the Reservation or a consent to the alienation, attachment or encumbrance
of any such land.

4.8 Sovereign Immunity of the Tribe. All inherent sovereign rights of the Tribe as
a Federally-recognized Indian Tribe, with respect to the existence and activities of the General
Council, are hereby expressly reserved, including sovereign immunity from suit in any state,
Federal or Tribal court.

4.9 Assets of the Tribal Gaming Commission. The Tribal Gaming Commission
shall have only those assets specifically assigned to it by the General Council or acquired in its
name by the Tribe or by it on its own behalf. No activity of the Tribal Gaming Commission nor
any indebtedness incurred by it shall implicate or in any way involve any assets of tribal
members or the Tribe not assigned in writing to the Tribal Gaming Commission.

4.10 Membership.

4.10.1

4.10.2

Number of Commissioners. The Tribal Gaming Commission shall be
comprised of five (5) Tribal Gaming Commissioners. All Commissioners
may be eligible for all benefits available to all Tribal employees.

Organization. The Commission will consist of a Chairperson, Vice-
Chairperson, Secretary/Treasurer, and two members at large.

(1) The Chairperson shall preside over meetings of the Tribal Gaming
Commission.

(2) The Chairperson shall be the agent for service of process for the Tribal
Gaming Commission.

(3) The Chairperson shall perform such other functions as are necessary
and appropriate to allow the Tribal Gaming Commission to operate
efficiently and effectively in accordance with this Ordinance.

(4) The Vice-Chairperson shall perform the duties of the Chairperson in
the absence of the Chairperson

(5) The Secretary/Treasurer shall be responsible for ensuring all Tribal
Gaming Commission meeting minutes are properly recorded and
maintained, and for ensuring that an annual budget of the Tribal
Gaming Commission is prepared and approved by the Tribal Gaming
Commission and reviewed by the General Council.

(6) The members at large shall attend meetings of the Commission and
perform duties appropriate and necessary to the efficient conduct of
business of the Commission.

(7) All Commissioners are required to attend a minimum of 75% (seventy-
five percent) of regularly scheduled Commission meetings. This
figure shall be reviewed on a quarterly basis. Should a Commissioner
fail to attend 75% of regularly scheduled meetings, absent exigent
circumstances, he/she may be suspended under the provisions of this
Ordinance and, if determined to be in the best interests of the Tribe,

12


7A

15

7.6

7.3.3

73.4

No Person under the legal age to gamble under State law shall be
permitted to place any wager, directly or indirectly, in any Gaming
Activity.

No Person under the legal age to gamble under State law shall be
permitted in any room in which Gaming is being conducted unless the
person is en-route to a non-gaming area of the Gaming Facility.

Methods of Payment.

741

742

Gaming chips of value may be sold and redeemed by the Enterprise and
only for full value.

Consideration to participate in Gaming shall be cash only. No other form
of consideration shall be allowed unless the Tribal Gaming Commission
gives prior written approval.

Compliance Requirements.

75.1

7.5.2

75.3

754

Evidence of win or loss incurred by a Player must, upon request, be
provided in such form as will be acceptable to the Internal Revenue
Service.

The Enterprise shall pay all fees and file all reports required by law within
the time prescribed.

The Enterprise shall respond immediately to all inquiries, subpoenas, or
orders of the Tribal Gaming Commission, the NIGC, or, to the extent
required by the Compact, the State Gaming Agency.

The Enterprise shall make its premises and books and records available for
inspection during normal business hours by the Tribal Gaming
Commission, the NIGC, or, to the extent required by the Compact, the
State Gaming Agency.

Miscellaneous.

7.6.1

7.6.2

The Enterprise shall provide adequate security to protect the public while
in or about the Gaming Facility.

The Enterprise may not discriminate on the basis of sex, race, color, or
creed in its employment practices related to Gaming; provided, however,
that this provision shall not prohibit the use of a lawful tribal preference
policy.

SECTION 8. ENFORCEMENT

8.1

Jurisdiction. Except as provided in IGRA, this Ordinance, or the Compact, the
Tribal Gaming Commission shall have jurisdiction over all violations of this Ordinance.

33


(9)

(10)

qt)

(12)

The Licensee has been convicted or has entered a plea of nolo
contendere to any crime involving Gaming, fraud, theft, or
embezzlement.

The Licensee has refused to comply with any lawful order, inquiry,
or directive of the Tribal Gaming Commission, the Federal
Government or any court of competent jurisdiction;

The Licensee has been convicted of, or entered a plea of nolo
contendere to, a crime involving the sale of illegal narcotics or
controlled substances;

The Tribal Gaming Commission has come into possession of
credible information that casts doubt on the Licensee’s suitability to
be licensed under this Ordinance.

5.12.2 Procedure for Suspension or Revocation.

QQ)

(2)

(3)

(4)

Upon reasonable cause that a violation of this Ordinance has
occurred, the Tribal Gaming Commission or its designee may either:

(i) undertake an investigation of the Licensee; or

(ii) serve upon such Licensee an order to show cause pursuant to
Section 4.24.2 as to why the Licensee’s License should not
be suspended or revoked, or why the Licensee should not be
enjoined from conducting Gaming.

Additionally, if the NIGC notifies the Tribe that it has received
reliable information indicating that a Key Employee or Primary
Management Official is not eligible for employment under 25 C.F.R.
§558.2, the Tribal Gaming Commission or its designee shall suspend
such license and notify the licensee in writing that his/her license has
been suspended and may be revoked. Such notice shall state the
reason for the suspension, revocation and/or order, and the time and
place for the hearing before the Tribal Gaming Commission pursuant
to Section 4.24 herein.

The Licensee shall have an opportunity to present testimony and
cross-examine opposing witnesses, and to present any other evidence
as to why a suspension or revocation order or injunction should not
be issued.

The hearing shall be set for not less than one (1) day nor more than
fifteen (15) days from the date of the notice. The hearing shall be
governed in all respects in accordance with Tribal law and Tribal
Gaming Commission regulations. Any suspension or revocation
decision of the Tribal Gaming Commission after hearing shall be
final. The Tribe shall notify NIGC of its decision.

29


PHOENIX 53549-1 208708v1

38


2.31 “Immediate Family” means, with respect to the Person under consideration, a
husband, wife, father, mother, son, daughter, brother, sister, father-in-law, mother-in-law, son-in-
law, daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter,
stepbrother, stepsister, half-brother or half-sister.

2.32 “Indian Gaming Regulatory Act” or “IGRA” means Public Law 100-497, 102
Stat. 2426, 25 U.S.C. §§2701, et seq. (1988), as amended.

2.33. “Indian Lands” means “Indian Lands” as defined in Section 2703 (4) of IGRA.

2.34 “In privity with” means a relationship involving one who acts jointly with
another or as an accessory before the fact to an act committed by the other or as a co-conspirator
with the other.

2.35 “IRS” means the United States Internal Revenue Service.
2.36 “Key Employee” means:

2.36.1 A person who performs one or more of the following functions for the
Gaming Facility and/or Enterprise:

(1) Bingo caller;
(2) All counting room employees;
(3) All security employees;

(4) Custodian of Gaming supplies or cash, which includes the following
list of Enterprise and Gaming Facility employees:

i. All cashiers;
ii. All purchasing and receiving employees;
iii. All warehouse employees;

iv. All finance and accounting employees;
(5) Floor manager;
(6) Pit boss;
(7) Dealer;
(8) Croupier;
(9) Approver of credit;

(10) Custodian of gambling devices including persons with access to cash
and accounting records within such devices; or

2.36.2 If not otherwise included, any other person employed by the Gaming
Facility and / or Enterprise whose total cash compensation is in excess of
fifty thousand dollars ($50,000) per year; or

6


4.18 Powers of the Tribal Gaming Commission. In furtherance, but not in
limitation, of the Tribal Gaming Commission's purposes and responsibilities, and subject to any
restrictions contained in this Ordinance or other applicable law, the Tribal Gaming Commission
shall have, and is authorized to exercise by majority vote, the following powers in addition to all
powers already conferred by this Ordinance:

4.18.1

4.18.2

4.18.3

4.18.4

4.18.5

4.18.6

4.18.7

4.18.8

4.18.9

To enforce this Ordinance, the IGRA, the Tribal MICS, the Compact, and
the regulations of the Tribal Gaming Commission over all Gaming within
the jurisdiction of the Tribe, provided that the Tribal Gaming Commission
shall not make management decisions as to the day-to-day operations of
the Gaming Enterprise.

To investigate any reported violations of this Ordinance, the Compact, or
any other applicable law regarding Gaming within the jurisdiction of the
Tribe.

To act as liaison with the NIGC, the California Bureau of Gambling
Control and the California Gambling Control Commission.

To publish and distribute copies of this Ordinance and Tribal Gaming
Commission regulations or policies and any General Council, Tribal
Gaming Commission or Tribal Court decisions regarding Gaming matters.

To make or cause to be made reasonable inspections or investigations as it
deems necessary to ensure compliance with this Ordinance. In
undertaking such investigations, the Tribal Gaming Commission may
request the assistance of Enterprise or Gaming Facility employees, Federal
and local law enforcement officials, legal counsel and other appropriate
third parties.

To arrange for training of Tribal Gaming Commission members and
employees, within the training budget approved by the General Council in
the annual budget.

To employ such employees (including non-uniformed inspectors) and
advisors as it may deem necessary. Advisors may include, but are not
limited to, lawyers, accountants, law enforcement specialists and Gaming
professionals.

To promulgate rules and regulations, minimum internal control standards,
and other enactments to implement and further the provisions of this
Ordinance.

To accept, review, approve or disapprove any Application for a License
and to grant, deny, suspend or revoke any License in accordance with the
requirements of this Ordinance.

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

otherwise, any Person or agent, officer or employee of any Person, or any

16


8.2 Prohibited Acts. In addition to other civil and criminal offenses provided for in
this Ordinance, the following acts are prohibited by any Person and subject any violator to the
civil or criminal penalties specified herein:

8.2.1
8.2.2

8.2.3

8.2.4

8.2.5

8.2.6

8.2.7

8.2.8

8.2.9

8.2.10

8.2.11

8.2.12

8.2.13

8.2.14

8.2.15

Participating in any Gaming, which is not authorized by this Ordinance.

Knowingly making a false statement in connection with any Contract to
participate in any Gaming Activity.

Attempting to bribe any Person participating in any Gaming Activity.

Offering or accepting a loan, financing or other thing of value between a
Tribal Gaming Commission member or employee and any Person
participating in any Gaming Activity.

Promoting or participating in any illegal Gaming Activity.

Failing to keep sufficient books and records to substantiate receipts,
disbursements and expenses incurred or paid from any Gaming Activity
authorized pursuant to this Ordinance.

Falsifying any books or records that relate to any transaction connected
with any Gaming Activity pursuant to this Ordinance.

Conducting or participating in any Gaming Activity, which results in
Cheating.

Allowing participation in Gaming Activity by or with an intoxicated or
disorderly Player.

Allowing or participating in the sale of liquor when such sale is prohibited
by applicable law.

