QUECHAN INDIAN TRIBE

Fort Yuma Indian Reservation

P.O. Box 1899

YUMA, ARIZONA 85366-1899

Phone (760) 572-0213

FAX (760) 572-2102

RESOLUTION

A RESOLUTION OF THE QUECFIAN TRIBAL GAMING COMMISSION APPROVING THE ~

GAMING REGULATIONS 001-004 AND AMENDMENTS TO THE GAMING CODES.

WHEREAS:

WHEREAS:

THE QUECHAN INDIAN TRIBE OF THE FORT YUMA INDIAN RESERVATION IS A

FEDERALLY RECOGNIZED INDIAN TRIBE ORGANIZED UNDER A CONSTITUTION

AND BYLAWS RATIFIED BY THE TRIBE ON NOVEMBER 28, 1936 APPROVED BY

THE SECRETARY OF THE INTERIOR ON DECEMBER 18, 1936, WITH REVISED

AMENDMENTS APPROVED ON NOVEMBER 18, 1974, AND MAY 21, 1997; AND

THE QUECHAN TRIBE IS RECOGNIZED BY THE UNITED STATES SECRETARY OF THE

INTERIOR AS HAVING JURISDICTION OVER INDIAN LANDS IN CALIFORNIA WHICH

ARE ELIGIBLE FOR GAMING UNDER THE INDIAN GAMING REGULATORY ACT, 25

U.S.C. 2700 et. seq. (IGRA); AND

WHEREAS: THE QUECHAN TRIBE HAS ENTERED INTO A GAMING COMPACT WITH THE STATE

OF CALIFORNIA PURSUANT TO THE IGRA; AND

WHEREAS: IT IS NECESSARY TO AMEND THE TRIBES GAMING CODE TO PROVIDE FOR CLASS

II & III GAMING ACTIVITIES IN CALIFORNIA; AND

WHEREAS: SECTION 8.1.14 OF THE COMPACT REQUIRES THE TRIBE TO ADOPT TECHNICAL

STANDARDS FOR GAMING DEVICES; AND

WHEREAS: 25 C.F.R. § 542.3 (a) REQUIRES THE TRIBE TO ADOPT MINIMUM INTERNAL

CONTROL STANDARDS FOR GAMING OPERATIONS ON THE QUECHAN INDIAN

RESERVATION; AND

WHEREAS: SUBSECTION 10.2(a) OF THE COMPACT REQUIRES THE TRIBE TO ADOPT

CERTAIN STANDARDS CONCERNING PUBLIC AND WORKPLACE HEALTH AND

SAFETY; AND

S~p 25
RESOLUTION R-209-02

PAGE TWO

WHEREAS: SUBSECTION 10.2(d) OF THE COMPACT REQUIRES THE TRIBE TO ADOPT TRIBAL

LAW CONCERNING THE HANDLING OF TORT LIABILITY CLAIMS ARISING FROM

INTENTIONAL OR NEGLIGENT INJURIES TO PERSONS OR PROPERTY AT THE TRIBES

PARADISE CASINO CALIFORNIA GAMING FACILITY OR OPERATION.

NOW, THEREFORE BE IT RESOLVED: THAT THE TRIBAL GAMING COMMISSION RECOMMENDS

TO THE QUECHAN TRIBAL COUNCIL TO ADOPT THE REVISED TITLE I AND THE NEW

TITLE IV OF THE GAMING CODE, AS AMENDMENTS TO THE ORIGINAL GAMING

CODE AND THE FOLLOWING TRIBAL REGULATIONS: GAMING REGULATION 001,

INTERNAL CONTROL STANDARDS; AND GAMING REGULATION 002, TECHNICAL

STANDARDS FOR GAMING DEVICES; GAMING REGULATION 003, GAMING

OPERATIONS STANDARDS; AND GAMING REGULATION 004, TORT LIABILITY.

IT IS FURTHER RESOLVED; THE TRIBE IS IN ACCORDANCE WITH THE CONSTITUTION AND BY

LAWS OF THE QUECHAN INDIAN TRIBE OF THE FORT YUMA INDIAN RESERVATION.

BE IT FINALLY RESOLVED: THAT THE PRESIDENT OR IN HIS ABSENCE, THE VICE-PRESIDENT

IS THE AUTHORIZED OFFICIAL TO NEGOTIATE ALL APPLICABLE DOCUMENTS.

CE RTI Fl CATI ON

THE FOREGOING RESOLUTION WAS PRESENTED AT A SPECIAL COUNCIL MEETING OF THE

QUECHAN TRIBAL COUNCIL WHICH CONVENED ON SEPTEMBER 18, 2002 DULY APPROVED BY

A VOTE OF 4 FOR, 0 AGAINST, 0 ABSTAINED, 2 ABSENT, BY THE TRIBAL COUNCIL

OF THE QUECHAN TRIBE, PURSUANT TO THE AUTHORITY VESTED IN IT BY SECTION 16 OF THE

RE-ORGANIZATION ACT OFJUNE 18, 1934 (48 STAT. 984) AS AMENDED BY THE ACT OF

JUNE 15. 1935 (49 STAT. 378) AND ARTICLE IV OF THE QUECHAN TRIBAL CONSTITUTION

AND BYLAWS. THIS RESOLUTION IS EFFECTIVE AS OF THE DATE OF ITS APPROVAL.

QUECHAN TRIBE

MIKE JACKSO , S1(., PRESIDENT

QUECHAN TRIBAL COUNCIL

~

GEOR A MASSEY, SECRETA

QUECHAN TRIBAL COUNCIL
GAMING CODE

OFTHE

QUECHAN INDIAN TRIBE

TITLE I

GENERAL

A law to authorize, license and regulate certain forms ofgaming within the jurisdiction ofthe

Quechan Indian Tribe.

Section 1. Findings, Purposes and Policy

1.1 Findings. The Quechan Tribal Council finds that:

1.1.1 Tribal regulation and control ofgaming activity within the jurisdiction of the

Quechan Indian Tribe is essential for the protection of public health and

welfare, and the interests of the Tribe and the residents of and visitors to the

tribal community.

1.1.2 The Tribe has the legal authority to license and regulate all gaming activity not

specifically prohibited by federal law, within the jurisdiction of the Tribe.

1.1.3 Properly licensed and regulated gaming activities conform with announced

federal policy promoting Indian self-government and Indian tribal economic

self-sufficiency.

1.1.4 It is essential that the Tribe, through its Tribal Council, regulate gaming in a

manner commensurate with federal and tribal law and policy.

1.1.5 The present needs of the Tribe include increased employment, job and skills

training, housing, quality health care, improved nutrition, educational

opportunities, social services, law and order, public safety and judiciary, and

community and economic development. These needs are not adequately

addressed by prese1~t tribal, federal and state programs.

1.1.6 Tribal operation and licensing of gaming activities on the Reservation are

appropriate means of generating revenue to address the needs of the Tribe.

