engage in any Gaming Activity at any Gaming 

Facility. For the purpose of this section "relative" or "immediate family member" shall be 

defined as mother, father, (including step, adopted, or in-law for all), spouse, son, daughter, 

brother, sister, grandparent, niece, nephew, uncle, aunt, and first cousins. 

4.04 Compensation for Review Board Members. Review Board members shall be paid a 

stipend at a rate to be established annually by the Gaming Commission budget, and approved by 

the Tribal Council. Initially the stipend shall be at the rate of $350 per member per meeting. 

Review Board members shall be reimbursed for actual expenses incurred on Gaming 

Commission business, including necessary travel expenses. In no event shall compensation be 

based on a percentage of net profits from Gaming Operations of the Viejas Band. 

4.05 Selection of Chairperson. The Review Board shall select annually from its membership 

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

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

date for additional meetingrhearing times. The Chairperson shall communicate the scheduling of 

all meetingshearings with the Commissioner. 

4.06 Meetings and Hearings. The Review Board shall not meet more than twice per month 

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

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

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

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

administrative assistant of the Gaming Commission. Records of board meetings and hearings 

shall be exempt from state subpoena 

4.07 Quorum; Majority Vote. A quorum shall consist of all three (3) members of the 

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

4.08 Petition for Review Board Action. An authorized representative of the Viejas Band's 

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

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

shall within thirty (30) Calendar Days schedule the matter for consideration by the Review Board 

pursuant to this section, and shall immediately forward a copy of the petition to the 

Commissioner. The Chairperson will consult with the Commissioner before dig on any 

petition and will schedule the matter for hearing only if the Review Board disagrees with the 

Commissioner's recommendation. 

4.09 Due Process; Appealing Commission Actions. Any Gaming Commission decision 

resulting in approving, disapproving, revoking, suspending, limiting or conditioning a Gaming 
License, or the imposition of other sanctions under this Ordinance shall be made by the 

Commissioner. Should an applicant or Licensee disagree with the determination of the 

Commissioner, the Commissioner shall schedule a hearing with the Review Board to review the 

decision, within thirty (30) Calendar Days from the date an applicant files hisher written appeal 

with the Gaming Commission. 

4.10 Review Board Findings. No later than three (3) Calendar Days following a hearing, the 

Review Board shall make findings related to: 

(A) the credibility of witnesses and facts presented at the hearing; 

(B) whether the action taken by the Commissioner was authorized under the 

Ordinance; and 

(C) whether any other action recommended to the Review Board including, but not 

limited to fines and forfeitures. should be taken. 

4.11 Notitication of Review Board Decision. Within ten (10) Calendar Days following the 

Review Board making findings under Section 4.10, the Review Board shall inform the subject 

and the Gaming Commission in writing of its decision. The Review Board's decision shall be 

bmding, final and not subject to further appeal. 

Section 5 - Licensing 

5.01 Gaming License Requirement. Any Person seeking to conduct, operate or manage any 

Gaming Activities shall apply for and receive all the required licenses from the Commission 

prior to engaging in such Gaming Activities. All Gaming Resource Suppliers who directly or 

indirectly, provide, have provided, or are deemed likely to provide at least $25,000 in Gaming 

Resources in any 12- month period, shall apply for and receive all the required licenses from the 

Commission prior to providing Gaming Resources. All Gaming Employees shall apply for and 

receive all the required licenses fiom the Commission prior to employment. Any person seeking 

to conduct, operate, or manage Gaming Activities without first obtaining the required licenses 

shall be deemed in violation of this Ordinance and shall be subject to fines and penalties as set 

forth herein. Nothing in this section shall prohibit a Person from being temporarily employed in a 

Gaming Activity or as a Gaming Employee after being hired for a short period of time, not to 

exceed thirty (30) Calendar Days, pending the grant of a temporary license in conformance with 

background investigation and licensing procedures adopted by the Commission. 

5.02 Nature of a Gaming License. A Gaming License is a revocable privilege, and the 

issuance of a license shall not create any vested right. A Gaming License is personal to the 

Licensee and may not be reassigned or transferred. 

5.03 Gaming License Regulations. The Gaming Commission shall promulgate Regulations 

governing the issuance, renewal, denial, suspension and revocation of Gaming Licenses. Such 

Regulations shall meet or exceed the requirements for licensing of Class 111 Gaming pursuant to 

the terms and conditions of the Compact. 
5.04 Gaming - License Fees. The Gaming " Commission shall set fees for amlications. . . background investigations and Gaming Licenses, subject to approval by the Tribal Council. All 

such fees shall be made payable to the Viejas Band and delivered to the Viejas Tribal Treasurer. 

5.05 Eligibility Determination. The Gaming Commission shall review a Person's prior 

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

concerning the eligibility for receipt of a Gaming License. If the Gaming Commission 

determines that licensing of the Person poses a threat to the public interest or to the effective 

regulation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal practices 

and methods and activities in the conduct of gaming, or jeopardizes the integrity or reputation of 

the Viejas Band or the Gaming Operation, a Gaming License shall not be granted. 

5.06 Issuance of a Gaming License. The Commission, upon completion of appropriate 

backmound investigation and suitability determination shall either mant or deny a Gaming - 

~ice&e. The issuance of a Gaming ~icense shall be done only p&ided that: - 

(A) A completed Gaming License application has been received; 

(B) All applicable licensing fees have been paid; and 

(C) No objection has been raised by the NIGC or the State of California. 

5.07 Employee Licensing. All Gaming Employees, Non- Gaming Employees, Key 

Employees and Primary Management Officials shall apply for and be granted a Gaming License 

prior to employment in the Gaming Operation. The Gaming Commission shall ensure that the 

policies and procedures set out in this section are implemented with respect to anyone employed 

at any Gaming Facility. 