Accepting consideration other than money, or chips for participation in
any Gaming Activity.

Using bogus or counterfeit chips, or to substitute or use any cards or
Gaming equipment that has been marked or tampered with.

Employing or possessing any Cheating device or to facilitate Cheating in
any Gaming Activity.

Willfully using any fraudulent scheme or technique to change the odds of
any Game of Chance.

Soliciting, directly or indirectly, or using inside information on the nature
or status of any Gaming Activity for the benefit of an individual.

34


TRIBAL GAMING ORDINANCE
OF THE
SAN PASQUAL BAND OF MISSION INDIANS

REGULATION OF CLASS II AND CLASS III GAMING


5.8

License Issuance, Term and Substance.

5.8.1

5.8.2

5.8.3

5.8.4

Issuance. Upon completion of the necessary background investigation,
upon submission of a notice of results of the Applicant’s background
investigation to the NIGC (which notice of results shall comply with the
requirements of 25 C.F.R. § 556.6(b)(2)) not later than sixty (60) days
after the Applicant begins work, and after the Tribal Gaming Commission
has complied with the 30-day NIGC review requirements found in 25
C.F.R. §558.3 and §558.4, the Tribal Gaming Commission may issue a
License on a conditional or unconditional basis. If the NIGC objects to an
Applicant, the Tribal Gaming Commission shall reconsider the
Application, taking into account the reasons for the objections noted by
NIGC. However, the Tribal Gaming Commission shall make the final
decision on whether to license an Applicant. Nothing herein creates a
property right in the License.

Response to NIGC Notification. If, after the Tribal Gaming Commission
has issued a License, it receives notification from the NIGC pursuant to 25
C.F.R. § 558.4, that the NIGC has received reliable information that the
Key Employee or Primary Management Official is not eligible for
employment under 25 C.F.R. § 556.6, the Tribal Gaming Commission
shall take the following steps:

(1) _ it shall immediately suspend the License and shall provide the
licensee with written notice of suspension and proposed
revocation;

(2) it shall notice the licensee of a time and a place for a hearing on the
proposed revocation of the License;

(3) _ the right to a hearing under this Section 5.8.2 shall vest only upon
receipt of a License granted under an ordinance approved by the
Chair of the NIGC; and

(4) it shall conduct a revocation hearing, after which the Tribal
Gaming Commission shall decide whether to revoke or to reinstate
the License. The Tribal Gaming Commission shall notify the
NIGC of its decision within 45 days of receiving notification from
the NIGC pursuant to this subsection.

Term. Any License issued pursuant to this section shall be effective for a
period of two (2) years from the date of issuance.

Form of License. The License shall state on its face the name of the

Applicant, the Tribal Logo, and the license number. It shall also include a
photograph of Licensee.

27


4.10.3

4.10.4

4.10.5

subject to removal from office for cause under the provisions of this
ordinance.

Qualifications for Tribal Gaming Commission Positions

(1) — Must be Enrolled Tribal Members,

(2) | Commissioners must pass a background check pursuant to Section
4.10.5 below.

(3) Cannot be a member of the San Pasqual Business Committee.

(4) Not more than one member of an Immediate Family (as defined in
Section 2.31, above) can serve on the Tribal Gaming Commission
at one time.

(5) Tribal Gaming Commissioners shall have expertise, experience,
education or a combination thereof in one or more of the following
areas: gaming, finance, management, legal, business, governmental
regulation, and Tribal policy and law.

(6) Tribal Gaming Commissioners shall be at least twenty-five (25)
years of age.

(7) Tribal Gaming Commissioners shall complete basic required
training within the first two years of their appointment. Such
training shall consist of the NIGA Commissioner certification
program or an equivalent program.

Date of Appointment. The Business Committee shall appoint Tribal
Gaming Commissioners as soon as practically possible following any
vacancy in accordance with the Ordinance including Section 4.15.5 below.
Tribal Gaming Commissioner appointments shall be made by written
resolution adopted at a meeting of the Business Committee at time of the
appointment.

Background Check. Prior to the time that any Tribal Gaming Commission
member takes office on the Tribal Gaming Commission, the Tribal
Gaming Agency shall perform or arrange to have performed a
comprehensive background check on each prospective member. No
Person shall serve as a Commissioner if:

(1) _ His/Her prior activities, criminal record, if any, or reputation,
habits or associations:
@ Pose a threat to the public interest; or
(ii) Threaten the effective regulation and control of Gaming; or

(iii) Enhance the dangers of unsuitable, unfair, or illegal
practices, methods, or activities in the conduct of Gaming;
or

13


4.18.27 To assist the Enterprise in taking all steps necessary and appropriate to
insure the physical safety of all Tribal Gaming Enterprises, their
Licensees, patrons and employees.

4.18.28 To enact and adhere to its own internal controls including a Conflict of
Interest Policy governing Commissioners and Tribal Gaming
Commission staff.

4.18.29 To develop policies and procedures consistent with this Ordinance which
shall govern the conduct of meetings and hearings of the Tribal Gaming
Commission.

4.18.30 At its option, to hire, an Executive Director, and to remove the Executive
Director with cause pursuant Section 4.24.

4.18.31 To receive any complaint from an employee of the Gaming operation or
any member of the public who is or claims to be adversely affected by an
act or omission of the Gaming operation or any employee thereof which
is asserted to violate this Ordinance or other applicable law, and to take
such remedial action as it deems appropriate to bring the Gaming
operation into compliance with such provisions. The Tribal Gaming
Commission may for this purpose, in its sole discretion, conduct a
hearing and receive evidence with regard to such complaint if it deems an
evidentiary proceeding useful in the resolution of such complaint.

4.18.32 Whenever necessary to protect the public interest in the integrity of Tribal
Gaming operations, to issue any order which the Tribal Gaming
Commission has the power to issue to the Gaming operation or to any
employee or contractor of the Gaming operation or to any other person
within the jurisdiction of the Tribe, to take any action or cease and desist
from any action as may be required to protect the public interest.

4.19 Limitations on the Powers of the Tribal Gaming Commission.

4.19.1 The Tribal Gaming Commission shall not regulate the Tribe or any entities
of the Tribe engaged in activities other than Gaming Activities.

4.19.2 The Tribal Gaming Commission shall have no jurisdiction over Net
Revenues of Gaming once Net Revenues have been distributed to the
Tribe or to an entity of the Tribe utilizing funds for non-Gaming
Activities.

4.19.3 Individual Commissioners have no authority to act on behalf of the Tribal
Gaming Commission without the express authority of the Tribal Gaming
Commission as delegated under Section 4.18.15.

4.20 Annual Budget. The Tribal Gaming Commission shall prepare an annual

operating budget for all Tribal Gaming Commission activities and present it to the Business
Committee by October 15 of each year. The annual budget shall include the proposed licensing

19


4.14 Compensation of Commissioners. - The compensation of the Tribal Gaming
Commissioners shall be proposed by the Tribal Gaming Commission annually to the Business
Committee during review of the proposed Tribal annual budget.

4.15 Removal of Members or Vacancies,

4.15.1

4.15.2

4.15.3

4.15.4

4.15.5

Removal/Removal From Office. Members of the Tribal Gaming
Commission may be removed for cause by a two-thirds (2/3) vote of
the San Pasqual General Council at a special meeting called for that
purpose by either the Business Committee or the Tribal Gaming
Commission, provided that the member sought to be removed shall be
given written notice of the cause for removal not less than twenty (20)
days before the special meeting and is given the opportunity to
respond to the charges at the special meeting.

Temporary Suspension. If the Tribal Gaming Commission
determines that immediate suspension of a Commissioner is
necessary to protect the interests of the Tribe, the other
Commissioners may hold a hearing with the Commissioner to
suspend the Commissioner temporarily, and the question of
permanent removal shall be determined thereafter pursuant to 4.15.1.

Written Record. A written record of all removal proceedings together
with the charges and findings thereon shall be kept by the Tribal
Secretary.

Removal Final. The decision of the General Council upon the
removal of a Commissioner shall be final.

Vacancies. If any Commissioner shall die, resign, be removed or for
any reason be unable to serve as a Commissioner during the term of
the Commissioner’s appointment, the Business Committee shall
declare said Commissioner position vacant and shall appoint another
Person to fill the vacant position within thirty (30) days of the
vacancy. The term of office of any Person appointed to fill a vacancy
shall be in accordance with Section 4.11 of this Ordinance. Said
appointed Commissioner shall be appointed for the balance of any
unexpired term and shall meet the qualifications established by this
Ordinance.

4.16 Conflict of Interest. No Person shall serve as a Commissioner if he/she or any
member of his/her Immediate Family has an ownership, partnership or other direct financial
interest, other than a regular salary interest, in any Gaming Enterprise, or if he/she has any other
personal or legal relationship which places him/her in a conflict of interest.

4.17 Due Process Afforded. The Tribal Gaming Commission and its members shall
take no action to carry out its duties that fails to afford due process and protection of the Tribal
and federal rights of the parties and persons involved.

15


5.9 License Denial. Any Application for a License shall be denied if the Tribal
Gaming Commission, after an adequate review, determines the Application is incomplete or
deficient, or that the employment of the Applicant poses a threat to the Tribe, the public interest,
or the effective regulation of gaming, or creates or enhances the danger of unsuitable, unfair or
illegal practices and methods and activities in the conduct of gaming. If the foregoing
determinations about the Applicant are made, no management contractor or Tribal gaming
operation shall employ the Applicant. An applicant may request a hearing with the Commission
to present new evidence of suitability. However, the decision to grant a hearing is at the sole
discretion of the Commission. There is no right to a hearing based upon the denial of a license
application, except that enrolled tribal members, and lineal descendants of enrolled tribal
members, shall have a right to a hearing upon the denial of a license application.

5.10 Renewals. A Licensee shall petition to have the License renewed by applying to
the Tribal Gaming Commission for a renewal at least thirty (30) days before the License expires.
Applicants will be required to provide updated information as requested.

5.11 Wearing and Display of License. Licensees are required to wear their License,
in plain view at all times, while in the Gaming Facility.

5.12 License Suspension or Revocation of License.

5.12.1 Temporary Suspension or Revocation. The Tribal Gaming Commission
may suspend or revoke a License, after notice and an opportunity for a
hearing pursuant to Section 4.24 herein, for any of the following reasons:

(1) The Licensee withheld pertinent information on the Application;
(2) The Licensee made false statements on the Application;

(3) The Licensee participated in Gaming that was not authorized by any
Gaming License or regulatory approvals, and therefore deemed
illegal;

(4) The Licensee attempted to bribe a Business Committee member,
Commissioner or other Person, in an attempt to avoid or circumvent
Tribal law or relevant state or federal law pertaining to gaming on
tribal land;

(5) The Licensee offered and/or gave, either directly or through a third
party, something of value to a Tribal Gaming Commission member;

(6) The Licensee knowingly promoted, played or participated in any
Gaming operated in violation of the laws of the Tribe, Federal law,
or the laws of the jurisdiction in which such activities occurred;

(7) The Licensee is knowingly involved in the falsification of books or
records which relate to a transaction connected with the operation of
Gaming;

(8) The Licensee violated this Ordinance or the rules and regulations of
the Tribal Gaming Commission, the IGRA or the Compact;

28


3.5 Effective Date. This Ordinance and the rules, regulations, provisions,
requirements, orders, and matters established and adopted hereby shall take effect and be in full
force and effect after the adoption of this Ordinance by the General Council, and the approval by
the Chairman of the NIGC.