1.1.7 The Tribe is vigorously pursuing its goal of self-sufficiency and selfdetermination through the development of tribal businesses and enterprises.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page I

Quechan Resolution Nos. R-42-94 and R-209-02
Because the Fort Yuma Indian Reservation lacks income-generating natural

resources and because the Tribes tax base is almost nonexistent, the Tribe

must rely on tribal business development to raise the funds necessary to

expand its social, health~, and education programs, increase employment and

improve its on-Reservation economy. This effort has recently become

increasingly important as a result ofcutbacks in federal and state funding and

the increased costs ofself-government. It is therefore essential that the Tribe

develop new and expanded sources of revenue to support its increasing

governmental needs and to provide much needed employment and training for

tribal members.

1.1.8 As a result, the adoption of this Code is in the best interest of the Quechan

Indian Tribe.

1.2 Purposes. The purposes of this Code are to:

1.2.1 Regulate, control, and license the operation of all Class II and Class 111

gaming within the jurisdiction of the Tribe.

1.2.2 Ensure that the operation oftribally regulated gaming will continue as a means

of generating tribal revenue.

1.2.3 Ensure that tribally regulated gaming is conducted fairly and honestly by both

gaming operators and players and that it remain free from corrupt,

incompetent, unconscionable and dishonest persons and practices.

1.2.4 Promote and strengthen tribal economic development and self.determination

and enhance employment opportunities for its members.

1.2.5 Regulate gaming so as to generate revenue to strengthen and improve tribal

se1f~government and the provision of tribal governmental services.

1.2.6 Ensure that all gaming revenue is used for the benefit of the Tribe and the

Reservation community.

1.2.7 Ensure that tribal gaming laws are strictly and fairly enforced against all

persons involved in gaming activities within the jurisdiction of the Tribe.

1.2.8 Ensure that the Tribe provides a fair and impartial forum for the resolution

of gaming disputes.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 2

Qu~han Resolution Nos. R-42-94 and R-209-02
1.3 Tribal Policy of Self-Government. The Tribe is firmly committed to the principle

oftribal self-government. Consistent with federal policy, tribal government provides

a wide range of public services on the Reservation, including general governmental

services, maintenance ofpeace and good order, establishment ofeducational systems

and programs, and promotion and regulation of economic activities within the

sovereign jurisdiction of the Tribe.

1.4 Tribal Gaming Policy. The establishment, promotion, and operation of gaming is

necessary and desirable, provided that such gaming is regulated and controlled by the

Tribe pursuant to tribal and federal law and any tribal-state gaming compact entered

into pursuant to the IGRA, and that all proceeds of such gaming are sued for the

benefit of the Tribe as required by the IGRA and tribal law. When operated in

accordance with the provisions of this Code, such gaming will be conducive to the

general welfare of all residents of the Reservation.

Section 2. Definitions

In this Code, except where otherwise expressly provided or where the context otherwise

requires, the following terms and expressions shall have the following meanings:

2.1 Applicant means any person who has applied for a tribal gaming license or State

certification under the provisions ofthis Code, employment with a gaming operation

or gaming facility operator, or approval of any act or transaction for which approval

is required or permitted under the provisions of this Code.

2.2 Application means a request for the issuance ofa tribal gaming license or for State

certification, for employment by a gaming operation or gaming facility operator, or

for approval of any act or transaction for which approval is required or permitted

under the provisions of this Code.

2.3 Arizona Compact means the Quechan Indian Tribe-State of Arizona Gaming

Compact.

2.4 Association means the association ofCalifornia tribal and state gaming regulators,

the membership ofwhich comprises up to two representatives from each tribal gaming

agency of those tribes with whom the State has a gaming compact under IGRA, and

up to two delegates each from the state Division of Gambling Control and the state

Gambling Control Commission.

2.5 Bingo means the game of chance commonly known as bingo (whether or not

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 3

Quechan Resolution Nos. R-42-94 and R-209-02
electronic, computer, or other technologic aids are used in connection therewith)

which is played for prizes, including monetaly 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 California Compact means the tribal-state compact between the Quechan Indian

Tribe and the State of California.

2.7 Cheating means 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

oneselfor someone in privity with one an advantage over and above the chance ofthe

game.

2.8 Code means this Code, the Quechan Gaming Code, as now or hereafter amended.

2.9 Compacts mean the Arizona Compact and the California Compact.

2.10 Compensation means all wages, salaries, bonuses, and all other forms of

remuneration for services rendered.

2.11 Council or Tribal Council means the governing body of the Quechan Indian

Tribe.

2.12 Days means, unless otherwise indicated, calendar days.

2.13 Distributor means a person who distributes gaming devices and/or component

parts thereof.

2.14 Enrolled tribal member means a person who is enrolled in the Quechan Indian

Tribe and whose name appears on the tribal membership roll.

2.15 Gaming or gaming activity means all forms of Class II and Class III gaming

conducted on Indian lands of the Tribe and any activity in furtherance thereof.

2.16 Gaming device

2.16.1 For the purposes ofTitle III, gaming device or electronic game ofchance

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 4

Quectian Resolution Nos. R-42-94 and R-209-02
means, a microprocessor-controlled (electronic) device which allows a player to play

games ofchance, some ofwhich are affected by skill, which device is activated by the

insertion ofa coin, currency, tokens, or by the use ofa credit, and which awards game

credits, cash, tokens, replays, or a receipt that can be redeemed by the player for any

of the foregoing. Game play may be displayed by:

2.16.1.1 Video facsimile; or

2.16.1.2 Mechanical rotating reels whereby the software of the device

predetermines the stop positions and the presence, or lack thereof, of

a winning combination and pay out, if any.

2.16.2 For the purposes ofTitle IV, 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 ofgames thereon or therewith,

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

skill; the possible delivery or, or entitlement by the player to, a prize or

something ofvalue as a result ofthe application ofan element of chance; and

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

regarding the playing of games thereon or therewith.

2.17 Gaming employee

2.1 7.1 For the purposes of Titles II and III,gaming employee means any person

employed as a primary management official or key employee of a gaming

operation and any person employed in the operation or management of the

gaming operations including, but not limited to, any person whose

employment duties require or authorize access to restricted areas ofa gaming

facility not otherwise open to the public.

2.17.2 For the purposes of Title IV, gaming employee means any person who (a)

operates, maintains, repairs, assists in any Class III gaming activity, 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 Agency 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.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September IS, 2002 Page 5

Quechan Resolution Nos. R-42-94 and R-209-02
2.18 Gaming equipment means any device, machine, paraphernalia, or equipment that

is used or usable in the playing phases of any gaming activity, whether or not

specifically designed for the purpose, but excluding tables and chairs normally used

in the occupancy of any gaming facility.

2.19 Gaming facility

2.19.1 For the purposes of Titles II and III, gaming facility means the buildings or

structures in which gaming or gaming activities are conducted or operated.

2.19.2 For the purposes of Title IV, gaming facility means any building in which

class III gaming activities or gaming operations occur, or in which the

business records, receipts, or other funds of the gaming operation are

maintained (but excluding offsite facilities primarily dedicated to storage of

those records, and financial institutions), and all rooms, buildings, and areas,

including parking lots and walkways, a principal purpose of which is to serve

the activities ofthe gaming operation, provided that nothing herein prevents

the conduct of Class II gaming therein.

2.20 Gaming facility operator, for purposes ofClass III gaming only, means the Tribe,

an enterprise owned by the Tribe, or such other entity of the Tribe as the Tribe may

from time to time designate by written notice to the State as the wholly owned tribal

entity having full authority and responsibility for the operation and management of

Class III gaming activities.