(A) Application forms: 

(I) The following notice shall be placed on the application form for a 

Gaming Employee, Non-Gaming Employee, Key Employee, or a 

Primary Management Official before that form is filled out by an 

applicant (the "Privacy Act Notice"): 

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

is vrovided: Solicitation of the information on this form is authorized by 

~~u.s.c. 2701 et seq. The purpose of the requested information is to - 

determine the eligibility of Persons to be granted a Gaming License. The 

information will be used by the Gaming dornrnission and by the NIGC 

members and staff who have need for the information in the nerformance 

of their official duties. The information may be disclosed toappropriate 

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

agencies when relevant to civil, criminal or regulatory investigations or 

prosecutions or when pursuant to a requirement by the Viejas Band, the 
Gaming Commission, or the NIGC in connection with the issuance, 

denial, or revocation of a gaming license, or investigations of activities 

while associated with the Viejas Band or the Gaming Operation. Failure 

to consent to the disclosures indicated in this notice will result in the 

Gaming Commission beiig unable to license you for 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." 

(11) The following notice shall be placed on the application fom for a Key 

Employee or Primary Management Officials before that form is filled out 

by an applicant (the "False Statement Notice"): 

"A false statement on any part of your Gaming License application may be 

grounds for denying a Gaming License or the suspension or revocation of a 

Gaming License. Also, you may be punished by fine or imprisonment. (U.S. 

Code, Title 18, Section 1001.)" 

(111) Existing Gamiig Employees, Non-Gaming Employees, Key Employees 

and Primary Management Officials who have not filled out applications 

with the Privacy Act Notice and False Statement Notice shall be notified 

in writing that they shall either: 

(a) Complete a new application which contains the Privacy Act Notice 

and False Statement Notice; or 

(b) Sign a statement that contains the Privacy Act Notice and False 

Statement Notice. 

) Background Investigation: No Gaming License shall be granted to any Person or 

entity who has been determined to be a Person or entity whose prior activities, 

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

public interest or to the effective regulation and control of gaming, or create or 

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

activities in the conduct of gaming or by the carrying on of the business and 

financial arrangements incidental thereto. 

(I) Gamiig License Application Minimum Requirements: 

(a) The Gaming Commission shall request i%om each applicant all of 

the following information: 

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

security number(s), birth date, place of birth, citizenship, 

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

(iii) 

(vii) 

Currently and for the previous ten (10) years; business and 

employment positions held, ownership interests in those 

businesses, business and residence addresses, and driver's 

license numbers; 

The names and current address of at least three personal 

references, including one personal reference who was 

acquainted with the applicant during each period of 

residence listed in the application; 

Current business and residence telephone numbers; 

A description of any existing and previous business 

relationships with Indian Tribes including ownership 

interests in those businesses; 

A description of any existing and previous business 

relationships with the gaming industry generally, including 

ownership interest in those businesses; 

The name and address of any licensing or regulatory 

agency with which the Person has filed an application for a 

licensk or permit related to gaming, whethe;& not such 

license or permit was granted; 

For each felony for which there is an ongoing prosecution 

or a conviction, the charge, the name and address of the 

court involved, and the date and disposition if any; 

For each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations), within the 

(10) years of the date of the application, the name and 

address of the court involved and the date and disposition; 

For each criminal charge (excluding minor traffic charges), 

whether or not there is conviction, if such criminal charge 

is within ten (10) years of the date of the application, the 

criminal charge, the name and address of the court involved 

and the date and disposition; 

The name and address of any licensing or regulatory 

agency with which the Person has filed an application for 

an occupational license or permit, whether or not such 

license or permit was granted; 

(xii) A current photograph; 
(xiii) Any other information the Gaming Commission deems 

relevant; and 

(xiv) Fingerprints consistent with procedures adopted by the 

Gaming Commission according to 25 C.F.R 5522.2 (h). 

Fingerprints shall be required for employees defined as Key 

Employees and Primary Management Officials only unless 

otherwise requested by the Gaming Commission. 

5.08 Background Investigation of Gaming License Applicants Pursuant to Section 522.2 

(b) of the Rules and Regulations of the NIGC. The Gaming Commission shall conduct an 

investigation sdticient to make a determination under section 5.09 below. In conducting a 

background investigation, the Gaming Commission shall promise to keep confidential the 

identity of each Person interviewed in the course of the investigation. 

(A) Pursuant to any approved compact between the Viejas Band and the State of 

California any applicable procedures for Tribal licensing and/or State licensing or 

certification of all Gaming Employees for the conduct of Class I11 Gaming are 

hereby adopted and incorporated by reference. 

(B) The minimum procedures for conducting background investigations on applicants 

are: 

(I) Criminal history check; 

Civil history check; 

(III) Financial and credit check; 

(IV) Reference check; 

(V) Previous business and employment check; 

(VI) Relative check; 

(VII) Business and personal associates check; 

(VIII) Educational verification; 

(IX) Document the disposition of all potential problem areas noted and 

disqualifying information needed; and 

(X) Any other investigation deemed necessary or appropriate by the Gaming 

Commission. 
(C) The Commissioner is primarily responsible for the conduct of the background 

investigations and suitability determinations in consultation with the NIGC. 

@) The Gaming Commission shall be responsible for conducting, reviewing and 

either approving or disapproving the investigative work. 

) The Commissioner is responsible for reporting the results of the background 

investigations to the NIGC for Key Employees and Primary Management 

Officials only. 

(F) For the purposes of obtaining necessary fingerprints for processing, the 

Commissioner and designated agents shall have Tribal law enforcement authority. 

(G) Suitability determination and selection of Gaming Commission members is more 

specifically set forth later in this Ordinance. 