3.5.1 The Tribal Secretary shall certify the adoption of this Ordinance.

3.6 Amendments. This Ordinance may be amended or repealed by majority vote of
the General Council; provided, however, that the General Council shall be given at least thirty
(30) days written notice of any proposed amendments or proposed repeal.

SECTION 4. TRIBAL GAMING COMMISSION

41 Establishment. The General Council hereby charters, creates and establishes the
San Pasqual Band of Mission Indians Tribal Gaming Commission as a governmental subdivision
of the Tribe.

4.1.1 The San Pasqual Band of Mission Indians Tribal Gaming Commission
shall be referred to throughout this Ordinance as the Tribal Gaming
Commission.

4.2 Location and Place of Business.

4.2.1 Principal Place of Business. The Tribal Gaming Commission shall
maintain its principal place of business within the boundaries of the
Reservation which may include being located within the Gaming Facility.

4.2.2 Other Locations. The Tribal Gaming Commission may, establish other
offices in such other locations as the Tribal Gaming Commission may
from time to time determine to be in the best interest of the Tribe.

4.3 Duration. The Tribal Gaming Commission shall have perpetual existence and
succession in its own name, unless dissolved by the General Council pursuant to Tribal law.

4.4 Attributes. As a governmental subdivision of the Tribe, the Tribal Gaming
Commission shall conduct its affairs on behalf of the Tribe for the sole benefit and interests of
the Tribe, its members and the residents of the Reservation.

4.4.1 Arm of Tribe. In carrying out its purposes under this Ordinance, the Tribal
Gaming Commission shall function as an arm of the Tribe.

4.4.2 Tribal Actions. Notwithstanding any authority delegated to the Tribal
Gaming Commission under this Ordinance, the Tribe reserves the right to
bring suit against any Person or entity in its own right, on behalf of the
Tribe or on behalf of the Tribal Gaming Commission, whenever the Tribe
deems it necessary to protect the sovereignty, rights and interests of the
Tribe or the Tribal Gaming Commission.

10


1.2

Intent. The General Council, on behalf of the Tribe, declares that the intent of

this Ordinance is to:

13

1.2.1 Regulate, control, and oversee Gaming within the jurisdiction of the Tribe.

1.2.2 State, declare and otherwise clarify that a License related to Gaming is a
revocable privilege, not a right.

1.2.3 Ensure that the operation of tribally regulated Gaming can continue as a
means of generating Tribal revenue.

1.2.4 Ensure that Gaming is conducted fairly and honestly by both Licensees
and players, and that it remains free from corrupt, incompetent,
unconscionable and dishonest practices.

1.2.5 Encourage Tribal economic development and employment opportunities.

1.2.6 Ensure that all Gaming revenue is used for the benefit of the Tribe and its
community.

1.2.7 Ensure that the Tribe agrees to resolution of gaming disputes in a fair and
impartial forum.

1.2.8 Ensure that Tribal Gaming laws are strictly and fairly enforced upon
Persons involved in Gaming Activity within the jurisdiction of the Tribe.

Policy

1.3.1 Tribal Policy of Self-Government. The Tribe is firmly committed to the
principle of Tribal self-government. Consistent with Federal policy, Net
Revenues received by the Tribe shall be utilized and expended by the
General Council by resolution and only for the following purposes:

(1) To fund Tribal government operations or programs.

(2) To provide for the general welfare of the Tribe and its members.
(3) To promote Tribal economic development.

(4) To donate to charitable organizations.

(5) To help to fund operations of local government agencies.

(6) to make per-capita payments to members of the Tribe in
accordance with a Revenue Allocation Plan approved by the
Secretary of the Interior or his designee.

1.3.2 Tribal Gaming Policy. The establishment, promotion and operation of
Gaming is a desirable economic activity, provided that such Gaming is
regulated and controlled by the Tribe pursuant to the Compact authorized


5.3.3

5.3.5

5.3.6

5.3.7

Employees and Primary Management Officials, for purposes of
conducting a criminal history check on each Key Employee and Primary
Management Official (in addition to the check of the criminal history
records information maintained by the Federal Bureau of Investigation, as
described below), and the processing, transmission and reporting of
information and findings relating to such criminal history checks.

The Tribal Gaming Commission shall provide a written report as to
findings and conclusions of the foregoing background investigation,
including, but not limited to:

(1) _ Steps taken in conducting diligence;
(2) Results of the conducted diligence;
(3) Conclusions from review of conducted diligence; and

(4) The basis for those conclusions.

The Tribal Gaming Commission shall transmit the Applicant’s
Application, file, and eligibility determination report to the NIGC and, to
the extent required by the Compact, the California State Bureau of
Gambling Control.

The Tribal Gaming Commission shall maintain the Applicant’s file,
including applications, background investigation reports, and eligibility
determination reports, for inspection by the NIGC for no less than three
(3) years from the date of termination of employment.

The Tribal Gaming Commission, when it does not license an Applicant,
shall notify the NIGC and forward to the NIGC copies of the Tribal
Gaming Commission’s eligibility determination report and notice of
results of the Applicant’s background investigation.

In conducting a background investigation, the Tribal Gaming Commission
or its agents shall keep confidential the identity of each person interviewed
in the course of the background investigation.

5.4 Authorized Entity for Fingerprint Cards. The Tribal Gaming Commission
may contract with any entity, and authorize such entity to conduct Livescan and/or receive and
process fingerprint cards for background investigation purposes, so long as such background
investigation shall, at a minimum, include a check of criminal history records maintained by the
Federal Bureau of Investigation. The Tribal Gaming Commission, if it chooses not to contract
with any other entity, shall designate the NIGC as its authorized entity for receiving and
processing fingerprint cards for background investigation purposes, so long as such background
investigation, at a minimum, includes a check of criminal history records information maintained
by the Federal Bureau of Investigation.

25


5.1.3

according to requirements at least as stringent as those in 25 C.F.R. Parts
556 and 558.

Every Gaming Vendor that provides or receives, or is likely to provide or
receive materials or services valued at Twenty-five Thousand Dollars or
more in any twelve (12) month period from the Enterprise is required to
have a current and valid License as issued by the Tribal Gaming
Commission.

Any Financial Source is required to have a current and valid
License issued by the Tribal Gaming Commission.

(1) Exemptions: The following lenders, regardless of their
relationship to the Tribe, and regardless of whether they would
otherwise be considered a Financial Source, are exempt from the
Financial Source licensing requirements of this section: federally
or State regulated banks, savings and loan or other federally or state
regulated lending institutions, any agency of the federal, State or
local government, or any investor who, alone or in conjunction
with others, holds less than 10% of the outstanding indebtedness
evidenced by bonds issued by the Tribe.

5.2. Application Procedure.

5.2.1

5.2.2.

Submission to Tribal Gaming Commission An Applicant seeking a
License shall submit an Application to the Tribal Gaming Commission on
such form as the Tribal Gaming Commission may require.

Privacy Act and False Statement The application form shall include the
following notices:

(1) Privacy Act. In compliance with the Privacy Act of 1974, the
following information is provided: Solicitation of the information
on this form is authorized by 25 U.S.C. 2701 et seg. The purpose
of the requested information is to determine the eligibility of
individuals to be granted a gaming license. The information will
be used by the Tribal gaming regulatory authorities and by the
National Indian Gaming Commission (NIGC) members and staff
who have need for the information in the performance of their
official duties. The information may be disclosed by the Tribe or
the NIGC to appropriate Federal, Tribal, State, local or foreign law
enforcement and regulatory agencies when relevant to civil,
criminal or regulatory investigations or prosecutions or when
pursuant to a requirement by a tribe or the NIGC in connection
with the issuance, denial or revocation of a gaming license, or
investigations of activities while associated with a tribe or a
gaming operation. Failure to consent to the disclosures indicated

22


4.16
4.17
4.18
4.19
4.20
4.21

Conflict of Interest ........cccesesessessessessessecsesneseeseenesneaesnsseneereneenesueeneenenneenteneeneentenes 15
Due Process Afforded......ccesssssssessessesseseesessessecseesesnesesesreaeereneeneeseeneeseesneeatentenceatenee 15
Powers of the Tribal Gaming Commission ...........cscsssseseeseseessstentesestecsesseseensenee 16
Limitations on the Powers of the Tribal Gaming Commission...........scsesessesseeseeses 19
Annual Budget. 19
Tribal Gaming Commission Regulation: 20

4.22 Right of Entrance; Bi-Monthly Inspection

4.23 Investigation .....sccssssessescssersseesseessvesssssesssssessssecssesessecssessvesssessnecsnsescansestssnrennnecenneets 20

4.24 Due Process; Notice; Hearings; Examiner .........ccccssesessesssseeseeeeseesesssessecsseescsseansavees 21

4.25 Executive Director ......cccsssessessssseseessesesesssesssssesnsssssesssensseenseueseensseansesesseesseesesseessenees 21
SECTION 5 GAMING LICENSES .......csssssssseesssseesssseessssecssscsssecsneessecnneeauecessnnceesnnecesnsessneenss 21

5.1 Applicability 0... csessessescsessesssessneesssssssesseesseessssecsuccusenseseeanecsecsussuessseesseeaseeneess

5.2. Application Procedure

5.3
5.4
5.5
5.6
5.7
5.8
5.9
5.10
5.11

Review of License Application

Authorized Entity for Fingerprint Cards ie
Notification and MOU with NIGC ou... s..sescsesssesssssscsseessesnssnecneessssssecesscssessucssesenees 24
Scope and Types of Gaming Employee Licenses ..........::sssssssessesessseeseesnecseeseesessesees 24
Temporary Licensing.........csccsesssssesseesesseesesressesseseaeenestesesesecsesecsseciesseceseeseceeentenses 25
License Issuance, Term and Substance ..........cscsscsssssesssvssescscsescescsesuesvesvensevensseensaveee 25
License Denial .

Renewals...
Wearing and Display of License .