2.21 Gaming operation

2.21.1 For the purposes of Class II gaming only, gaming operation means each

economic entity that is licensed by the Tribe, operates the games, receives the

revenues, issues the prizes, and pays the expenses.

2.2 1.2 For the purposes of Title III, gaming operation means any gaming activity

conducted within any gaming facilities.

2.21.3 For the purposes of Title IV, gaming operation means the business

enterprise that offers and operates Class III gaming activities, whether

exclusively or otherwise.

2.22 Gaming resources means any goods or services provided or used in connection

with Class III gaming activities, whether exclusively or otherwise, including, but not

limited to, equipment, furniture, gambling devices and ancillary equipment,

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 6

Quechan Resolution Nos. R-42-94 and R-209-02
implements of gaming activities such as playing cards and dice, furniture designed

primarily for Class 111 gaming activities, maintenance or security equipment and

services, and Class III gaming consulting services. Gaming resources does not

include professional accounting and legal services.

2.23 Gaming resource supplier means any person or entity who, directly or indirectly,

manufactures, distributes, supplies, vends, leases, or otherwise purveys gaming

resources to the gaming operation or gaming facility, provided that the Tribal Gaming

Commission may exclude a purveyor ofequipment or furniture that is not specifically

designed for, and is distributed generally for use other than in connection with gaming

activities, if the purveyor is not otherwise a gaming resource supplier as described in

Section 8.1 of Title IV, the compensation received by the purveyor is not grossly

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

otherwise a person who exercises a significant influence over the gaming operation

or gaming activities.

2.24 Gaming services means the providing of any goods or services, except for legal

services, to the Tribe in connection with the operation ofgaming activities in a gaming

facility, including but not limited to equipment, transportation, food, linens, janitorial

supplies, maintenance, or security services for the gaming facility, in an amount in

excess of $10,000 in any single month.

2.25 Gaming ticket means any game piece used in the play of a paper pull tab game or

ticket game, or raffle.

2.26 Immediate family means, with respect to the person under consideration, a

husband, wife, father, mother, son, daughter, brother, sister, thther-in-law, mother-inlaw, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother,

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

2.27 Indian Gaming Regulatory Act or IGRA means Public Law 100-497, 25

U.S.C. §~ 2701-2721 and 18 U.S.C. §~ 1166-1168, as amended, and all regulations

promulgated thereunder.

2.28 Indian lands, unless otherwise indicated means:

2.28.1 All lands within the limits of the Fort Yuma Indian Reservation,

notwithstanding the issuance of any patent and including rights-of-way

running through such lands; and

2.28.2 All lands title to which is either held in trust by the United States for the

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 7

Quechan Resolution Nos. R-42-94 and R-209-02
benefit of the Tribe or individual Indian or held by the Tribe or individual

Indian subject to restriction by the United States against alienation and over

which the Tribe exercises governmental powers; and

2.28.3 All lands within the States of Arizona and California that may be acquired by

the Tribe and that meet the requirements of 25 U.S.C. § 2719.

2.29 Interactive terminal or video lottery terminal means an on-line computer or

data-processing terminal capable of providing a source of both input and a video

display output for the computer system to which it is connected, in which a player is

playing against the algorithm of the terminal so that the player is playing directly

against the terminal for immediate payment and is immediately rewarded or penalized

based on the outcome, and which dispenses a paper receipt that can be redeemed by

the player for the players winnings.

2.30 Keno means a house banking game in which a player selects from one to twenty

numbers on a card that contains the numbers one through eighty; the house randomly

draws twenty numbers; players win if the numbers they select correspond to the

numbers drawn by the house, and the house pays all winners, if any, and collects from

all losers.

2.31 Key employee means:

2.3 1.1 Class III Gaming For purposes of Titles III and IV and Class III

gaming only, any person who performs one or more of the following

functions:

2.31.1.1 Bingo caller;

2.31.1.2 Counting room supervisor;

2.31.1.3 Chief of security;

2.3 1.1.4 Custodian of gaming supplies or cash;

2.3 1.1.5 Floor manager;

2.31.1.6 Pit boss;

2.3 1.1.7 Dealer;

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 8

Quechan Resolution Nos. R-42-94 and R-209-02
2.31.1.8 Croupier;

2.31.1.9 Approver of credit;

2.31.1.10 Custodian ofgambling devices, including persons with access

to cash and accounting records within such devices; or

2.31.1.11 If not otherwise included, a person with access to gaming

finance or accounting offices; a person authorized to make on-site

repairs, adjustments or alterations to any piece of gaming equipment;

a person whose total cash compensation derived from a gaming

activity subject to this Code is in excess of $50,000 per year; the four

most highly compensated persons employed by a gaming operation;

or any person whom the Tribal Gaming Commission may by written

notice c1assif~y as a key employee.

2.3 1.2 Class II Gaming For purposes of Title II and Class II gaming only,

any person who performs one or more of the following functions:

2.31.2.1 Counting room supervisor

2.3 1.2.2 Chief of security;

2.3 1.2.3 Custodian of gaming supplies or cash;

2.3 1.2.4 Floor management.

2.32 License means a revocable approval granted by the Tribal Gaming Commission to

an applicant to participate in a gaming activity.

2.33 Licensee means any person who has been granted a license by the Tribal Gaming

Office.

2.34 Management contract means a contract within the meaning of 25 U.S.C. §~

2710(d)(9) and 2711.

2.35 Management contractor means a person that has entered into a management

contract with the Tribe, a gaming operations, or a gaining fücility operator which has

been approved pursuant to 25 U.S.C. §~ 2710(d)(9) and 2711.

2.36 Manufacturer means a person that manufacturers gaming devices andlor

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 9

Quechan Resolution Nos. R-42-94 and R-209-02
component parts thereof as defined by the Arizona Compact for use or play in a

gaming facility.

2.37 National Indian Gaming Commission or NIGC means the commission

established pursuant to 25 U.S.C. § 2704.

2.38 Net revenues means gross gaming revenues of a gaming operation or gaming

facility operator, less amounts paid out as, or paid for, prizes and less total gamingrelated operating expenses, excluding management fees.

2.39 Participate in any gaming activity means to operate, direct, finance, or in any

way assist in the establishment or operation of any gaming activity or any site where

gaming is conducted, directly or indirectly, whether at the site, in person, or off-site.

2.40 Person means any natural person, corporation, company, partnership, firm,

association, or society.

2.41 Player means a person participating in any game, but does not include a gaming

operation or gaming facility operator.

2.42 Player-activated lottery terminal means an on-line computer system that is player

activated but does not provide the player with interactive gaming and utilizes the

terminal for dispensing purposes only in which: (i) the terminal algorithm is used for

the random generation of numbers, (ii) the tickets dispensed by the terminal do not

allow the play the means to play directly against the terminal, (iii) the player uses the

dispensed ticket to participate in an off-site random drawing, and (iv) the players

ability to play against the terminal for immediate payment or reward is eliminated.