@I) The investigative reports shall set forth, in detail, the: 

(I) Steps taken in conducting the background investigation; 

(11) Results obtained; 

(111) Conclusions reached, and 

(IV) The basis for those conclusions. 

5.09 Suitability Determination; Gaming License Denial The Commissioner may not grant 

a Gaming License to any Person who has been convicted of any felony or gaming offense. The 

Commissioner may deny a Gaming License to any Person, or may suspend or revoke the Gaming 

License of any Person who: 

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

material information on the Gaming License application or background 

questionnaire, or 

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

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

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

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

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

thereto, or jeopardizes the integrity or reputation of the Viejas Band or its Gaming 

Operation; or 

(C) has violated, failed or refused to comply with the provisions, requirements, 

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

Compact, or any provision of any Federal,state,ir Tribal gaming 
lawslregulations, or when any such violation has occurred upon any premises 

occupied or operated by any such Person or over which such Person has 

substantial control; 

(D) knowingly causes, aids, abets, or conspires with another to cause any Person to 

violate any provision of this Ordinance, the Compact, or any provision of any 

Federal, State, or tribal gaming laws/regulations; 

(E) has obtained a state or tribal gaming license or certification by fraud, 

misrepresentation, concealment or through inadvertence or mistake; 

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

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

payment or reports to any government, whether tribal, State, or the United States; 

or U.S. Government Agency at any level, or filed false reports therewith, or of 

any similar offense(s), or of bribing or otherwise unlawfdly influencing a public 

official or employee of an Indian Tribe, a state, or the U.S. Government, or of any 

crime, whether a felony or misdemeanor, involving any Gaming Activity, 

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

(G) makes a misrepresentation of, or fails to disclose a material fact to the Gaming 

Commission, federal, or state authorities; 

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

under appeal, for any of the offenses included under Section 5.09(F); provided 

that the Gaming Commission may defer decision upon the application during the 

pendency of such prosecution or appeal; 

(I) has had a gaming license issued by any state or Indian Tribe revoked or denied, 

(J) has demonstrated a willful disregard for compliance with gaming regulatory 

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

application or forfeiture of a gaming license; 

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

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

probable cause to believe that the participation of such Person in gaming or 

related activities would be detrimental to the proper operation of an authorized 

gaming or related activity in Califomia. For purposes of this Ordinance, 

"occupational manner or context" shall be defined as the systematic planning, 

administration, management or execution of an activity for financial gain, 

(L) is a career offender or a member of a career offender organization or an associate 

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

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

detrimental to the proper operation of the authorized gaming or related activities 
in California. For the purpose of this section, "career offender "shall be defined 

as anv . . . Person whose behavior is ~ursued in an occu~ational manner or context for 

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

violations of tribal law, federal law or the laws and the public policy of California. 

A career offender org&zation shall be defined as any &oup oi~erbns who 

operate together as career offenders; 

(M) is a Person whose prior activities, criminal record, if any reputation, habits and 

associations pose a threat to the public interest of the Viejas Band or to the 

effective regulation and control of Gaming Activities, or creates or enhances the 

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

conduct of gaming, or the carrying on of the business and financial arrangements 

incidental thereto; or 

(N) fails to provide any information requested by the Gaming Commission within 

fourteen (14) Calendar Days of the request for the information. 

5.10 Failure of Applicant to Disclose Material Information. An applicant for licensing 

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

appropriate to cany out the policies of the Viejas Band relating to licensing and control of the 

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

the applicant's involvement with gaming would jeopardize or compromise the Tribal interest, 

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

constitute a violation of this Ordinance to fail to disclose, to mislead or to misstate any such 

material information to the Gaming Commission. 

5.11 Temporary Gaming Licenses. The Gaming Commission may issue a temporary 

Gaming License to any Person or entity applying for a Gaming License to work in or do business 

with the Gaming Operation which shall be valid pending the completion of a background 

investigation of such Person. In no event shall such temporary Gaming License be valid for 

longer than one hundred eighty (180) Calendar Days. 

5.12 Parameters of Licenses. Violation of any material provision of this Ordinance or any of 

the Gaming Commission's Regulations by a Licensee, its agent, or employee shall be deemed 

contrary to the public health, safety, morals, good order and general welfare of the Viejas Band 

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

or renew a Gaming License, suspension or revocation of a Gaming License, or shall constitute 

grounds for the imposition of sanctions by the Gaming Commission or Commissioner. If the 

Gaming Commission elects to resolve disputes in a manner other than revocation of a Gaming 

License, such agreement shall be made in writing and supersede any conflicting provisions of 

this section, so long as the agreement provides a reasonable avenue for the Viejas Band to ensure 

a Licensee's compliance with all other aspects of this Mice. Acceptance of a Gaming 

License or renewal on the part of the Licensee shall constitute the Licensee's agreement to be 

bound by all Regulations and conditions of the Commission or Gaming Commission and by the 

provisions of this Ordinance as the same are now, or may hereafter be amended or promulgated, 

and to cooperate fully with the Commissioner and Gaming Commission. It is the responsibility 
of the Licensee to keep informed of the contents of such Regulations, amendments, provisions, 

and conditions, and ignorance thereof will not excuse the violations. All Gaming Licenses shall 

have a two (2) year duration and will require renewal thereafter in accordance with procedures 

set forth by the Gaming Commission. 

5.13 Procedures for Forwarding Applications and Reports for Key Employees and 

Primary Management Officials to the NIGC 

(A) When a Key Employee or Primary Management Official begins work at a Gaming 

Operation authorized by this Ordiice, the Gaming Commission shall forward to 

the NIGC a completed application for a Gaming License and conduct the 

background investigation and make the determination referred to in Section 5.09~ 

(B) The Gaming Commission shall forward the information required by Section 

5.13(A) to the NIGC within sixty (60) Calendar Days after an employee begins 

work or within sixty (60) Calendar Days of the approval of this Orhce by the 

NIGC Chairperjon. 