5.12 License Suspension or Revocation of Licens
5.13 Facility License......ccssessssesssecssescssesssssessssseessseeessnecsseesneesuesuecsuessnrecssnsecsssnesanneseaneess 27
5.14 State Gaming Agency Licensing .0.........scscsssscseesneeseesessessnesnecsecssssesvesssectsseseesveese 28
5.15 Miscellaneous Licensing Provisions .......ssscsssscsssssssessseessesssesssesssnecsssseessssveessvessveees 28
SECTION 6 BANK ACCOUNTS AND RECORDKEEPING .......ssessssstessssessssssseessessneesees 29
6.1 Bank Account ssssesssssvsswesseessusnosussinis recaitsursccenusntuseenaasanncswwiaessansverseagininauiibe Wberseaeeenene 29
6.2 Record Keeping...........:sssisossssserrsssnsvennsatvaganbeansenseonsconscncenesesoveenesenscesseseanceneuenerepoces 29
6.3 Audit Requirements ..........ccsessssessecsseseeserseesesseeseesesrestssecacsesueeecsecsecsecssessscenssesanenvens 29
6.4 Notices to the Public... .scescessecsssssesssessscsssessnecsecsnecaeeseesnesncasecaeesuucssneessuesseesneeaseens 30

ii


TABLE OF CONTENTS

SECTION 1 FINDINGS, INTENT AND POLICY .....ccssssssssesssesssessssessessssessssnesesssessnncerteessnes 1
1.1. Findings...
1.2 Intent...
1.3. Policy
SECTION 2 DEFINITIONS .svcssssssscecsnsosveacsowvesexesavansesenswesvsvsatssuvnssveusy ceesasssadobivenassseasseeous 3
SECTION 3 GENERAL PROVISIONS ...s.csssesssssessssvecesssesssecsseccuvcssneensecsnecensneecsnsecesnneessnensnees 9
BLL Authority... ceccscesssecsesssesesesseessesseesseesseesssessessuessnessessesunsasessequecsueeserecneessneeanseneennees 9
3.2 Title, Repeal of Prior Laws and Effect of Repeal.........scsscssscsesssessesesesnesessessnseseensees 9
3.3 Construction.
3.4 Severability.
3.5 Effective Date. a
3.6 Amendments......sscssovscsssveassssssonersnoenvonnighSdigh ssn gut scaanilenayasoncnnateansestehariuar nade 10
SECTION 4 TRIBAL GAMING COMMISSION ......cssssssecsessessseseessscnsssescseeessesesueesseesneenees 10
4.1 Establishment.
4.2 Location and Place of Business 10
4.3. Duration ”
4.4 Attributes ......ceseecsessecsseeseeseesscssessecsssessvecssecssecsssecseesscsssueeuesseesnesasecsvessuecsueenecnseesees 10
4.5 Recognition as a Political Subdivision of the Tribe 00... .sessessssesssneessnessesssesseeeeeee 11
4.6 Sovereign Immunity of the Tribal Gaming Commission
4.7 Waiver of Sovereign Immunity of the Tribal Gaming Commission ll
4.8 Sovereign Immunity of the Tribe
4.9 Assets of the Tribal Gaming Commission. ...........ccsscssssseseesseseeseeeneessesenneessessseennens 12
4.10 Membership
4.11 Term of Office
4.12 Meetings...
4.13 Intentionally Omitted
4.14 Compensation of Commissioners .........csssesssessessssssessecesssessecseesssestesssessseceseenseesess 15
4,15 Removal of Members or Vacancies.........secsssssssesseecsececessnesseesessssesseesseensessssecssesseces 15


45 Recognition as a Political Subdivision of the Tribe. The Tribe, on behalf of the
Tribal Gaming Commission, may take all necessary steps to acquire recognition of the Tribal
Gaming Commission as a political subdivision of the Tribe, recognized by all branches of the
United States Government as having been delegated the right to exercise one or more substantial
governmental functions of the Tribe.

4.6 Sovereign Immunity of the Tribal Gaming Commission.

4.6.1

4.6.2

4.6.3

Authority. The Tribal Gaming Commission is clothed by Federal and
Tribal law with all the privileges and immunities of the Tribe, except as
specifically limited by this Ordinance, including sovereign immunity from
suit in all State, Federal, or Tribal Courts.

No Waiver. Nothing in this Ordinance shall be deemed or construed to be
a waiver of sovereign immunity of the Tribal Gaming Commission from
suit, which shall only be waived pursuant to subsection 4.7 below.

Actions by General Council. Notwithstanding any other provision herein,
as an entity of the Tribe, the Tribal Gaming Commission’s immunity from
suit shall at all times be deemed waived for actions initiated by the
General Council of the Tribe.

4.7 Waiver of Sovereign Immunity of the Tribal Gaming Commission. The
sovereign immunity of the Tribal Gaming Commission may be waived only by express
resolution of the Tribal Gaming Commission.

4.7.1

4.7.2

4.7.3

4.7.4

Resolution Effecting Waiver. All waivers of sovereign immunity must be
preserved with the resolutions of the Tribal Gaming Commission.

Policy on Waiver. Waivers of sovereign immunity are disfavored and shall
be granted only when necessary to secure a substantial advantage or
benefit to the Tribal Gaming Commission.

Limited Nature of Waiver. The Tribal Gaming Commission shall have
neither the authority nor the ability to enter into any waiver of sovereign
immunity except as to the Tribal Gaming Commission as set forth in this
Ordinance. Waivers of sovereign immunity shall not be general but shall
be specific and limited as to duration, grantee, transaction, property or
funds, if any, of the Tribal Gaming Commission subject thereto, court
having jurisdiction pursuant thereto and law applicable thereto. All
waivers of immunity issued by the Tribal Gaming Commission shall
expressly state that the waiver does not extend to the Tribe or any entity of
the Tribe other than the Tribal Gaming Commission.

Limited Effect of Waiver. No express waiver of sovereign immunity
issued in accordance with this section shall be deemed a consent to the
levy of any judgment, lien or attachment upon property of the Tribal
Gaming Commission other than property specifically pledged or assigned,
or a consent to suit in respect of any land within the exterior boundaries of

11


TRIBAL GAMING ORDINANCE
OF THE

SAN PASQUAL BAND OF MISSION INDIANS

REGULATION OF CLASS II AND CLASS III GAMING

A law to authorize, license and regulate the conduct of Class II and Class III Gaming
within the jurisdiction of the SAN PASQUAL BAND OF MISSION INDIANS.

SECTION 1. FINDINGS, INTENT AND POLICY

1.1 Findings. The SAN PASQUAL BAND OF MISSION INDIANS (“Tribe” or
“Tribal’”) through its General Council finds that:

1.1

Tribal regulation and control of Gaming within the jurisdiction of the
Tribe is essential for the protection of public health and welfare of the
Tribe and visitors to the Tribal community.

The Tribe has the legal authority to license and regulate all Gaming
Activity within the jurisdiction of the Tribe.

Properly licensed and regulated Gaming is in conformance with
announced Federal policy promoting Indian self-government and Indian
Tribal economic self-sufficiency.

It is essential that the Tribe regulate Gaming in a manner commensurate
with applicable Federal, State and Tribal law and policy.

The present needs of the Tribe are not adequately addressed by State and
Federal programs including the need for increased employment, training,
housing, health care, nutrition, educational opportunities, preservation of
culture, social services and community and economic development.

Tribal operation and licensing of Gaming is a legitimate means of
generating revenue to address the aforementioned needs and pursuing the
Tribe’s goals of self-sufficiency and self-determination.

The State of California, in recognition of the Tribe’s sovereign right and
need for Gaming, has entered into a Tribal-State Compact with the Tribe
(“Compact”) pursuant to the terms and conditions of the Indian Gaming
Regulatory Act of 1988, 25 U.S.C. §§2701 et seq. (1988) (“IGRA”).

As a result of the foregoing, the adoption of a new and expanded Gaming
Ordinance is in the best interest of the Tribe and State.


other witness with respect to any matters related to this Ordinance, and
according to the requirements of this Ordinance, including enforcement
of Tribal Gaming laws, regulations, and policies, and to compel by
subpoena the attendance of witnesses and the production of any books,
records, and papers with respect thereto. The Commission may compel
any person employed by or doing business with the Gaming operation to
appear before it and to provide such information, document or other
material as may be in their possession to assist in any such investigation.

4.18.11 To direct an examination or investigation, according to the requirements
of this Ordinance, of the place of business, equipment, facilities, tangible
Personal property and the books, records, papers, vouchers, accounts,
documents and financial statements of any Gaming operating, or
suspected to be operating, within the jurisdiction of the Tribe.

4.18.12 To delegate to an individual member of the Tribal Gaming Commission,
such of its functions as may be necessary to administer this ordinance
efficiently; provided, that the Tribal Gaming Commission may not re-
delegate its power to exercise any of the substantial governmental
functions of the Tribe or its power to promulgate rules and regulations;
and provided further that the Tribal Gaming Commission may not
delegate to any Person the power to permanently revoke a License.

4.18.13 To issue fines and sanctions to the Gaming Facility if it is operating in
violation of this Ordinance, and report significant violations of the
Compact to the State Gaming Agency.

4.18.14 To use the seal of the Tribal Gaming Commission.

4.18.15 To negotiate or settle any dispute to which it is a party relating to the
Tribal Gaming Commission's authorized activities.

4.18.16 To purchase insurance from any stock or mutual company for any
property or against any risk or hazard, in accordance with the approved
annual budget.

4.18.17 To require the filing of any records, forms, and reports and all other
information required by this Ordinance or by applicable law.

4.18.18 To provide for an internal system of record keeping and storage of said
records with adequate safeguards for preserving confidentiality as
deemed necessary by the Tribal Gaming Commission for retaining
records, forms and reports for at least five (5) years.

4.18.19 The Tribal Gaming Commission may waive any fee charged for Licenses

or background investigations, if it believes that such a waiver of fees is in
the best interest of the Tribe.

17


Z.
3 %
* *
5 $
?
VE comn’
June 9, 2015
BY FIRST-CLASS MAIL
and E-MAIL

Allen E, Lawson, Tribal Chairman

San Pasqual Band of Dieguefio Mission Indians
P.O. Box 365

27458 N. Lake Wohlford Road

Valley Center, California 92082

Re: Tribal Gaming Ordinance of the San Pasqual Band of Mission Indians
Amended and Adopted by Resolution SP 041215-02

Dear Chairman Lawson:

This letter responds to your request on behalf of the San Pasqual Band of Dieguefio
Mission Indians (Tribe) for the National Indian Gaming Commission (NIGC) to review and
approve the Tribe’s amended gaming ordinance.

The amended gaming ordinance was adopted on April 12, 2015 by San Pasqual Band of
Mission Indians Resolution SP 041215-02. Because the Tribe’s gaming ordinance was last
approved in 2000 and had not been amended since then, the ordinance has been amended to
comply with current NIGC regulations.

Thank you for bringing the amendments to our attention and for providing us with a
copy. As they are consistent with the requirements of the Indian Gaming Regulatory Act and the
NIGC’s regulations, the amendments are approved. If you have any questions, please feel free to
contact Armando Acosta, Senior Attorney, at 202-632-7003.

Sincerely, WA

fonodev O. Chaudhuri
Chairman

ec: Glenn M. Feldman, Esq. (via email: GFeldman@dickinsonwright.com)
Justin Quisquis, SPTGC Chairman (via email: JQuisquis@sptgc.com)

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

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa OK; Oklahoma City, OK
WWW.NIGC.GOV


2.7. “Cash” means any currency commonly accepted as legal tender, including but
not limited to currency, traveler’s checks, credit cards, and electronic debit cards.

2.8 | “Casino” means an establishment in which one or more Gaming activities or
enterprises are operated.