2.43 Primary management official means:

2.43.1 The person having management responsibility under a management contract

approved by the NIGC; or

2.43.2 The general manager of a gaming operation or gaming facility operator; or

2.43.3 Any person who has authority:

2.43.3.1 To hire and fire gaming employees; or

2.43.3.2 To set up working policy for a gaming operation or gaming facility

operator; or

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 10

Quechan Resolution Nos. R-42-94 and R.209-02
2.43.4 The chief financial officer or other person who has financial management

responsibility for a gaming operation or gaming facility operator.

2.44 Principal means with respect to any person:

2.44.1 Each of its officers and directors;

2.44.2 Each of its principal management employees, including any chief executive

officer; chief financial officer, chiefoperating officer or general management;

2.44.3 Each of its owners or partners, if an unincorporated business;

2.44.4 Each of its shareholders who own more than ten percent of the shares of the

corporation, if a corporation;

2.44.5 Each person other than a banking institution who has provided financing for

the entity constituting more than ten percent of the total financing of the

entity; and

2.44.6 Each of the beneficiaries or trustee of a trust.

Notwithstanding any ofthe preceding sections, person shall not include the

Tribe, its elected officials, or any of its members or employees who are not

gaming employees under this Code.

2.45 Progressive gaming means any game in which a cash prize not being won by any

player during any game is retained and further monetarily enhanced by the gaming

operation or gaming I~cility operator, and offered as a prize to players in the next

game.

2.46 Pull-tabs, punch boards, and tip jars means any disposable card, board, ticket,

or display that accords the player an opportunity to win something of value by

opening, puffing, detaching, or otherwise removing or uncovering tabs or covers from

the card, board, ticket, or display to reveal a set of numbers, letters, symbols,

configurations, or combinations thereof which have been previously specified as a

winning combination.

2.47 Raffle means any Class II 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 slot machines or gaming devices or electronic games of chance.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page II

Quechan ResolutŁon Nos. R-42-94 and R-209-02
2.48 Reservation means the Fort Yuma Indian Reservation, and includes all lands lying

within the outer boundaries of the Reservation, notwithstanding the issuance of any

patent and including rights-of-way running through such lands, and all other lands

added to the Reservation by executive order, act of Congress, or otherwise under

federal law.

2.49 State means, as the context dictates, the State ofArizona or the State ofCalifomia,

or both, and their authorized official, agents, and representatives.

2.50 State certification means the process utilized by the State gaming agency to

ensure that all persons required to be certified are qualified to hold such certification

in accordance with the provisions of the Compacts.

2.51 State gaming agency means the agency of the State that the Governor may from

time to time designate by written notice to the Tribe as the state agency that shall act

on behalf of the State under the Arizona Compact or the California Compact.

2.52 Tribe means, and tribal refers to, the Quechan Indian Tribe, a federally

recognized Indian tribe acting through the duly elected Tribal Council pursuant to the

tribal constitution and bylaws, unless the context clearly indicates a general meaning.

The term shall also include all authorized officials, agents and representatives of the

Tribe.

2.53 Tribal Gaming Commission means the Quechan Tribal Gaming Commission,

established under Section 4 of this Title, which shall exercise all regulatory authority

of the Tribe over gaming activities on Indian lands.

2.54 Tribal police department means the police force ofthe Quechan Tribe established

and maintained, contracted for, or otherwise provided by the Tribe pursuant to the

Tribes powers of self-government to carry out law enforcement on Indian lands.

2.55 Wager means the bet made or consideration or value given by a player in any game.

Section 3. General Provisions

3.1 Authority and Sovereign Powers and Responsibilities. This Code is enacted

pursuant to the inherent sovereign powers of the Tribe and the powers expressly

delegated to the Tribal Council by article IV of the Tribal Constitution.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 12

Quechan Resolution Nos. R-42-94 and R-209-02
3.2 Title, Repeal of Pnor Laws, and Effect of Repeal. This Code may be cited as the

Quechan Gaming Code. All ordinances of the Tribe and all titles, chapters, and

sections ofthe Tribal Code that pertain to gaming and in effect as ofthe effective date

ofthis Code are hereby repealed, and all other tribal laws or parts thereof inconsistent

with the provisions of this Code are hereby repealed. Repeal of this Code or any

portion thereof shall not have the effect of reviving any prior tribal law previously

repealed or suspended.

3.3 Classes of Gaming: Three classes of gaming may be conducted on Indian lands

pursuant to this Code:

3.3.1 Class I gaming means social games played solely for prizes ofminimal value

or traditional forms ofIndian gaming engaged in by individuals as a part of or

in connection with tribal ceremonies or celebrations.

3.3.2 Class II gaming means:

3.3.2.1 The game of chance commonly known as bingo or lotto

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

used in connection therewith), that is played for prizes, including

monetary prizes, with cards bearing numbers or other designations, in

which the holder of the 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 pattern or arrangement of

numbers or designations on such cards, including (if played at the

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

other games similar to bingo; and

3.3.2.2 Nonbanking card games explicitly authorized or not explicitly

prohibited by the laws of the state in which they are conducted and

which are played legally anywhere in such state, if played in

conformity with such state laws and regulations concerning hours,

periods of operation and limitations on wagers and pot sizes.

3.3.3 Class III gaming means all forms of gaming that are not Class I or Class II

gaming, subject to any requirements or limitations imposed by any tribal-state

compact entered into by the Tribe.

3.4 Construction. In construing the provisions of this Code, unless the context

otherwise requires, the following rules shall apply:

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 13

Quechan Resolution Nos. R.42-94 and R-209-02
3.4.1 This code shall be liberally construed to effect its purpose and to promote

substantial justice.

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

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

number include the singular.

3.4.4 Words of the masculine gender or neuter include masculine and feminine

genders and the neuter.

Section 4. Tribal Gaming Commission

4.1 Establishment. The Tribe hereby charters, creates and establishes the Tribal Gaming

Commission as a regulatory agency of the Quechan tribal government.

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

of and maintain its headquarters, principle place of business, and offices on the Fort

Yuma Indian Reservation. The Tribal Gaming Commission may, however, establish

other places ofbusiness 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 Tribe pursuant to tribal law.

4.4 Attributes. As a governmental agency ofthe Tribe, the Tribal Gaming Commission

is delegated the right to exercise one or more of the substantial governmental

functions ofthe Tribe, including regulation oftribal gaming pursuant to the IGRA, the

Compacts, and tribal law. It is the purpose and intent of the Tribe in creating the

Tribal Gaming Commission that the operations of the Tribal Gaming Commission be

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

members, and the residents ofthe Reservation. In carrying out its purposes under this

Code, the Tribal Gaming Commission shall function as an arm of the Tribe.

Notwithstanding any authority delegated to the Tribal Gaming Commission under this

Code, the Tribe reserves to itself the right to bring suit against any person in its own

right, on behalfofthe Tribe or on behalfofthe Tribal Gaming Commission, whenever

the Tribe deems it necessary to protect the sovereignty, rights, and interests of the

Tribe or the Tribal Gaming Commission.