(C) The Gaming Operation shall not employ as a Key Employee or Primary 

Management Official a Person who does not have a Gaming License. 

5.14 Report to the NIGC 

(A) Pursuant to the procedures set out in Section 5.08, the Gaming Commission shall 

prepare and forward the NIGC an investigative report on each background 

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

(I) Steps taken in conducting a background investigation; 

(11) Results obtained; 

@I) Conclusions reached; and 

(IV) The bases for those conclusions. 

(B) The Gaming Commission shall submit, with the report, a copy of the eligibility 

determination made under Section 5.09. 

(C) If a Gaming License is not issued to an applicant, the Gaming Commission: 

(I) Shall notify the NIGC; 

(II) May forward copies of its eligibility determination and investigative report 

(if any) to the NIGC for inclusion in the Indian Gaming Individual 

Records System; and 
(111) Shall retain applications for licensing and employment and reports (if any) 

of background investigations for inspection by the NIGC Chairperson or 

his or her designee for no less than three (3) years firom the date denial or 

revocation of a Gaming License, or termination of employment, 

whichever is later. 

5.15 Granting a Gaming License to Key Employee or Primary Management Ofticial. 

(A) If, within a thuty (30) Calendar Day period after the NIGC receives a report, the 

NIGC notifies the Viejas Band that it has no objection to the issuance of a 

Gaming License pursuant to a Gaming License application filed by a Key 

Employee or Primary Management Official for whom the Gaming Commission 

has provided an application and investigative report to the NIGC, the Gaming 

Commission may issue a Gaming License to such applicant. 

(B) The Gaming Commission shall respond to a request for additional information 

from the NIGC Chairperson concerning a Key Employee or Primary Management 

Official who is the subject of a report. Such a request shall suspend the thirty (30) 

Calendar Day period under Section 5.15(A) until the NIGC Chairperson receives 

the additional information. 

(C) If, within the thirty (30) Calendar Day period described above, the NIGC provides 

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

a Gaming License to a Key Employee or Primary Management Official for whom 

the Gaming Commission has provided an application and investigative report to 

the NIGC, the Gaming Commission shall reconsider the application, taking into 

account the objections itemized by the NIGC. The Commissioner shall make the 

final decision whether to issue a Gaming License to such applicant. 

5.16 Gaming License Suspension or Revocation 

(4) If, after the issuance of a Gaming License, the Gaming Commission receives &om 

the NIGC or other source, reliable information indicating that a Licensee is not 

eligible for licensure, the Gaming Commission shall suspend such Gaming 

License and shall noti@ in writing the Licensee of the suspension and the 

proposed revocation. 

) The Gaming Commission shall notify the Licensee of a time and place for a 

hearing on the proposed revocation of the Gaming License. 

(C) After a revocation hearing, the Gaming Commission shall decide whether to 

revoke or reinstate the Gaming License. The Gaming Commission shall notify 

the NIGC of its decision. 

5.17 Special Rules Regarding Gaming Commission Employees. Gaming Commission 

employees shall not require licensing but must pass the background screening and suitability 
determination set forth in Sections 5.07 through 5.09 of this Ordinance. Gaming - Commission 

employees may not participate in matters rela& to their own background investigations. Such 

background investigations shall be performed under the direction of the Commissioner. 

Section 6 - Manaeement Contracts 

6.01 Licensing of Management Contractor Required 

(A) Any Management Contract entered into by the Viejas Band for the operation and 

management of Gaming Activity must provide that the management contractor 

obtain a Gaming License. Prior to issuing a Gaming License to a management 

contractor, the Gaming Commission shall require and obtain the following 

information: 

(I) the name, address, and other additional pertinent background information 

on each person or entity (including all officers and management officials 

comprising such entity) having direct financial interest in, or management 

responsibility for the management contractor, and in the case of a 

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

corporation and each of its stockholders who hold (directly or indiictly) 

10% or more of its issued and outstanding stock; 

(11) a description of any previous experience that each Person listed pursuant 

to Section 6.01(A)(I) has had with other gaming contracts with Indian 

Tribes or with the gaming industry generally, including specifically the 

name and address of any licensing or regulatory agency with which such 

Person has had a contract relating to gaming; 

(111) Any Mer or additional information as may be required under the 

Compact; 

(IV) Any Mer or additional information as may be required under existing 

rules and Regulations for Management Contracts required by IGRA, 

) Any Person listed pursuant to Section 6.01(A)(I) shall be required to respond to 

such written or oral questions that the Gaming Commission may propound. 

(C) For purposes of this Ordinance, any reference to the Management Contract shall 

be considered to include any Collateral Agreements to such Management Contract 

that relate to the Gaming Activity. 

@) After the Gaming Commission has determined that a management contractor is 

suitable for licensure, and has given its approval of the Management Contract, the 

Gaming Commission shall submit such contract to the NIGC for approval. Any 

Management Contract shall be void until the NIGC has approved it. 
6.02 Approval of Management Contracts. The Gaming Commission may approve a 

Management Contract entered into by the Viejas Band only if it determines that such 

Management Contract provides for: 

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

reports that are prepared for the Tribal Council on a monthly basis; 

(B) access to the daily operations of the Gaming Operation to appropriate Tribal 

officials who shall also have a right to verify the daily gross revenues and income 

made from any such Gaming Activity; 

(C) a minimum guaranteed payment to the Viejas Band that has preference over the 

retirement of development and constructions costs; 

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

(E) a contract term not to exceed five (5) years, except that, upon the request of the 

Viejas Band, the Gaming Commission may authorize a contract term that exceeds 

five (5) years but does not exceed seven (7) years if the Gaming Commission is 

satisfied that the capital investment required, and the income projections for the 

particular Gaming Activities, require additional time; 

(F) adequate grounds and mechanisms for the Viejas Band to terminate the 

Management Contract, but actual termination shall not require the approval of the 

NIGC; and 

(G) a hiring preference to Tribal Members and members of other Indian Tribes for 

purposes of employment at the Gaming Facility. 