2.9 “Charitable Gaming Ticket” means any game piece used in the play of a paper
pull tab game, or jar ticket game, or raffle.

2.10 “Cheating” means a Person’s operating or playing in any game in a manner in
violation of the written or commonly understood rules of the game, with the intent to create for
himself or someone in privity with him an advantage over and above the chance of the game.

2.11 “Class Il Gaming” means those Gaming activities defined as Class II Gaming in
the IGRA.

2.12 “Class III Gaming” means those Gaming activities defined as Class III Gaming
in the IGRA.

2.13 “Compact” means the Gaming Compact between the Tribe and the State, as
authorized by the Indian Gaming Regulatory Act.

2.14 “Compensation” means all wages salaries, perks, bonuses and all other forms of
remuneration for services rendered.

2.15 “Contract” means any legally binding agreement made between a Licensee and
another Person for the purpose of conducting any form of lawful Gaming Activity, or providing
goods or services to any lawful Gaming Activity Facility or operation.

2.16 “Council” or “General Council” means the governing body of the Tribe.

2.17 “Determination of Suitability” means a formal finding by the Tribal Gaming
Commission or State Gaming Agency that the Applicant or Licensee is suitable to obtain and/or
maintain a License.

2.18 “Employee” means any person who (a) operates, maintains, repairs, assists in any
Gaming Activity, works in, or is in any way responsible for supervising such Gaming Activities
or persons who conduct, operate, account for, or supervise any such Gaming Activity, (b) is in a
category under federal or Tribal gaming law requiring licensing, (c) is an employee of the Tribal
Gaming Commission with access to confidential information, or (d) is a person whose
employment duties require or authorize access to areas of the Gaming Facility that are not open
to the public.

2.19 “Enrolled Tribal Member” means a Person who is enrolled with the Tribe, and
whose name appears on the tribal membership roll.

2.20 “Enterprise” means the economic entity that is licensed by the Tribal Gaming
Commission, operates the games, receives the revenues, issues the prizes, and pays the expenses.
A gaming enterprise may be operated by the Tribe or a Management Contractor.


by the IGRA, and that the Net Revenues received by the Tribe from
Gaming are used exclusively for the benefit of the Tribe.

1.3.3 Tribal Ownership of Gaming Facility. The Tribe shall have sole
proprietary interest in and responsibility for the conduct of Gaming
Facilities and/or Enterprises authorized by this Ordinance.

1.3.4 Tribal Class II Gaming Authorized. Class II Gaming is authorized as
defined in the IGRA and by regulations promulgated by the National
Indian Gaming Commission (“NIGC”).

1.3.5 Tribal Class III Gaming Authorized. Class III Gaming is authorized and
permitted only with respect to the games identified pursuant to Section 4.1
of the Compact, and played in accordance within the definitions and scope
of the IGRA.

SECTION 2. DEFINITIONS

In this Ordinance, except where otherwise specifically provided or the context otherwise
requires, the following terms and expressions shall have the following meanings:

2.1 “Adjusted Gross Revenues” means gross revenues less all cash prizes or the
aggregate price of merchandise prizes, except in the case of the games of poker. Regarding
games of poker, “adjusted gross revenues” means the time buy-ins or tournament fees collected
by the Licensee.

2.2. “Applicant” means any Person or entity who has applied for a License under the
provisions of this Ordinance.

2.3. “Application” means a request for the issuance of a License for employment at a
Gaming Facility, or for approval of any act or transaction for which approval is required or
permitted under the provisions of this Ordinance.

2.4 “Association” means representatives from California tribes, the California State
Bureau of Gambling Control and the California Gambling Control Commission as established
pursuant to Section 2.2 of the Compact.

2.5 “Bingo” means the game of chance commonly known as bingo (whether or not
electronic, computer or other technologic aids are used in connection therewith) which is played
for prizes, including monetary prizes, with cards bearing numbers or other designations, in which
the holder of each card covers such numbers or designations when objects, similarly numbered
or designated, are drawn or electronically determined, and in which the game is won by the first
Person covering a previously designated arrangement of numbers or designations on such cards,
including (if played in the same location) pull-tabs, lotto, punch boards, tip-jars, instant bingo
and other games similar to bingo.

2.6 “Capital Cost” means any disbursement for personal property, the useful life of
which is expected to extend beyond one year.


8.7 Reporting of Offenders, The Tribal Gaming Commission, upon final conviction
of any Person under this subsection, shall report the name of the Person convicted to the State
Gaming Agency and NIGC.

SECTION 9. GAMING MANAGEMENT

9.1 Rules and Regulations for Management. The Tribal Gaming Commission
shall, with the input and suggestions of Primary Management Officials, promulgate rules and
regulations or specifications governing the following subjects:

9.1.1

9.1.2
9.1.3

9.1.7

The enforcement of all relevant laws and rules with respect to the Gaming
Operation and the Facility;

Ensuring the physical safety of Enterprise patrons and Employees;

The physical safeguarding of assets transported to, within, and from the
Gaming Facility;

The prevention of illegal activity from occurring within the Gaming
Facility including employee procedures and surveillance;

The recording of occurrences that deviate from normal operating policies.

The establishment of employee procedures designed to permit detection of
any irregularities, theft, cheating, fraud, or other form of stealing;

Maintenance of a list of persons barred from the Gaming Facility;

SECTION 10. PROCEDURES FOR RESOLVING DISPUTES BETWEEN THE
GAMING PUBLIC AND GAMING MANAGEMENT

10.1 General Principles. The Tribe values its customers and intends, at all times, to
see that questions, concerns, issues, and/or disputes raised by the gaming public are addressed in
a fair and orderly manner.

10.2 Initial Dispute Resolution Procedure.

10.2.1 Members of the gaming public who, in the course of their otherwise

lawful and proper use of the Tribe’s gaming facilities, have questions or
concerns about the operation of any Gaming Activity, or who otherwise
believe themselves to be aggrieved by some aspect of the operation of any
Gaming Activity (but not including a tort claim alleging personal injury or
property damage), shall direct their questions, concerns, or disputes
(hereinafter collectively “disputes”) in the first instance to gaming
management at the Gaming Facility, either orally or in writing.

36


(8)

(9)

(10)

ay

(12)
(13)

(14)

related to gaming, whether or 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 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 a conviction, if such criminal charge is within 10
years of the date of the application and is not otherwise listed
pursuant to subparagraphs (8) or (9) of this subsection, 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;

A photograph;

Any other information the Tribal Gaming Commission deems
relevant; and

Fingerprints consistent with procedures adopted by the Tribal
Gaming Commission under this Ordinance.

5.3. Review of License Application. The Tribal Gaming Commission shall
thoroughly review and conduct a background investigation for each Tribal Gaming License
Application sufficient to make a determination of eligibility as required under this Ordinance.
The Tribal Gaming Commission’s review and background investigation shall include, but is not

limited to the following:

5.3.1 Each Applicant shall submit to Live Scan fingerprinting conducted by the
Tribal Gaming Commission.

5.3.2. The Tribal Gaming Commission shall diligently review the information
provided in the Tribal Gaming License Application, including, but not
limited to, contacting and investigating resources identified in the Tribal
Gaming License Application, An authorized Commission official,
identified by the Tribal Gaming Commission, shall review an Applicant’s
prior activities, criminal record (if any), reputation, habits, and
associations in order to make an eligibility determination for Key

24


5.2.3

5.2.4

in this notice will result in a tribe’s being 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 an SSN may result in errors in
processing your application.

(2) False Statement. A false statement on any part of your license
application may be grounds for denying a license or the suspension
or revocation of a license. Also, you may be punished by fine or
imprisonment (U.S. Code, title 18, section 1001).

Submission to State Gaming Agency. To the extent required by the
Compact, the Applicant shall also submit an application for a
Determination of Suitability along with required releases to the State
Gaming Agency.

Key Employees and Primary Management Officials. Each applicant for a
Key Employee or Primary Management Official Gaming License shall
provide the following information as part of the application process:

(1) Full name, other names used (oral or written), social security
number(s), birth date, place of birth, citizenship, gender, all
languages (spoken or written):

(2) Currently and for the previous five years: Business and
employment positions held, ownership interests in those
businesses, business and residence addresses, and driver’s license
numbers;

(3) | The names and current addresses of at least three personal
references, including one personal reference who was acquainted
with the applicant during each period of residence listed under
subparagraph (2) of this subsection;

(4) Current business and residence telephone numbers;

(5) A description of any existing and previous business relationships
with Indian tribes, including ownership interests in those
businesses;

(6) A description of any existing and previous business relationships
with the gaming industry generally, including ownership interests

in those businesses;

(7) The name and address of any licensing or regulatory agency with
which the person has filed an application for a license or permit

23


SECTION 7 GAMING ENTERPRISE RESTRICTIONS AND COMPLIANCE ..........0..4:.30

7.1 Number of Facilities ..........ssscsssssssnes sists desi Ston sss opisa wlpanventiagunsteoasasveausoavapeuanvets 30
7.2 Gaming Device Restrictions.
7.3 Age Restrictions
TA Methods of Payment... csessssssesessecesecneeresesseeesseevessacsesveessesnsaesectsaeseacseensaseveees 31
7.5 Compliance Requirement..........sccscsssesssecsssevecsessessvessessesssesnsessnecsueesaesseseseesneeseesee 31
7.6  Miscellaneous..........s.sssssessssessorsseserenvoseandstittniusnastastnenicsnssbuusvasabisnssctasistevsecussssies 31
SECTION 8 ENFORCEMENT.......scssssessssvesssseesesssesesssessessressseesnsesneecnseessanecennnecesneesnessnesenee 31
8.1 Jurrisdiction...........scscsvescssaresosonsenscannesznvesinsetesonbavinanenssresoniansise bosweniawesbiindctausssiet esses 31
8.2 Prohibited Acts ........csessescscovesososbsvaissnssauvssuisvanssvusaiessvswssiessoessessensesesssel castes estes vests 31
8.3 Cumulative Fines....... ssscsssswwscsesvsssvecsvessaveysvassnverscuneseastevapateesnslcastaiasiountasesvspesesgsyiecees 33
8.4 Purpose of Civil Penalties. .
8.5 Civil Action for Penalties . 33
8.6 Seizure and Forfeiture of Property .. “0
8.7 Reporting of Offenders.........cecsecssessssesssessesssessessnsneessesecenseseeaneseesecsnecsuesseseneennecseess 33

SECTION 9 GAMING MANAGEMENT

9.1

Rules and Regulations for Management.

SECTION 10 PROCEDURES FOR RESOLVING DISPUTES BETWEEN

THE GAMING PUBLIC AND GAMING MANAGEMENT ........0.ee0001.34

10.1 General Principles. sssssssssvecssisessevawssccoasucaavesavwsesvesuepeadsavsasiupaecteevihioerieiuRGeGT ono 34
10.2 Initial Dispute Resolution Procedure........ccccssestssssssesssestesessessnssseesessseaeeseensenesees 34
10.3 Formal Dispute Resolution Procedure...........ssesssssessssseessesesssessresseeesnecsneqaeenneeneeenees 35

iti


4.11

4.12

4.13

(2) He/She has been convicted of or entered a plea of nolo contendere
to a felony of any jurisdiction or to a misdemeanor involving
dishonesty or moral turpitude in any jurisdiction; or

(3) He/She has a direct monetary or financial interest in the conduct of
any Gaming Enterprise or is in privity with a Management
Contractor.