4.5 Recognition as a Political Subdivision of the Tribe. The Tribal Council shall take

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 14

Quechan Resolution Nos. R-42-94 and R-209-02
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 Tribe. All inherent sovereign rights of the Tribe as a

federally recognized Indian tribe are hereby expressly reserved, including sovereign

immunity from suit in any tribal, federal or state court. Except as provided in Section

4.8 below, nothing in this Code nor any action ofthe Tribal Gaming Commission shall

be deemed or construed to be a waiver of sovereign immunity from suit ofthe Tribe,

or to be a consent of the Tribe to the jurisdiction of the United States or of any state

or of any Indian tribe with regard to the business or affairs of the Tribal Gaming

Commission or the Tribe, or to be a consent ofthe Tribe to any cause ofaction, case,

or controversy, or to the levy ofany judgment, lien, or attachment upon any property

ofthe Tribe, or to be a consent to suit in respect to any Indian land, or to be a consent

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

4.7 Sovereign Immunity of the Tribal Gaming Commission. The Tribal Gaming

Commission is hereby clothed with all the privileges and immunities of the Tribe,

except as specifically limited by this Code or other tribal law, including sovereign

immunity from suit in any tribal, federal, or state court. Except as provided in this

section, nothing in this Code nor any action of the Tribe or the Tribal Gaming

Commission shall be deemed or construed to be a waiver of sovereign immunity from

suit ofthe Tribal Gaming Commission or Tribe, or to be a consent ofthe Tribe or the

Tribal Gaming Commission to the jurisdiction of the United States or of any state or

any Indian tribe with regard to the business or affairs of the Tribe or the Tribal

Gaming Commission to any cause of action, case, or controversy, or to the levy of

any judgment, lien or attachment upon any property of the Tribe or of the Tribal

Gaming Commission, or to be a consent of the Tribe or the Tribal Gaming

Commission to suit in respect to any Indian land, or to be a consent of the Tribe of

the Tribal Gaming Commission to the alienation, attachment, or encumbrance ofany

such land.

4.8 Waiver of Sovereign Immunity of the Tribal Gaming Commission. Sovereign

immunity of the Tribal Gaming Commission may be waived only by express

resolutions of both the Tribal Gaming Commission and the Tribal Council after

consultation with the Tribes attorneys. All waivers of sovereign immunity must be

preserved by resolution of the Tribal Gaming Commission and the Tribal Council of

continuing force and effect. Waivers of sovereign immunity are disfavored and may

be granted only when necessary to secure a substantial advantage or benefit to the

Tribal Gaming Commission. Waivers of sovereign immunity shall not be general but

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 15

Quechan Resolution Nos. R-42-94 and R-209-02
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. Neither the power to sue and be sued

provided in Section 4.18.23 nor any express waiver of sovereign immunity by

resolution ofthe Tribal Gaming Commission shall be deemed a consent to the levy of

any property specifically pledged or assigned, or a consent to suit in respect of any

land within the exterior boundaries ofthe Reservation or a consent to the alienation,

attachment, or encumbrance of any such land.

4.9 Credit of the Tribe or Tribal Gaming Commission. Nothing in this Code nor any

activity ofthe Tribal Gaming Commission shall implicate or any way involve the credit

of the Tribe or the Tribal Gaming Commission.

4.10 Assets of the Tribal Gaming Commission. The Tribal Gaming Commission shall

have only those assets specifically assigned to it by the Tribal Council or acquired in

its name by the Tribe or by the Tribal Gaming Commission on its own behalf. No

activity of the Tribal Gaming Commission nor any indebtedness incurred by it shall

implicate or in any way involve or affect any assets oftribal members or the Tribe not

assigned in writing to the Tribal Gaming Commission.

4.11 Membership.

4.11.1 Number of Commissioners. The Tribal Gaming Commission shall consist of

three to five Tribal Gaming Commissioners who shall be appointed by the

Tribal Council.

4.11.2 Qualification of Commissioners. No sitting member of the elected Tribal

Council shall be a Commissioner during such members term of office. No

person shall be appointed as a Gaming Commissioner ii any member of such

persons immediate family has a direct financial interest in any gaming activity

or if any member of such persons immediate family is a tribal gaming

employee. No member or employee ofthe Commission shall participate as a

player in any gaming activity conducted by the Tribe.

In selecting and appointing Tribal Gaming Commissioners, the Tribal Council

shall consider the following standards and qualifications:

a. To the greatest extent feasible, preference shall be given to enrolled members

of the Tribe.

b. A Tribal Gaming Commissioner shall meet all of the qualifications and

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 16

Quechan Resolution Nos. R-42-94 and R.209-02
background requirements necessary for a Class III Gaming Employee License

under this Code and shall meet all other requirements of applicable law,

including this Code, any Class III tribal-state compact entered into by the

Tribe, and the Indian Gaming Regulatory Act, as amended.

c. A Tribal Gaming Commissioner should have expertise, experience, education

or a combination ofexperience and education in one or more ofthe following

areas: financial, accounting, legal, management, business, personnel,

government regulation, administrative procedure, or related skills or

disciplines.

d. A Tribal Gaming commissioner shall have unquestioned integrity, honesty,

and objectivity and decision making skills and abilities commensurate with the

quasi judicial duties of the Tribal Gaming Commission. A Tribal Gaming

Commissioner must have the ability to make unbiased, objective decisions

regarding issuance, suspension or revocation of tribal gaming licenses and

other determinations affecting gaming employees, managers, vendors,

operators and others associated with tribally regulated gaming activities under

this Code.

e. A Tribal Gaming Commissioner should have good organizational skills,

written and oral communication skills, and be able to communicate effectively

with the Tribal Council, tribal gaming personnel, and the general public.

f. A Tribal Gaming Commissioner must be a team member, able to work

efficiently and effectively as a part of the Commission, making decisions by

consensus whenever possible, otherwise by majority vote ofthe Commission.

Tribal Gaming Commissions shall be committed to the integrity and honesty

of all tribally regulated gaming and be able to devote substantial operation

time to carrying out their responsibilities under this Code and other applicable

law.

4.11.3 Class III Tribal Gaming Employee License. Following appointment as a Tribal

Gaming Commissioner, the appointee shall immediately apply for a Class III tribal

gaming employee license. If a license is denied, the Commissioner shall

immediately be removed from the Tribal Gaming Commission.

4.12 Term of Office. Each Commissioner shall serve a term of five years; provided,

that two of the initial members appointed shall be designated to serve for a term of

two years.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 17

Quechan Resolution Nos. R-42-94 and R-209.02
4.13 Ex-Officlo Members. At the direction of the Tribal Council, any other person,

including an elected member of the Tribal Council, may be designated to attend

and participate, without vote, in Tribal Gaming Commission meetings.

4.14 Organization. The Tribal Gaming Commission shall develop its own operating

procedures and shall elect from within itself a chairperson to direct meetings, a

reporter to be responsible for keeping Tribal Gaming Commission minutes and

transmitting to the Tribal Council a copy of those minutes, handling

correspondence and reporting Tribal Gaming Commission decisions, and such

other officers as the Tribal Gaming Commission deems necessary or advisable.

4.15 Meetings.

4.15.1 Regular Meetings. The Tribal Gaming Commission shall hold at least one

regular monthly meeting, which shall take place on the first Monday of

each month or as otherwise determined by the Tribal Gaming Commission.

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

Tribal Council, the Chairman of the Tribal Gaming Commission, or a

majority of the number of Commissioners appointed to the Commission.