6.03 Percentage of Net Revenue Fees 

(A) A Management Contract providing for a fee based upon a percentage of the Net 

Revenues of Gaming Activity may be approved by the Gaming Commission if 

such percentage fee is reasonable under the circumstances. Except as provided in 

this section, such fee shall not exceed 30% of the Net Revenue; 

(B) Upon request of the Tribal Council, the Gaming Commission may approve a 

Management Contract providing for a fee upon a percentage of the Net Revenue 

of the-Gaming ~ctivitythat exceeds 30% bit not more than 40% of the Net 

Revenues if the Gaming Commission and Tribal Council are satisfied that the 

capital investment required, and income projections, for such Tribal Gaming 

Activity require the additional fee. 
6.04 Disapproval of Management Contracts 

The Gaming Commission shall not approve any Management Contract if it determines that: 

(A) Any Person listed pursuant to CER 25 Section 5.01(a)(i): 

(I) is an elected member of the Tribal Council; 

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

(111) has knowingly and willfully provided materially important false 

statements of information to the Gaming Commission or the Tribal 

officials who negotiate such contracts or has refused to respond to 

questions propounded pursuant to CFR 25 Section 5.01@); or 

(IV) has been determined to be a Person whose prior activities, criminal record 

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

interest or to the effective regulation and control of gaming, or create or 

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

and activities in the conduct of gaming or the carrying on of the business 

and financial arrangements incidents thereto; 

(B) The management contractor has, or has attempted to unduly interfere or to 

influence for its gain or advantage any decision or process of Tribal Council of 

the Gaming Commission relating to the Gaming Activity, including without 

litation, the decision or process of negotiating and entering into a Management 

Contract; or 

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

the terms of this Management Contract or the vrovisions of this Ordinance or anv 

Regulations adopted p&suant to this ordinan& or IGRA. 

6.05 Modirying or Voiding a Management Contract. The Gaming Commission, after 

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

Management Contract if it subsequently determines that any of the provisions of this Ordinance 

have been violated. 

6.06 No Conveyance of an Interest in Land. No Management Contract shall transfer or, in 

any other manner, convey any interest in Tribal land or other real property of the Viejas Band, 

whether held in fee or in m. 

6.07 Fee for Investigation Cost. The Gaming Commission shall require a management 

contractor to pay a fee to cover the actual cost of the investigation, suitability determination, and - contract review;equired under this Ordinance. 
6.08 Dispute Resolution. If any dispute arises as to the proper compliance with or 

interpretation of this Section 6, the following procedures shall apply. 

(A) Notice. The party asserting noncompliance or seeking an interpretation shall 

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

specific Ordinance provision alleged to have been violated or in dispute and shall 

specify in detail the factual basis for the alleged noncompliance or the proffered 

interpretation of the Ordinance provision for which interpretation is sought. 

(B) Voluntary Resolution. Representatives of the Viejas Band and the other party or 

parties shall meet within ten (10) Calendar Days following receipt of the notice in 

an effort to resolve the dispute. 

(C) Arbitration Procedures. If the dispute is not resolved to the satisfaction of the 

parties within tbirty (30) Calendar Days after service of the notice set forth above, 

the dispute shall be adjudicated through arbitration in San Diego, California. 

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

subject matter of the dispute. 

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

arbitrator within ten (10) Calendar Days of the commencement of the 

arbitration and the two (2) arbitrators shall mutually appoint a third 

arbitrator within twenty (20) Calendar Days of their appointment. If the 

two (2) arbitrators are unable to agree on the appointment of a third 

arbitrator within twenty (20) Calendar Days, the third arbitrator shall be 

appointed by the American Arbitration Association. 

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

appointment to determine an arbitration schedule including whether and to 

what extent discovery is required. The arbitrator($ may set the matter for 

an evidentiary hearing or oral argument, or may dispose of the dispute 

based upon written submission only. 

(D) Arbitration Costs. The cost of arbitration shall be borne equally by the parties, 

with one half of the expenses charged to the Viejas Band and one-half charged to 

the other party or parties. The parties shall bear their own costs and attorneys' 

fees associated with their participation in the arbitration unless the decision of the 

arbitrator shall specify otherwise. 

(E) Arbitration Decision. The decision of the majority of the arbitrator@) shall be 

final, binding and not subject to appeal. Failure to comply with judgment upon 

the award entered in such arbitration proceeding shall be deemed a breach of the 

Ordinance. 
Section 7 -Auditing. Fiscal Oversieht. And Internal Controls 

7.01 Audit 

(A) The Gaming Commission shall cause to be conducted annually an independent 

audit of Gaming Operations and shall submit the resulting audit reports to the 

NIGC. 

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

concessions in excess of $25,000 annually, except contracts for professional legal - 

and accounting services, shall be specific&ly inlluded within the scope of the 

audit. 