Term of Office. Commissioners shall be appointed for a three (3) year term of
office, in staggered terms; provided, however, that a Commissioner shall remain in office until
either that Commissioner is reappointed or his or her successor is seated. Commissioners may be
reappointed by the Business Committee prior to the expiration of their current term without
reapplying for an appointment to the Commission.

4.11.1

4.11.2

Subsequent Appointment of Commissioners. The terms of Commissioners
shall be staggered. Commissioners shall be appointed by resolution, and
their appointment shall be confirmed by a letter from the Business
Committee, which letter shall specify the term the Commissioner is
appointed to serve.

Appointment of Officers. The Commissioners shall select from among
themselves the Chairperson, Vice-Chairperson, and Secretary/Treasurer.

Meetings.

4.12.1

4.12.2

4.12.3

4.12.4

Regular Meetings. The Tribal Gaming Commission shall meet weekly or
as necessary. Nothing in this Ordinance shall prohibit the Commission
from authorizing off-site meetings.

Special Meetings. Special meetings may be called at the request of the
Chairperson, or by a majority of the Tribal Gaming Commission or by the
Executive Director, provided that (i) each Commissioner is provided at
least twenty-four (24) hours notice of the special meeting, or (ii) all
members of the Commission are present (or present by telephone or other
electronic means if so authorized).

Quorum. A quorum for all meetings shall consist of three (3)
Commissioners. The Chairperson shall count towards the quorum.
Members present by telephone or other electronic means shall count
towards a quorum.

Voting. All questions arising in connection with the actions of the Tribal
Gaming Commission shall be decided by majority vote of those present at
the meeting:

Intentionally Omitted.

14


(3) The denial by the State Gaming Agency is based on reasons that
antedate the filing of the Person’s initial application to the State
Gaming Agency;

(4) The Person is not an Employee of another Gaming Enterprise;

5.15 Miscellaneous Licensing Provisions. No License shall be sold, lent, assigned or
otherwise transferred.

SECTION 6. BANK ACCOUNTS AND RECORDKEEPING

6.1. Bank Account. The Enterprise shall open one or more bank accounts for the
Enterprise and/or the Tribe and all receipts of each Gaming Activity shall be deposited in the
account.

6.2 Record Keeping. Accounting records of the Gaming, Enterprise, and Facility
shall be kept on a double entry system of accounting, maintaining detailed supporting and
subsidiary records. The Enterprise shall maintain the following records for not less than three (3)
years:

6.2.1 Revenues, expenses, assets, liabilities and equity for each location at
which Class II and Class III Gaming is conducted.

6.2.2 Daily cash transactions for Gaming, including but not limited to
transactions relating to each Gaming table, game drop box and game room
bank.

6.2.3. All markers, IOU’s, returned checks, hold checks or other similar credit
instruments.

6.2.4 Individual and statistical game records to reflect statistical drop and
statistical win for electronic, computer, or other technologically assisted
games.

6.2.5 Contracts, correspondence and other transaction documents relating to all
Gaming Vendors.

6.2.6 Records of all patron disputes and Tribal Gaming enforcement activities.

6.2.7 All gaming related audits prepared by or on behalf of the Tribe or one of
its subdivisions.

6.3 Audit Requirements.

6.3.1 The Tribe’s gaming operations shall be audited not less than annually by
an independent certified public accountant. The independent audit shall
comply with all requirements of IGRA and the Compact. The certified
public accountant shall be selected y the Tribal Gaming Commission, but
the costs of the audit shall be borne by the Enterprise.

31


6.4

SECTION 7.

7A

7.2

73

6.3.2 The Tribal Gaming Commission shall provide a copy of an annual
independent audit to the Enterprise, the Business Committee and the
National Indian Gaming Commission.

6.3.3. Each contract between the Enterprise and another Person for supplies,
services (other than legal and accounting services) or concessions for a
contract amount in excess of Twenty-five Thousand Dollars ($25,000)
annually shall be subject to an independent audit.

Notices to the Public. The Gaming Facility shall post in a conspicuous location
near each game an explanation of the rules of play of every game operated or
shall otherwise provide the public with such an explanation.

GAMING ENTERPRISE RESTRICTIONS AND COMPLIANCE
Number of Facilities.

7.1.1 The Tribe may establish and operate not more than two Gaming Facilities,
and only on those lands on which Gaming may lawfully be conducted
under IGRA.

7.1.2 The Tribe may combine and operate in each Gaming Facility any forms
and kinds of Gaming permitted under the Compact, IGRA and this
Ordinance.

Gaming Device Restrictions.

7.2.1 Number of Class II] Gaming Devices, The Tribe may offer no more than
the number of Class III Gaming Devices allowed pursuant to the Compact.

7.2.2 Transferability of Devices. The Gaming Enterprise, or any Licensee, is
prohibited from selling, renting or lending Gaming Devices to any Person
without prior written approval of the Tribal Gaming Commission.

7.2.3, Transportation of Devices. Transportation of a Gaming Device to or from
the Gaming Facility shall be done in conformity with the requirements of
the Compact.

Age Restrictions.

7.3.1 No Person under the age of Eighteen (18) shall be employed by the
Gaming Facility, Management Contractor or the Tribal Gaming
Commission.

7.3.2. No Person under Twenty-one (21) years of age shall be employed in the
full time service of alcoholic beverages at the Gaming Facility.

32


fees (including the Facility License fee) for the year. The annual budget shall not be effective
until approved by the General Council. In the event the annual budget is not approved by the
General Council by the beginning of the Tribal Gaming Commission’s new fiscal year, the
Tribal Gaming Commission may continue to operate under the annual budget for the preceding
fiscal year.

4.21 Tribal Gaming Commission Regulations.

4.21.1 Tribal Gaming Commission regulations necessary to carry out the orderly
performance of its duties and powers shall include, but shall not be limited
to, the following:

(1) The Minimum Internal Control Standards (“MICS”) as adopted by
the Tribal Gaming Commission;

(2) Interpretation and application of this Ordinance, as may be necessary
to enforce the Tribal Gaming Commission's duties and exercise its
powers,

(3) A regulatory system for overseeing Gaming, including accounting,
contracting, management and supervision;

(4) The findings of any reports or other information required by or
necessary to implement this Ordinance; and

(5) The conduct of inspections, investigations, hearings, enforcement
actions and other powers of the Tribal Gaming Commission
authorized by this Ordinance.

4.21.2 No regulation of the Tribal Gaming Commission shall be of any force or
effect unless it is adopted by the Tribal Gaming Commission by written
resolution.

4.22 Right of Entrance; Bi-Monthly Inspection. The Tribal Gaming Commission
and duly authorized officers and employees of the Tribal Gaming Commission, at any time, may
enter upon any premises of any Gaming Facility for the purpose of making inspections and
examining the accounts, books, papers and documents of any such Gaming Facility or Licensee.
The Gaming Facility staff shall facilitate such inspection or examinations by giving every
reasonable aid to the Tribal Gaming Commission, Executive Director, and to any properly
authorized officer or employee.

4.23 Investigation. The Tribal Gaming Commission, upon complaint or upon its own
initiative or whenever it may deem it necessary in the performance of its duties or the exercise of
its powers, may investigate and examine the operation and premises of any Person or Licensee
within its jurisdiction. In conducting such investigation, the Tribal Gaming Commission shall
make no order or final decisions without affording any affected party due process, notice and a
hearing unless exigent circumstances exist or to immediately protect the health, welfare and
safety of any person.

20


NOW THEREFORE BEIT RESOLVED by the San Pasqual General Council that:

1. The form of "Tribal Gaming Ordinance of the San Pasqual Band of
Mission Indians" presented to the General Council on April 12, 2015 is hereby
approved.

2. The Tribal Spokesman and the Tribal Gaming Attorney are hereby
authorized to submit this Ordinance to the Chairman of the National Indian
Gaming Commission for review andapproval.

P.O. Box 365 « 27458 N. LAKE WOH2 FORD Ro., VALLEY CENTER, CA 92082
PHONE 760-749-3200 « FAX 760-749-3876 * WWW.SANPASQUALINDIANS.ORG


10.2.2 Concerns or disputes shall be raised as soon as reasonably possible after

10.2.3

the events giving rise to the dispute occur; however, no dispute may be
raised more than ten (10) calendar days after said events take place.

Gaming management shall develop formal written administrative
procedures for the processing of patron complaints and disputes, which
procedures shall be finalized only after Gaming Commission review and
approval. The final procedures shall include the following minimal
requirements: Upon learning about a dispute, gaming management shall
expediently and informally gather sufficient facts to make an initial
determination about the dispute (i.e. whether the dispute has any merit,
whether further investigation is required, whether to take any corrective
action, etc.). Gaming management shall conduct an investigation, if
appropriate and inform the complainant, either orally or in writing, about
its initial determination as soon as is reasonably practicable. At that time,
if the complainant indicates that he or she has additional concerns or is not
satisfied, gaming management shall schedule an informal hearing, if
practical and appropriate, and thereafter inform the complainant of its final
determination and inform the complainant that if they are dissatisfied with
the final determination they may file an appeal with the Tribal Gaming
Commission.

10.3 Formal Dispute Resolution Procedure.

10.3.1

10.3.2

10.3.3

Complainants who have followed the initial dispute resolution procedure,
and who are unsatisfied with gaming management’s initial determination,
may appeal that determination in writing to the Tribal Gaming
Commission no later than five (5) days after being informed about the
initial determination.

The Tribal Gaming Commission may investigate the dispute in any
manner it chooses. The Commission shall offer the complainant a fair
opportunity to be heard in person or through counsel about the dispute,
either before or after it makes its own inquiries. The complainant’s
opportunity to be heard shall take place within thirty (30) days after the
Commission receives the complainant’s written appeal.

After investigating (if it chooses to do so), and within thirty (30) days after
affording the complainant an opportunity to be heard, the Tribal Gaming
Commission shall issue a written opinion on the complainant’s appeal, and
shall mail a copy of the opinion to the complainant at his/her last known
address. The decision of the Gaming Commission shall be final.

37


2.36.3 If not otherwise included, the four most highly compensated persons
employed by the Gaming Facility and / or Enterprise.

2.36.4 Any other person designated by the tribe as a key employee.

2.37 “License” means the official, legal and revocable permission granted by the
Tribal Gaming Commission to an Applicant to conduct "Licensed" Gaming Activities of the
Tribe.

2.38 “Licensee” means the Employee, Key Employee, Primary Management Official,
Financial Source, Vendor, Enterprise or Facility that has legitimately obtained a valid License.