4.15.3 Compensation of Commissioners. The compensation of Commissioners

shall be established by the Tribal Council.

4.15.4 Quorum. A quorum for all meetings shall consist of a majority of the

number of Commissioners appointed to the Commission.

4.15.5 Voting. All questions arising in connection with the action of the Tribal

Gaming Commission shall be decided by majority vote of all

Commissioners present, except that when only three Commissioners have

been appointed, all questions must be decided by a majority vote of all

Commissioners appointed.

4.16. Removal of Members and Appointment to Fill Vacancies.

4.16.1 Removal. A Commissioner may be removed by the Tribal Council for

serious inefficiency, neglect of duty, malfeasance, misfeasance,

nonfeasance, misconduct in office, or for any conduct that threatens the

honesty or integrity of the Tribal Gaming Commission or otherwise violates

the letter or intent of this Code. A Commissioner shall be removed if he or

she is denied a Class III tribal gaming employee license or if such license is

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 18

Quechan Resolution Nos. R-42-94 and R-209-02
suspended or revoked pursuant to the provisions of Title III or Title IV.

Exôept as provided below, no Commissioner may be removed without

notice and an opportunity for a hearing before the Council, and then only

after the Commissioner has been given written notice of the specific

charges at least ten days prior to such hearing. At any such hearing, the

Commissioner shall have the opportunity to be heard in person or by

counsel and to present witnesses on his behalf. If the Council determines

that immediate removal of a Commissioner is necessary to protect the

interests of the Tribe, the Council may immediately remove the

Commissioner temporarily, and the question of permanent removal shall be

determined thereafter pursuant to Tribal Gaming Commission hearing

procedures. A written record of all removal proceedings together with the

charges and findings thereon shall be kept by the Tribal Secretary. The

decision of the Tribal Council upon the removal of a Commissioner shall be

final.

4.16.2 Appointment. If any Commissioner shall die, resign, be removed, or for

any reason be unable to serve as a Commissioner, the Tribal Council shall

declare the position vacant and shall appoint another person to fill the

position. The terms of office of each person appointed to replace an initial

Commissioner shall be for the balance of any unexpired term for such

position, provided, however, that any prospective appointee must met the

qualifications established by this Code.

4.17 Conflict of Interest. No person shall serve as a Commissioner if he has any

personal, business, or legal relationship that creates a conflict of interest with his

duties and responsibilities as a Commissioner.

4.18 Powers of the Tribal Gaming Commission. In furtherance, but not in limitation,

of the Tribal Gaming Commissions purposes and responsibilities and subject to

any restrictions contained in this Code 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 Code:

4.18.1 To inspect and regulate all gaming activities within the jurisdiction of the

Tribe.

4.18.2 To promote the full and proper enforcement of this Code and other

applicable law regarding gaming activities within the jurisdiction of the

Tribe.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 19

Quechan Resolution Nos. R-42-94 and R-209-02
4.18.3 To act as tribal liaison with the NIGC and the State gaming agency.

4.18.4 To enact and enforce such rules and regulations regarding its activities and

governing its internal affairs as the Tribal Gaming Commission may deem

necessary and proper to effectuate the powers granted by this Code and the

powers granted and duties imposed by applicable law.

4.18.5 To publish and distribute copies of this Code and Tribal Gaming

Commission rules and any Tribal Council, Tribal Gaming Commission, or

Tribal Court decisions regarding gaming matters.

4.18.6 To prepare and submit for Council approval proposals, including budget

and monetary proposals, which could enable the Tribe to better carry forth

the policies and intent of this Code.

4.18.7 To work with the staff of any tribal department, program, project, or

operation and to cooperate with the Tribal Council or any Council

committee in regard to gaming issues.

4.18.8 To make or cause to be made by its agents or employees an examination or

investigation of the place of business, equipment, facilities, tangible

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

documents, and financial statements of any gaming operation, gaming

facility operator, or gaming activity operating, or suspected of operating,

within the jurisdiction of the Tribe. In undertaking such examination or

investigation, the Tribal Gaming Commission may request the assistance of

tribal gaming employees, federal and local law officials, legal counsel, and

other third parties.

4.18.9 To maintain and keep current a record of new developments in the area of

Indian gaming.

4.18.10 To request the assistance of the Tribal Court in conducting gaming

hearings, defining terms used in this Code or other tribal laws, or in any

other matter in which the Tribal Gaming Commission deems such

assistance to be necessary or proper.

4.18.11 To consider any gaming matter brought before it by any person or the

Tribe and all matters referred to it by the Tribal Council.

4.18.12 To obtain and publish a summary of federal revenue laws relating to

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 20

Quechan Resolution Nos. R-42-94 and R-209-02
gaming and to insure compliance with the same.

4.18.13 To arrange for training of Tribal Gaming Commission members, tribal

employees and others in areas relating to the regulation or operation of

gaming.

4.18.14 Upon prior explicit written approval of the Tribal Council, to employ such

advisors as it may deem necessary. Advisors may include, but shall not be

limited to, law enforcement specialists and gaming professionals, the

Tribes legal counsel, and the Tribes accountants.

4.18.15 To make recommendations to the Tribal Council on the hiring of all

supervisory gaming employees.

4.18.16 To promulgate rules and regulations to implement and further the

provision of this Code, for approval by the Tribal Council.

4.18.17 To approve or disapprove any application for a tribal gaming license.

4.18.18 To consult with and make recommendations to the Tribal Council

regarding changes in tribal gaming laws and policies.

4.18.19 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 other

witness with respect to any matters related to this Code, 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.

4.18.20 When necessary or appropriate, to request the assistance and utilize the

services of the courts, law enforcement, government officials and agencies,

and private parties in exercising its powers and carrying out its

responsibilities.

4.18.2 1 To delegate to an individual member or members of the Tribal Gaming

Commission or, with the approval of the Tribal Council, to Tribal Gaming

Commission staff, such of its functions as may be necessary to administer

this Code efficiently; provided that the Tribal Gaming Commission may not

re-delegate its power to exercise any substantial governmental function of

the Tribe or its power to promulgate rules and regulations; and provided

further that the Tribal Gaming Commission may not delegate to anyone the

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 21

Quechan Resolution Nos. R.42-94 and R-209-02
power to permanently revoke a tribal gaming license.

4.18.22 To permanently close, after notice and hearing, any gaming facility that is

operating in violation of tribal law.

4.18.23 To sue or be sued in courts of competent jurisdiction within the United

States, subject to the provisions of Sections 4.7 and 4.8 of this Code and

other applicable laws relating to sovereign immunity; provided that no suit

shall be brought by the Tribal Gaming Commission without the prior

explicit written approval of the Tribal Council.

4.18.24 To use the seal of the Tribe with the approval of the Tribal Council.

4.18.25 To arbitrate, compromise, negotiate, or settle any dispute to which it is a

party relating to the Tribal Gaming Commissions authorized activities.

4.18.26 To enter into, make, perform, and carry out any agreement, contract, or

other undertaking with any federal, state, or local governmental agency,

tribe, person, partnership, corporation, or other association or entity for

any lawful purpose pertaining to the business of the Tribal Gaming

Commission or that is necessary or incidental to the accomplishment of the

purposes of the Tribal Gaming Commission.