7.02 Minimum Procedures for Control of Internal Fiscal Affairs. The Gaming 

Commission shall promulgate Regulations for internal controls and fiscal audits of all Gaming 

Operations. At a minimum, those Regulations shall: 

(A) Prescribe minimum procedures for safeguarding the Gaming 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, assures that operating transactions are properly recorded, and 

encourage adherence to prescribed policies; 

(B) Prescribe minimum reporting requirements to the Gaming Commission of 

information that is required by this Ordinance or Regulation; 

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

certified public accountants (CPA) licensed to practice accounting in the State of 

California; 

(D) Ensure that a uniform code of accounts and accounting classifications are 

formulated to assure consistency, comparability and effective disclosure of 

financial information. Such code shall require that records be retained that reflect 

statistical drop (amount of cash wagered by patrons), statistical win ( amount of 

cash won by the Gaming Operation ) and the percentage of statistical win to 

statistical drop, or provide similar information, for each type of game or each 

gaming device; 

(E) Prescribe the intervals at which such information shall be fiunished; 

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

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

requirements of this section; and 
(G) Provide that d financial statements and documentation referred to in Section 

7.01(F) be maintained for minimum of five (5) years. 

7.03 Gaming Commission Oversight of Internal Fiscal Mairs. The Gaming Commission 

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

Operations at least annually. Such audits must: 

(A) be made by outside independent CPAs holding a permit issued by the State of 

California to practice public accounting, such accountants shall be selected by 

and contracted with the Gaming Commission; 

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

financial condition of the Gaming Operation in accordance with generally 

accepted accounting principals (GAAP) and in accordance with the governmental 

standards of accounting and the gaming auditing standards established by the 

American Institute of Certified Public Accountants; 

(C) disclose whether the accounts, records and control procedures maintained by the 

Gaming Operation are as required by the Regulations promulgated by the Gaming 

Commission; and 

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

the policies and procedures by the entity, provide an opinion regarding the 

adequacy of controls, to disclose any deviation ffom prescribed rules and 

Regulations, and report such findings to the Gaming Commission and 

management. 

7.04 Gaming Commission's Right to Conduct Audits. The Gaming Commission shall be 

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

own audits of any Gaming Operation. 

7.05 Minimum Internal Control Standards; NIGC Oversight 

(A) The Gaming Commission shall comply with 25 CFR Part 542 by formally 

promulgating, and making applicable to the Gaming Operation, minimum internal 

control standards (MICS) that: 

(I) Provide a level of control that equals or exceeds those set forth in 25 CFR 

Part 542, as a published or as revised by mutual agreement between the 

NIGC and the Viejas Band; 

@I) Contain standards for currency transaction reporting that comply with 3 1 

CFR Part 103; and 

(III) Establish internal control standards for Class I1 and Class I11 Games. 
(B) In order to verify that the Gaming Operation is in compliance with the MICS, an 

independent CPA shall be engaged mually to perform "Agreed-Upon 

Procedures" in the manner provided for in 25 CFR 542.3(f). 

(C) Compliance. The Gaming Commission shall monitor and enforce compliance 

with the MICS in the manner provided for in 25 CFR 542.3(g). In addition, the 

NIGC shall, for the purpose of confirming compliance with the MICS, have to 

power to: 

(I) monitor all Class I1 and Class III Gaming on a continuing basis; 

(11) inspect and examine all premises on which Class I1 and Class 111 Gaming 

is conducted; and 

(111) demand access to and inspect, examine, photocopy, and audit all papers, 

books, and records respecting gross revenues of all Class II and Class I11 

Gaming or any other matters necessary to ensure and enforce compliance 

with the MICS. 

(D) Enforcement. Any failure to adopt MICS, perform Agreed-Upon Procedures, 

prevent or obstruct the exercise of any of the Gaming Commission's powers, or 

comply with the MICS, is a violation of this Ordinance and subject to 

enforcement action by the Gaming Commission. The NIGC Chairperson shall 

have the authority to remedy violations of this Ordinance under 25 U.S.C. $2713 

and its implementing Regulations, and the Viejas Band shall have all rights and 

remedies available thereunder. 

Section 8 -Patron Disuutes 

8.01 Unresolved Patron Dispute. Whenever the Gaming Operation refuses payment of 

alleged winnings or machine credits to a patron, and the Gaming Operation and the patron are 

unable to resolve the dispute to the satisfaction of the patron, the following steps shall be taken: 

(A) Where the dispute involves $500 or more, the Gaming Operation shall 

immediately notify the Gaming Commission. The Gaming Commission shall 

conduct whatever investigation it deems necessary and shall decide whether 

payment should be made; or 

(B) Where the dispute involves less than $500, the Gaming Operation shall inform the 

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

investigation. Upon request of the patron, the Gaming Commission shall conduct 

whatever investigation it deems necessary and shall decide whether payment 

should be made. 

8.02 Notice of Gaming Commission Decision. The Gaming Commission shall mail written 

notice by certified mail, return receipt requested, to the Gaming Operation and the patron of the 
Gaming Commission's determination under Section 8.01 within thirty (30) Calendar Days after 

the date that the Tribal Gaming Commission first receives notification from the Gaming 

Operation or a request to conduct an investigation from a patron. Such notice shall include an 

explanation of the basis for the decision. 

(A) Effective Date of Decision. The decision of the Gaming Commission is effective 

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

(B) Review of Decision. Within thirty (30) Calendar Days after the date of receipt of 

the written decision, the aggrieved party may file a petition with the Review 

Board. Upon receipt of the petition the Chairperson of the Review Board shall 

immediately forward a copy of the petition to the Commissioner. The Review 

Board shall promulgate procedures to determine whether patron disputes are 

eligible for a hearing and for the conduct of any hearing. The Review Board shall 

take into consideration the prior decision and other documentation provided to it 

by the patron, the Gaming Commission, and the Gaming Operation. The 

Chairperson of the Review Board shall then issue a written decision and mail it to 

the parties pursuant to the procedures set forth in Section 4.1 1. The decision of 

the Viejas Gaming Review Board shall be hal and binding upon the patron and 

the Viejas Band's Gaming Operation and shall not be subject to judicial review, 

dispute resolution or other legal action. 