2.39 “Lotto” means a form of Gaming in which the revenues derived from the sale of
tickets or chances are pooled and those revenues or parts thereof allotted by chance to one or
more chance takers or ticket purchasers. The amount of cash prizes or winnings is determined
by the Licensee conducting the "lottery," and a progressive pool is permitted.

2.40 “Management Contract” means any Contract for the management of Class II or
Class II] Gaming within the meaning of IGRA and any Contract entered between the Tribe and a
Vendor, which authorizes the Vendor to manage any Gaming or Gaming Facility, including any
Contract defined as a Management Contract under IGRA by the NIGC.

2.41 “Management Contractor” means any Person or entity who has entered into a
Class II or Class II Gaming Management Contract or is a Vendor who is authorized to manage
Gaming or Gaming Facility, including any Person who is deemed to be a Management
Contractor within the meaning of IGRA by the NIGC.

2.42 “National Indian Gaming Commission” or “NIGC” means the National Indian
Gaming Commission established by the IGRA.

2.43 “Net Revenues” means “Net Revenues” as defined in Section 2703 (9) of IGRA.

2.44 “Ordinance” means this Tribal Gaming Ordinance of the San Pasqual Band of
Mission Indians, as amended.

2.45 “Participate” in any Gaming means operating, directing, financing or in any way
assisting in the establishment or operation of any class of Gaming or any site at which such
Gaming is being conducted, directly or indirectly, whether at the site in Person or off of the
Reservation.

2.46 “Person” means any individual, partnership, joint venture, corporation, joint
stock company, company, firm, association, trust, estate, club, business trust, municipal
corporation, society, receiver, assignee, trustee in bankruptcy, political entity and any owner,
director, officer or employee of any such entity or any group of individuals acting as a unit,
whether mutual, cooperative, fraternal, nonprofit, or otherwise, the government of the Tribe, any
governmental entity of the Tribe or any of the above listed forms of business entities that are
wholly owned or operated by the Tribe; provided, however, that the term does not include the
Federal Government and any agency thereof.


2.59 “Tribal Gaming Agency” means the tribal agency, under the control of the
Tribal Gaming Commission, that exercises the civil regulatory authority of the Tribe over the
Class II and Class III gaming activities of the Tribe.

2.60 “Tribe” means the San Pasqual Band of Mission Indians, including the Authority
and any other political subdivision, agency or instrumentality of the Tribe.

2.61 “Wager” means a bet made in any Game of Chance.

SECTION 3. GENERAL PROVISIONS

3.1. Authority. This Ordinance is enacted pursuant to the sovereign powers of the
Tribe pursuant to Article IV, Section 1, of the Tribal Constitution, and pursuant to the powers of
the General Council under Article VIII, Section 1 of the Tribal Constitution.

3.2 Title, Repeal of Prior Laws, Effect of Repeal and Technical Amendments.
This Ordinance may be cited as the San Pasqual Band of Mission Indians Gaming Ordinance or
“Tribal Gaming Ordinance”.

3.2.1 Any prior tribal gaming ordinances that are in effect as of the date that this
Ordinance becomes operative are hereby repealed, and all other laws, or
parts thereof, inconsistent with the provisions of this Ordinance are hereby
repealed.

3.2.2 Repeal of this Ordinance, or any portion thereof, shall not have the effect
of reviving any prior Law, Ordinance, or Resolution theretofore repealed
or suspended.

3.2.3 If the National Indian Gaming Commission or the State Gaming Agency
should revise or amend any definition or technical standard that is
incorporated into this Ordinance, the Tribal Gaming Agency, with the
approval of the San Pasqual Business Committee, shall be authorized to
amend this Ordinance to make the corresponding revision or amendment
to this Ordinance.

3.3. Construction. In construing the provisions of this Ordinance, unless the context
otherwise requires, the following shall apply:

3.3.1 This Ordinance shall be liberally construed to affect its purpose and to
promote substantial justice.
3.3.2 Words in the present tense include the future and past tenses.

3.3.3 Words in the singular number include the plural, and words in the plural
number include the singular.

3.3.4 Words of the masculine gender or neuter include masculine and feminine
genders and the neuter.

3.4 Severability. If any section of this Ordinance is invalidated by a court of
competent jurisdiction, the remaining sections shall not be affected thereby.


CERTIFICATION

The foregoing resolution was duly adopted at a meeting of the General Council of the
San Pasqual Band of Mission Indians held on April 12,2015, a quorum being present, by a
majority vote of / / Cor", © "against", © "abstaining", and said Resolution has not
been rescinded or amended in any way.

Victoria Diaz, Vice Ee

hited Lift

David L. Toler, Delegate

leven W. Cope, Delegate

PHOENIX 53549-1 210846v1

P.O. Box 365 » 27458 N. LAKE WOHBFORD RD., VALLEY CENTER, CA 92082

PHONE 760-749-3200 * FAX 760-749-3876 » WWW.SANPASQUALINDIANS.ORG



5.13 Facility License. Each Gaming Facility authorized by the Compact and this
Ordinance shall be separately licensed by the Tribal Gaming Commission.

5.14

5.13.1 A Facility License shall be issued if the following criteria are met:

(1)

(2)

(3)

(2)

The Tribal Gaming Commission has determined, based on the
reports of qualified inspectors and a review by the Tribal Gaming
Commission of all relevant contracts and operational policies and
procedures, including safety manuals and _intergovernmental
agreements relating to environmental protection, health, safety and
emergency services, that the Gaming Facility has been constructed
and shall be maintained and operated in a manner that adequately
protects the environment and the public health and safety.

The construction, expansion, or modification of the Facility shall
meet the requirements of the applicable Building and Safety Code.

The construction, expansion or modification of the Facility shall
meet the standards of the federal Americans with Disabilities Act.

Upon a determination that the building meets all applicable health
and safety standards, and upon the inspection that all Gaming
controls that are necessary to insure the integrity of the Gaming are
in place, the Tribal Gaming Commission shall issue to the Facility a
Certificate of Occupancy, which shall be reissued upon similar
inspections every two years.

5.13.2 Upon the issuance of a Facility License, the Tribal Gaming Commission
shall forward a copy the License to the State Gaming Agency within ten
(10) days of issuance, and to the NIGC within thirty (30) days of issuance.

5.13.3 The Facility License shall be posted in a conspicuous and public place in
the Facility at all times.

State Gaming Agency Licensing.

5.14.1 Except as provided in Sections 5.14.2 below, the Enterprise will not
employ or contract with any Person whose application to the State Gaming
Agency for a determination of suitability has been denied.

5.14.2 Notwithstanding Section 5.14.1, the Enterprise may employ a Person
whose application for a determination of suitability has been denied by the
State Gaming Agency if:

103)
2)

The Person is an Enrolled Member of the Tribe;

The Person holds a valid and current Tribal License;

30


4.18.20 To adopt a schedule of fees for services rendered relating to transcripts
and the furnishing or certifying of copies of proceedings, files, and
records.

4.18.21 To conduct or arrange for background investigations of all Applicants.

4.18.22 To discipline any Licensee or Person participating in Gaming after
affording the individual due process and conducting an investigation that
results in a showing of a reasonable likelihood of noncompliance with
this Ordinance by said Licensee or Person participating in Gaming, by
ordering immediate compliance with this Ordinance and give notice of
the potential for temporary suspension of said License. If necessary and
appropriate and after providing adequate notice to said Licensee or
Person participating in Gaming, to thereafter issue an order of temporary
suspension of any License issued under this Ordinance and in accord with
the procedures set forth in this Ordinance.

(ly

In exigent circumstances wherein the health or safety of any
individual Licensee, patron, Tribal Member, or other is at risk, or
where significant financial damage would be likely to occur in the
absence of immediate action, to discipline any Licensee or Person
participating in Gaming by ordering immediate compliance with
this Ordinance, and to simultaneously issue an order of immediate
temporary suspension of any License issued under this Ordinance
and in accord with the procedures set forth in this Ordinance. In
such a case, thereafter to hold a noticed hearing and conduct a
complete investigation of said circumstances and Licensee or
Person participating in Gaming. Upon completion of the
investigation, which shall be conducted and completed within a
reasonable time, to issue such findings and orders as appropriate
based upon the results of the investigation.

4.18.23 To issue an order of temporary closure of a Gaming Facility in the event
the Tribal Gaming Commission determines that immediate closure is
necessary to protect public safety and Gaming assets pursuant to the due
process and hearings required by this Ordinance.

4.18.24 To become self-regulating whenever the Tribe becomes eligible for a
certificate of self-regulation under the IGRA.

4.18.25 To file with the State Gaming Agency a request to be heard on any denial
of a Determination of Suitability.

4.18.26 If deemed necessary and appropriate, to ask for the assistance of the State
Gaming Agency to carry out the Class III provisions of this Ordinance
and to reimburse the State Gaming Agency for any costs that it incurs in
the provision of this service.

18


TRIBAL COUNCIL

Allen E. Lawson
Chairman

Victoria Diaz
Vice-Chair

Tilda M. Green
Secretary-Treasurer

David L. Toler
Delegate

Stephen W. Cope
Delegate

SAN PASQUAL BAND OF MISSION INDIANS

SAN PASQUAL RESERVATION

SAN PASQUAL BAND OF MISSION
INDIANS

Resolution SP. 04121502
Approving Tribal Gaming Ordinance

WHEREAS, the San Pasqual Band of Mission Indians (the "Tribe") is a federally
recognized Indian tribe with a Constitution and by-Laws approved
by the Secretary of the Interior on January 14, 1971; and

WHEREAS, under that Constitution, the governing body of the Tribe is the San
Pasqual General Council (the "General Council"); and

WHEREAS, by Resolution No. SP-11-21-98-01, on November 21, 1998, the
General Council approved the Indian Gaming Regulatory Act
Compliance Ordinance, which was approved by the Chairman of
the National Indian Gaming Commission ("NIGC") on October 19,
2000; and

WHEREAS, by Resolution No. SP 041199-01, on April 11, 1999, the General
Council approved the San Pasqual Tribal Gaming Commission
Ordinance, which was approved by the Chairman of the NIGC on
July 19, 1999; and

WHEREAS, upon the recommendation of the San Pasqual Tribal Gaming
Commission, the General Council has now determined that it is in
the Tribe's best interest to adopt a new Tribal Gaming Ordinance
which will repeal and replace the two old gaming ordinances; and

WHEREAS, the Tribal Gaming Commission has conducted two Town Hall
Meetings at which input was received from tribal members and
changes were made to the new Tribal Gaming Ordinance; and

WHEREAS, input has been received from the Office of General Council, National

Indian Gaming Commission, on the form and substance of the new
Tribal Gaming Ordinance.

P.O. Box 365 * 16400 KumeyYhayY Way, VALLEY CENTER, CA 92082

PHONE 760-749-3200 ° FAX 760-749-3876 * www.SANPASQUALBANDOFMISSIONINDIANS.ORG


5.5 Notification and MOU with NIGC. If the Tribal Gaming Commission chooses
to utilize the NIGC pursuant to Section 5.4 above, the Tribal Gaming Commission, , shall notify
the NIGC of the forwarding of Tribal Gaming License applications to NIGC. Before obtaining
and processing Livescan fingerprints or fingerprint cards for background investigation purposes,
the Tribal Gaming Commission shall enter into a Memorandum of Understanding (“MOU”) with
the NIGC providing that any and all criminal results obtained from the fingerprint cards for
background investigation purposes shall be viewed by Tribal government officials only.