4.18.27 To exercise the tribal power to tax authorized by the Quechan Tribal

Constitution in accordance with a Tribal Council resolution delegating such

power to the Tribal Gaming Commission and in accordance with this Code

and other applicable law.

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

property or against any risk or hazard.

4.18.29 To engage in any and all activities that directly or indirectly carry out the

purposes of the Tribe as set forth in this Code.

4.18.30 With prior approval of the Tribal council, to make application and accept

grants and other awards from private and governmental sources in carrying

out or furthering the purposes of the Tribal Gaming Commission or the

Tribe.

4.18.31 To exercise all authority delegated to it or conferred upon it by applicable

law and to take all action that shall be reasonably necessary and proper for

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 22

Quechan Resolution Nos. R-42-94 and R-209-02
carrying into execution the foregoing powers and all of the powers vested

in this Code as permitted by the purposes and powers herein stated all in

compliance with applicable law.

4.18.32 To establish and maintain such bank accounts as may be necessary or

convenient.

4.18.33 To require by regulation the filing of any records, forms, and reports and

all other information desired by the Tribal Council for implementation of

this Code relating to any gaming operation or gaming facility operator, or

any investigation as required by tribal law and the IGRA.

4.18.34 To provide for an internal system of record keeping with adequate

safeguards for preserving confidentiality as deemed necessary by the Tribal

Gaming Commission. All applications, background investigations and

Tribal Gaming Commission decisions shall be retained in Tribal Gaming

Commission files for a period of at least ten years.

4.18.35 To adopt a schedule of fees to be charged for gaming licenses issued

pursuant to this Code and related activities.

4.18.36 To adopt a schedule of fees and charges for services rendered relating to

transcripts and the furnishing or certif~,ring of copies of proceedings, files,

and records.

4.18.37 To conduct or arrange for background investigations of all persons who

propose to participate in any gaming activity.

4.18.38 To compel obedience of its lawful orders by proceedings of mandamus or

injunction or other proper proceedings in the name of the Tribe in Tribal

Court or in any other court having jurisdiction of the parties and of the

subject matter; provided that no suit shall be brought by the Tribal Gaming

Commission without the prior explicit written approval of the Tribal

Council after consultation with the Tribal attorneys.

4.18.39 To discipline any licensee or other person participating in any gaming

activity by ordering immediate compliance with this Code or Tribal Gaming

Commission regulations and to issue an order of temporary suspension of

any license issued under this Code, whenever the Tribal Gaming

Commission is notified of a violation by any such person of this Code or

any other applicable law.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 23

Quechan Resolution Nos. R-42-94 and R-209-02
4.18.40 To issue an order of temporary closure of any gaming thcility in the event

the Tribal Gaming Commission determines that immediate closure is

necessary to protect assets or interests of the Tribe, pursuant to Tribal

Gaming Commission regulations, or whenever the Tribal Gaming

Commission shall receive information from the NIGC that a primary

management official or key employee of a licensee does not meet the

standards for being licensed under the IGRA.

4.18.41 To become self.regulating whenever the Tribe becomes eligible for a

certificate of self-regulation under the IGRA.

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

operating budget for all Tribal Gaming Commission activities and present it to the

Council by October 15th of each year.

4.20 Executive Director. In order to comply with the Arizona Compact, the

Commission shall appoint an individual to serve as the Executive Director of the

Commission to administer the day-to-day business of the Commission relating to

the Tribes Arizona gaming operations, as delegated by the Commission. Without

limiting the generality of the foregoing, the Commission may direct the Executive

Director to conduct preliminary investigations and render recommendations to the

Commission with respect to the grant or denial of any license, the imposition of

any penalty or fine, the investigation of any complaint, or any other action within

the jurisdiction of the Commission. The Executive Director shall have no

involvement in the day-to-day business of the Commission relating to the Tribes

California gaming operations.

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:

/

4.21.1.1 Internal operational procedures of the Tribal Gaming

Commission and its staff

4.21.1.2 Interpretation and application of this Code as may be

necessary to carry out the Tribal Gaming Commissions duties and

exercise its powers;

4.21.1.3 A regulatory system for all gaming activities, including

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 24

Quechan Resolution Nos. R-42-94 and R-209-02
accounting, contracting, management, and supervision of gaming

operators and gaming facility operators;

4.21.1.4 The findings of any reports or other information required by

or necessary to implement this Code; and

4.21.1.5 The conduct of inspections, investigations, hearings,

enforcement actions, and other powers of the Tribal Gaming

Commission authorized by this Code.

4.21.2 No regulation of the Tribal Gaming Commission shall be of any force or

effect unless adopted by the Tribal Gaming Commission by written

resolution and ified for record in the offices of both the Tribal Secretary

and Tribal Gaming Commission.

4.21.3 The Tribal Court and any other court of competent jurisdiction shall take

judicial notice of all Tribal Gaming Commission regulations adopted

pursuant to this Code.

4.22 Right of Entrance; Bi-Monthly Inspection. The Tribal Gaming Commission

and duly authorized officers and employees of the Tribal Gaming Commission may

enter upon any premises of any gaming facility, during regular business hours, for

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

documents of any gaming activity. The gaming operation or gaming thcility

operator shall facilitate such inspection or examinations by giving every reasonable

aid to the Tribal Gaming Commission and to any properly authorized officer or

employee.

A Commissioner or a member of the Tribal Gaming Commissions staff shall visit

each gaming facility at least once every two weeks during normal business hours

for the purpose of monitoring its operation. Such visits shall be unannounced.

4.23 Investigations. The Tribal Gaming Commission, upon complaint, 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 who is subject to the provisions of this Code. In conducting such

investigation, the Tribal Gaming Commission may proceed either with or without a

hearing as it may deem best, but it shall make no order without affording any

affected party notice and an opportunity for a hearing pursuant to Tribal Gaming

Commission regulations.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 25

Quechan Resolution Nos. R-42-94 and R-209-02
4.24 Hearings; Examiner. Pursuant to regulations, the Tribal Gaming Commission

may hold any hearing it deems to be reasonably required in the administration of its

powers and duties under this Code. 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 issue its order without a hearing.

The Tribal Gaming Commission may designate one of its members to act as

examiner for the purpose of holding any hearing or the Tribal Gaming commission

may appoint another person to act as examiner under Section 4.25. The Tribal

Gaining Commission shall provide reasonable notice and the right to present oral

or written testimony to all people interested therein as determined by the Tribal

Gaming Commission.

4.25 Appointment of Examiner; Power of Examiner. The Tribal Gaming

Commission may appoint any 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 that the Tribal Gaming Commission or any member thereof

has power or authority to hold. Any such appointment shall constitute a

delegation to such examiner of all powers of a Commissioner under this Code with

respect to any such hearing.

4.26 Quarterly Report of Tribal Gaming Commission. The Tribal Gaming

Commission shall file a quarterly report with the Tribal Council summarizing

reports received from each gaming operation and gaming facility operator and

make such comments as it deems necessary to keep the Tribal Council fully

informed as to the status of the Commissions activities.

4.27 Additional Rights, Duties and Responsibilities of the Tribal Gaming

Commission Regarding Class ifi Gaming. In addition to the other rights, duties

and responsibilities delegated to it under this Code and applicable tribal law, the

Tribal Gaming Commission shall be responsible for the activities relating

specifically to Class III gaming as specified in Title III, Section 10, and Title IV,

Section 10 of this Code.