Section 9 - Unlawful Acts; Enforcement 

9.01 Unlawful Acts. It is unlawful for any Person to: 

(A) alter or misrepresent the outcome of a game or other event on which wagers have 

been made after the outcome is determined but before it is revealed to the players; 

(B) place, increase or decrease a bet or to determine the course of play after acquiring 

knowledge, not available to all players, of the outcome of the game or knowledge 

of any event that affects the outcome of the game or knowledge that is the subject 

of the bet or wager; 

(C) aid anyone in acquiring such knowledge under Section 9.01(B) for the purpose of 

increasing or decreasing a bet or wager, or for the purpose of determining the 

course of play contingent upon that event or outcome; 

(D) claim, collect or take, or attempt to claim, collect or take, money or anything of 

value in or from a gambling game with intent to defraud, without having made a 

wager contingent thereon, or to claim, collect or take an amount greater than the 

amount won; 

Q knowingly to entice or induce another to go to any place where a gambling game 

is being conducted or operated in violation of the provisions of this section, with 

the intent that the other Person play or participate in that gambling game; 
(F) place or increase a bet or wager after acquiring knowledge of the outcome of the 

game or event which is the subject of the bet or wager, including past-posting and 

pressing bets; 

(G) reduce the amount wagered or cancel the bet after acquiring knowledge of the 

outcome of the game or other event which is the subject of the bet or wager, 

including pinching bets; 

(H) manipulate with intent to cheat, any component of a gaming device in a manner 

contrary to the designed and normal operational purpose for the component, wit. 

knowledge or hope that the manipulation affects the outcome of the game or prize 

or with knowledge of any event that affects the outcome of the game or prize; 

(I) solicit funds or anything of value from any patron or employee; 

(J) unlawfully take or attempt to take any chips, coin@), token($ machine credits 

currency, or anything of value fiom any patron or employee on the premise; 

(K) refuse to leave the Gaming Facility when appropriately advised to do so by a 

member of management, security, or the Gaming Commission; 

(L) damage or attempt to damage either intentionally or negligently any property, 

gaming device or equipment, or any article belonging to the Viejas Band, patron, 

employee, or Tribal corporation; 

(h4) make any wager either directly or indirectly in any Class 11 or Class 111 Gaming 

Activity, if such Person is under eighteen (18) years of age; 

(N) either intentionally or negligently cause injury or harm to any patron, or employee 

or threaten to do so; 

(0) possess any chips, tokens, cards, device, paraphernalia, etc., that could reasonably 

be concluded as useful in cheating, defrauding, manipulating, or altering any 

game, gaming device equipment, machine, computer, or supplies; 

(P) aid, conspire, collude or assist in any way with any other Person to win or have 

any unfair advantage to win or otherwise acquire anything of value unfairly; 

(Q) offer or attempt to offer anything of value to a Licensee in an attempt to induce 

the Licensee to act or refrain fiom acting in a manner contrary to the duties of the 

Licensee under applicable law; and 

(R) take any action which interferes with or prevents the Gaming Commission from 

fulfilling its duties and responsibilities under this Ordinance or other applicable 

law or regulation. 
9.02 Prohibition against Electronic Aids. Except as specifically permitted by the 

Commissioner, no Person shall possess with the intent to use, or actually use, either by himself 

or herself, or in concert with others, any calculator, Computer or other Electronic or 

Electromechanical device to assist in projecting an outcome of any Class II or Class I11 Game, to 

keep track of or analyze the cards having been dealt, to change the probabilities of any Class I1 

or Class III Game, or the playing strategies to be utilized. 

9.03 Prohibition Against Embezzlement. Any delay, maneuver or action of any kind which 

in the opinion of the Commissioner is effectuated by any Licensee to unlawfully divert gaming 

or other proceeds properly belonging to the Viejas Band shall constitute grounds for taking 

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

conducted or attempted, it shall sanction the Licensee. 

9.04 Violations and Sanctions. Any Person who violates the terms of this Ordinance shall be 

subject to sanctions, fines, prosecution, exclusion, and any other action authorized by applicable 

law. A violation of this Ordinance mav be punished bv a fine of no more than $5.000 for each 

separate count or violation. Each ~alehdarba~ of violation shall constitute a separate count or 

violation under this Ordinance. Any Person violating this Ordinance may also be required to pay 

costs, storage fees, and auction or sales fees. All property used or which may be used in 

activities in each and every separate violation of this Ordinance may become the property of the 

Viejas Band; Persons may be prohibited hm trespassing on premises licensed under this 

Ordinance, licenses may be suspended, revoked, or limited and Gaming Facilities may be closed. 

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

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

Ordinance shall be forfeited and become the property of the Viejas Band. 

9.05 Limitations Period. No fine shall be assessed, nor any action taken by the Gaming 

Commission, for any violation of this Ordinance unless such action is initiated within two (2) 

years of the Gaming Commission's discovery of the violation. 

9.06 Due Process Regarding Enforcement Actions. The Gaming Commission shall 

promulgate Regulations protecting due process rights of all individuals subject to the 

enforcement of this Ordinance. Such Regulations shall, at a minimum: 

(A) provide standards for emergency or summary suspension of a Gaming License; 

(B) provide fair notice and oppohty for hearing before the Gaming Commission 

regarding any revocation or suspension of a Gaming License, and regarding any 

enforcement action taken pursuant to this Ordinance; and 

(C) provide the right to appeal, de novo, any Gaming Commission discipliary or 

enforcement action to the Review Board. 
Section 10 -Exclusion Or Eiection Of Individuals 

10.01 List of Undesirables. The Gaming Commission may, by regulation, provide for the 

establishment of a list of Persons who are to be excluded or ejected from any Gaming Facility. 