5.6 Scope and Types of Gaming Employee Licenses.

5.6.1

5.6.2

Key Employee/Primary Management Official Gaming License. Key
Employee/Primary Management Official Gaming Licenses are for those
Key Employees and Primary Management Officials as defined by this
Ordinance. A Key Employee/Primary Management Official Gaming
License issued pursuant to this section shall be effective for only the
location, job and employer contained in the Application; provided,
however, nothing herein shall prohibit a Key Employee or Primary
Management Official from simultaneously performing the duties and
responsibilities of more than one position; provided further, that the Key
Employee or Primary Management Official is performing a position that is
directly in lineal descent below them in the organizational structure of the
Enterprise and that they are qualified and trained to perform the duties of
the positions so performed. Dealers may also be permitted to deal various
card games so long as they are qualified and trained to perform the duties
of the positions so performed and are specifically licensed for those
positions.

Non-Key Gaming Employee License. A Non-Key Gaming Employee
License is for employees that are not permitted in certain areas of the
Gaming Establishment as designated by the Tribal Gaming Commission.
A Non-Key Gaming Employee License issued pursuant to this section
shall be effective for only the location, job and employer contained in the
Application. Non-Key Gaming Employee Licenses will not require the
same level of background scrutiny required for Key Gaming Employee
Licenses.

5.7 Temporary Licensing. Notwithstanding anything herein to the contrary, if the
Applicant has completed a License Application, the Tribal Gaming Commission may
immediately issue a temporary License if:

5.7.1

5.7.2

5.7.3

the Tribal Gaming Commission has conducted a preliminary, local,
background investigation; and

based on the preliminary investigation, the information does not indicate
that the Applicant has a criminal history.

temporary licenses may last no longer than 90 days from the date of
issuance.

26


8.2.16 Tampering with a Gaming Device, attempting to conspire to manipulate
the outcome or the payoff of a Gaming Device, or otherwise unlawfully
tampering with or interfering with the proper functioning of the machine.

8.2.17 Altering or counterfeiting a Gaming license.

8.2.18 Aiding, abetting, or conspiring with another Person to cause any Person to
violate any provision of this Ordinance or any rules and regulations
adopted hereunder.

8.2.19 Operating, using or making available to the public any illegal Gaming
Device, apparatus, material or equipment.

8.2.20 Selling, holding out for sale or transporting into or out of the jurisdiction
of the Tribe any illegal Gaming Device, apparatus, material or equipment.

8.2.21 Assisting or allowing a Person who is under the age of Twenty-one (21) to
participate in a Gaming activity.

8.2.22 Possessing any illegal narcotics or controlled substances on any licensed
Gaming site.

8.2.23 Stealing or attempting to steal funds or other items of value from any
Gaming Facility or from the Tribal Gaming Commission.

8.3 Cumulative Fines. All civil fines accruing under this Ordinance shall be
cumulative and a suit for the recovery of one fine shall not bar or affect the recovery of any other
fine, or judgment, penalty, forfeiture or damages, nor bar the power of the Tribal Court to punish
for contempt, nor bar any criminal prosecution against any officer, director, agent, or employee
of any Licensee, or any other Person.

8.4 Purpose of Civil Penalties. The civil fines imposed under this Ordinance are
intended to be remedial and not punitive and are designed to compensate the Tribe for the
damage done to the peace, security, economy and general welfare of the Tribe and the
Reservation, and to compensate the Tribe for costs incurred by the Tribe in enforcing this
Ordinance. The civil fines under this Ordinance are also intended to encourage all people to
comply with this Ordinance and Tribal Gaming Commission regulations and not to punish such
people for violation of such laws and regulations.

8.5 Civil Action for Penalties. In enforcing the civil infraction provisions of this
Ordinance, the Tribal Gaming Commission shall proceed, in the name of the Tribe, against a
Person for violation of such provision by civil complaint in any court of competent jurisdiction,
or, if applicable, only in such other forums as the Tribe has agreed to by Contract. The Tribal
Gaming Commission in such action shall have the burden of showing, by the preponderance of
the evidence, that such Person violated the applicable provision of this Ordinance.

8.6 Seizure and Forfeiture of Property. Property utilized in violation of this
Ordinance shall be subject to seizure and forfeiture by order of the Tribal Gaming Commission
pursuant to such procedures and rules as the Tribal Gaming Commission shall promulgate.

35


4.24 Due Process; Notice; Hearings; Examiner. The Tribal Gaming Commission
shall provide due process and provide notice and a hearing, to the extent required herein, in the
administration of its powers and duties hereunder.

4.24.1

4.24.2

4.24.3

4.24.4

4.24.5

4.24.6

No_Hearing, Voluntary Resolution. Whenever it shall appear to the
satisfaction of the Tribal Gaming Commission that all of the interested
parties involved in any proposed hearing have agreed concerning the
matter at hand, the Tribal Gaming Commission may dismiss the issue
without a hearing.

Notice of Hearing. The Tribal Gaming Commission shall, not less than
one (1) day nor more than fifteen (15) days after becoming aware of the
event giving rise to the concern, provide a written notice setting forth, with
specificity, the issues to be resolved.

Hearing. The Tribal Gaming Commission shall provide the affected
parties the right to present oral or written testimony to all people interested
therein as determined by the Tribal Gaming Commission.

Examiner. The Tribal Gaming Commission shall act as Examiner for the
purpose of holding any hearing, or the Tribal Gaming Commission may
appoint the Executive Director or a Person qualified in the law or
possessing knowledge or expertise in the subject matter of the hearing to
act as Examiner for the purpose of holding any hearing. Any such
appointment shall constitute a delegation to such examiner of the powers
of the Tribal Gaming Commission under this Ordinance with respect to
any such hearing.

Decision. The Examiner shall render a written opinion within 72 hours of
the completion of the hearing.

A decision of the Examiner shall be final.

4.25 Executive Director. At its option, the Tribal Gaming Commission may select
and employ an Executive Director. The Executive Director shall report to the Tribal Gaming

Commission.

SECTION 5. GAMING LICENSES

5.1

Applicability.

5.1.1

Every Employee, Key Employee, Primary Management Official, Gaming
Enterprise, and Gaming Facility that aids, participates or is related to
Gaming is required to have a current and valid License as issued by the
Tribal Gaming Commission.

The Tribal Gaming Commission will perform background investigations
and issue licenses to Key Employees and Primary Management Officials

21


2.21 “Equipment for Games of Chance” (see “Gaming Device”).

2.22 “Executive Director” is that Person who may be employed by the Tribal Gaming
Commission to direct and oversee the day-to-day activities of the Tribal Gaming Agency. The
Executive Director shall oversee all departments of the Tribal Gaming Agency and all other
employees of the Tribal Gaming Agency. The Executive Director shall act as the administrative
and operational supervisor for all Tribal Gaming Agency personnel, and shall have such other
responsibilities and perform such other duties as designated by the Tribal Gaming Commission.

2.23 “Financial Source” as that term is used in 6.4.6 of the Compact and in this
Ordinance, means every Person with whom the Tribe or the Enterprise enters into an agreement
or Contract for the purpose of extending financing to the Tribe or the Enterprise, the proceeds of
which are used either directly or indirectly to finance the Gaming Facility or Enterprise.

2.24 “Games of Chance” means any game or activity, which falls within the
definition of Gaming or Gaming Activity.

2.25 “Gaming” or “Gaming Activity” means any activity, operation or game of
chance in which any valuable consideration may be wagered upon the outcome determined by
chance, skill, speed, strength or endurance, and in which any valuable prize is awarded to the
player so wagering.

2.26 “Gaming Device” means a slot machine, including an_ electronic,
electromechanical, electrical, or video device that, for consideration, permits: individual play
with or against that device or the participation in any electronic, electromechanical, electrical, or
video system to which that device is connected; the playing of games thereon or therewith,
including, but not limited to, the playing of facsimiles of games of chance or skill; the possible
delivery of, or entitlement by the player to, a prize or something of value as a result of the
application of an element of chance; and a method for viewing the outcome, prize won, and other
information regarding the playing of games thereon or therewith.

2.27 “Gaming Facility” or “Gaming Establishment” means any building in which
Class HI Gaming Activities or Gaming operations occur, or in which the business records,
receipts, or other funds of the Gaming operation are maintained (but excluding offsite facilities
primarily dedicated to storage of those records, and financial institutions), and all rooms,
buildings, and areas, , parking lots and walkways, a principal purpose of which is to serve the
activities of the Gaming operation, provided that nothing herein prevents the conduct of Class II
Gaming (as defined under IGRA) therein.

2.28 “Gaming Vendor” means a “Gaming Resource Supplier” as defined by Section
2.12 of the Compact.

2.29 “General Manager” means the Person having management responsibilities for
the Gaming Activity, and having to all areas of the Gaming Facility except Surveillance.

2.30 “Gross Revenues” means all gaming and non-gaming revenues collected or
received by the Enterprise.


2.47 “Player” means a Person participating in a game with the hope of winning money
or other benefit, but does not include a Licensee or any assistant of a Licensee.

2.48 “Primary Management Official” means:

2.48.1 The Person having management responsibility for the overall operation of
the Enterprise or Facility, or a management contract; or

2.48.2 Any Person who has authority to:

(1) Hire and fire employees; or
(2) Set up working policy for the Gaming operations; or

(3) The Chief Financial Officer or other Person who has financial
management responsibility.

2.49 “Progressive Gaming” means any game in which a cash prize which, not being
won by any player during any game, is retained and further monetarily enhanced by the
Licensee, and offered as a prize to players in the next game.

2.50 “Pull-tabs, Punchboards and Tip Jars” means a form of Gaming in which
preprinted cards utilizing symbols or numbers in random order which are uncovered by random
choice in expectation of cash prizes if prescribed combinations of symbols and numbers are
revealed.

2.51 “Qualified Financial Source” means a Financial Source that is qualified for
registration under California Gaming Regulation CGCC-2.

2.52 “Raffle” means a form of Gaming in which each player buys a ticket for a chance
to win a prize with the winner determined by a random method. “Raffle” does not include a slot
machine.

2.53 “Reservation” means lands defined as “Indian Lands” herein.

2.54 “State” means the State of California.

2.55 “State Gaming Agency” means the “State Gaming Agency” as defined in
Section 2.18 of the Compact.

2.56 “State Gaming Facility Compliance Agent” means the Person appointed
pursuant to Section 6.4.2(d) of the Compact.

| 2.57 “Tribal Gaming Commission” means the Tribe’s Gaming Commission
described in Section 4 of this Ordinance.

2.58 “Tribal Court” means any Court created by the Tribe pursuant to the Tribe’s
Constitution or any inter-tribal court to which the Tribe has granted jurisdiction over itself.