The list may include any Person whose presence in the G& Facility is determined by the 

Gaming Commission to pose a threat to the interests of the Viejas Band, the gaming public, or to 

the Gaming Activity. 

10.02 Prohibition Against Listed Individuals. It shall be violation of this Ordinance for any 

licensed employee to knowingly fail to exclude or eject from the Gaming Facility any Person($ 

placed on the list referred to in Section 10.01. It shall be a violation of this Ordinance for any 

Person whose name appears on the list referred to in Section 10.01 to enter into or engage in any 

game at a Gaming Facility, and any such presence shall be considered trespassing. 

10.03 Prohibition against Facilitating Underage Gaming. It shall be a violation of this 

Ordinance for any Licensee to willfully and knowingly fail to exclude or eject from the Gaming 

Facility any Person who is under the age of eighteen (18) years and playing Class I1 or Class 111 

Games. 

Section 11 - Facilitv License: Public Health and Safety 

11.01 Protection of the Environment and Public Health and Safety. Each Gaming Facility 

shall be constsucted, maintained and operated in a manner that adequately protects the 

environment and the public health and safety. 

11.02 Licensing of Gaming Facility. Each Gaming Facility must be licensed by the Gaming 

Commission. Prior to the issuance of a facility license, the Gaming Commissioner shall: 

(A) determine that the Gaming Facility is constructed in conformance with all 

applicable building codes; 

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

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

Tribal assets; and 

(C) ensure that all employees are properly licensed and that the Gaming Facility is 

otherwise in compliance with all applicable gaming laws and regulations. 

Section 12 - NIGC And Tribal-State Compacts 

12.01 NIGC; Regulations. Notwithstanding any provision in this Ordinance or any regulation 

promulgated thereunder, the Gaming Commission is fully empowered to comply with all 

regulations promulgated by the NIGC, including but not limited to, all requirements to report 

ordinances, contracts, Gaming License applications, background checks, and other information 

to the NIGC. The Commissioner shall also serve as the designated agent as required under the 

NIGC regulations. 
12.02 NIGC; Assessment. Notwithstanding any provisions in the Ordinance or any regulation 

promulgated thereunder, the Gaming Commission is fully empowered to ensure compliance with 

all assessments authorized by the NIGC. Such assessments shall be directed to be paid by the 

Gaming Operation. 

12.03 Compact. Notwithstanding any provision in this Ordinance or any regulation 

promulgated thereunder, the Gaming Commission is fully empowered to comply with the 

provisions of the Compact. 

Section 13 - Miscellaneous 

13.01 Security. Each Gaming Facility must provide for reasonable security. All security 

personnel must be licensed by the Gaming Commission. 

13.02 Surveillance. The Gaming Facility shall contain all surveillance equipment, supplies, 

and space as deemed necessary by the Gaming Commission for the reasonable protection of 

patrons, employees, and Tribal assets. All surveillance systems, equipment, rooms, etc., shall be 

under the control and jurisdiction of the Gaming Commission All surveillance staff shall be 

employees of and report only to the Gaming Commission. 

13.03 Maintenance of Ordinance and Regulations. Each Licensee shall obtain, maintain and 

keep current a copy of the Ordinance and Regulations promulgated thereunder, which shall be 

located at the Gaming Facility. That a Licensee may not have a current copy of the Ordinance, 

or each of the Regulations of the Gaming Commission, shall not in way diminish the Licensee's 

obligation to abide by the Ordinance and Regulations. 

13.04 Amendments. All provisions of this Ordinance are subject to amendment by the Tribal 

Council. All Regulations promulgated by the Gaming Commission are subject to proper 

revision, repeal or amendment by the Gaming Commission and/or Review Board. 

13.05 Severabiity. If any provision of this Ordinance, or its application to any purpose or 

circumstance, is held invalid by a court of competent jurisdiction, the full remainder of the 

provision, or the application of the provision through another Person or circumstances, shall not 

be affected. 

13.06 Captions. The captions and headings contained in this Ordinance are included for 

convenience only and shall in no way limit or affect the terms thereunder. 

13.07 Sovereign Immunity. Except as expressly provided herein, nothing in this Ordinance 

shall be construed as a waiver of the sovereignty immunity of the Viejas Band, including without 

lidtation, its officers, employees or Tribally-owned entities. 

13.08 Consent to Jurisdiction. Any Person who applies for a License under this Ordinance, 

applies for employment in any Gaming Operation, enters into any gaming related contract or 

agreement with the Gaming Operation or Viejas Band, or enters a Gaming Facility, shall be 

subject to this Ordinance and shall be deemed to have consented to the enforcement authority of 
the Gaming Commission and the civil jurisdiction of the Viejas Band. Nothing in this section 

shall be interpreted to limit, in any way, the civil jurisdiction of the Viejas Band. 

13.09 Agent for Service. The designated agent for notice of any official determination, order, 

or notice of violation by the NIGC as required by 25 C.F.R. 5519.1 is the Commissioner of the 

Gaming Commission. 

13.10 Law Enforcement. Each applicant for a Key Employee or Primary Management 

Official shall be required to have fingerprints taken as part of the license application procedure. 

Fingerprints shall be taken by the ~o~&ission. Fmger&nts will then be fo&arded to the NIGC 

for processing through the FBI and NCIC to determine the applicant's criminal history, if any. 

Nothing herein shall prohibit the Commission from accessing CLETS as provided by the 

Compact. 

13.11 Effective Date and Repeal 

This Ordinance shall take effect upon receipt of approval of the NIGC Chairperson. Upon 

receipt of such approval, this Ordinance shall repeal, supersede and replace any and all other 

Tribal Gaming ordinances, laws or resolutions previously adopted or enacted by the Tribal 

Council.