Section 5. Provisions of General Applicability to All Tribal Gaming Activities.

5.1 Tribal Gaming License Required.

5.1.1 Each Class II or Class III gaming activity within the jurisdiction of the

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September IS, 2002 Page 26

Quechan Resolution Nos. R-42-94 and R-209-02
Tribe shall be conducted only pursuant to current and valid tribal gaming

licenses.

5.1.2 No tribal gaming license shall be sold, lent, assigned or otherwise

transferred.

5.1.3 Each employee, including primary management officials and key

employees, of a gaming operations or gaming facility operator shall possess

a current and valid tribal gaming employee license.

5.1.4 A tribal gaming license shall be issued only to a person who qualifies

therefor under this Code or to the Tribe.

5.2 Bank Accounts and Record Keeping.

5.2.1 Bank Account for Tribally Owned Gaming Operation. The Tribe shall

open a separate bank account for each tribally owned gaming operation and

gaming facility operator, and all receipts of each gaming activity shall be

deposited in that account.

5.2.2 All accounting records of each gaming operation or gaming facility

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

detailed, supporting, subsidiary records. The licensee and the Tribe shall

maintain the following records for not less than ten years:

5.2.2.1 Revenues, expenses, assets, liabilities and equity for each

location at which Class II and Class III gaming is conducted;

5.2.2.2 Daily cash transactions for each Class II and Class III game

at each location at which gaming is conducted, including but not limited

to transactions relating to each gaming table bank, game drop box, and

gaming room bank;

5.2.2.3 All markers, lOUs, returned checks, hold checks or other

similar credit instruments;

5.2.2.4 Individual and statistical game records to reflect statistical

drop and statistical win; for electronic, computer, or other

technologically assisted games, analytic reports which show the total

amount of cash wagered and the total amount of prizes won;

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 27

Quechan Resolution Nos. R-42-94 and R-209-02
5.2.2.5 Contracts, correspondence and other transaction documents

relating to all vendors and contractors;

5.2.2.6 Records of all customer complaints and tribal gaming

enforcement activities;

5.2.2.7 All gaming related audits prepared by or on behaff of the

Tribe or one of its subdivisions.

5.2.2.8 Personnel information on all gaming employees or agents

including rotation sheets, hours worked, employee profiles and

background checks.

5.2.3 All permanent books of accounts and records, including inventory records

of gaming supplies, sufficient to establish the gross and net income,

deductions, expenses, receipts, and disbursement of gaming operators and

gaming facility operators.

5.3 Audit Requirements.

5.3.1 Each gaming operation and gaming facility operator shall provide a copy of

an annual independent audit to the Tribal Gaming Commission, the Tribal

Council, and the National Indian Gaming Commission. The audit shall be

conducted in accordance with the auditing and accounting standards for

audits of casinos of the American Institute of Certified Public Accountants.

5.3.2 Each contract for supplies, services (other than legal and accounting

services) or concessions for a contract amount in excess of $25,000

annually shall be subject to an independent audit. A copy of such audit will

be provided to the Tribal Gaming Commission, the Tribal Council, and the

NIGC.

5.4 Notices to the Public.

5.4.1 Each gaming operation and gaming facility operator shall have a copy of

this Code and regulations readily available for inspection by any person at

each of its gaming facilities.

5.4.2 Each gaming operation and gaming facility operator shall post in a

conspicuous location near where each game is being played an explanation

of the rules of play of every game operated or shall otherwise provide the

Gaming Code of the Quechan Tribe Title

Enacted September 15, 1994; Amended September 18, 2002 Page 28

Quechan Resolution Nos. R-42-94 and R-209-02
public with such an explanation.

5.5 Age Restrictions.

5.5.1 No person under the age of2l shall be employed by any gaming operation.

gaming facility operator, or the Tribal Gaming Commission, except that up

until July 1, 2003, persons who are at least 18 years of age may be

employed in the Tribes Arizona Gaming facility or in connection with the

Tribes Arizona gaming facility or in connection with the Tribes Arizona

gaming operation. No person under 21 years of age shall be employed in

the service of alcoholic beverages at any gaming facility.

5.5.2 No person under the age of2l shall be permitted to place any wager,

directly or indirectly, in any gaming facility, except that up until July 1,

2003, persons who are least 18 years of age may place any wager, directly

or indirectly, in the Tribes Arizona gaming facility.

5.5.3 No person under the age of2l years shall be permitted to enter the area of

any building in which a gaming activity is being conducted. No person

under the age of2l years shall be permitted to enter the area of any

building in which gaming activity is being conducted and alcoholic

beverages are being served, except that up until July 1, 2003, persons who

are at least 18 years of age may be permitted to enter areas of the Tribes

Arizona gaming facility where alcoholic beverages are being served.

5.6 Equipment Restrictions.

5.6.1 A gaming operation or gaming facility operator is prohibited from renting

or lending gaming equipment to any person without the prior written

approval of the Tribal Gaming Commission.

5.6.2 Each gaming operation and gaming facility operator that anticipates the

printing, manufacture, or construction of any equipment for gaming activity

shall first notit~y the Tribal Gaming Commission of its intention and shall

have the finished product approved by the Tribal Gaming Commission

before it is placed in service.

5.7 Methods of Payment.

5.7.1 Gaming chips and other tokens of value may be sold and redeemed only by

the same gaming facility and only for full value.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 29

Quechan Resolution Nos. R-42-94 and R-209-02
5.7.2 Consideration for the chance to play in any gaming activity shall be only

cash or, if allowed by the gaming operation or gaming facility operator,

personal check and shall be presented at the time the game is played. No

other form of consideration shall be allowed unless the Tribal Gaming

Commission gives prior written approval.

5.7.3 For the purposes of Title IV only:

5.7.3.1 The gaming operation shall not cash any check

drawn against a federal, state, county, or city fund, including, but not

limited to, Social Security, unemployment insurance, disability

payments, or public assistance payments, but excluding payroll checks

or checks for the delivery of goods or services.

5.7.3.2 The gaming operation shall not credit to gaming

patrons for gambling purposes. Acceptance of a personal check that is

deposited within one business day does not constitute an extension of

credit.

5.8 Compliance Requirements.

5.8.1 Evidence of any win or loss incurred by a player must, upon request, be

provided to such player in such form as will be acceptable to the Internal

Revenue Service.

5.8.2 Each gaming operation and gaming facility operator shall pay all fees and

file all reports required by law within the time prescribed.

5.8.3 Each gaming operation and gaming facility operator, its primary

management officials, and employees shall respond immediately to and

obey all inquiries, subpoenas, or orders of the Tribal Gaming Commission~,

the Tribal Council, the Tribal Court, or the NIGC.

5.8.4 Each gaming operation and gaming facility operator shall be subject to

patrol by the tribal police force for the purpose of enforcing tribal law, and

each gaming operation and gaming facility operator and its primary

management officials, and employees shall cooperate at all times with the

tribal police force or any other law enforcement entity with jurisdiction on

the Reservation.

5.8.5 Each gaming operation and gaming facility operator shall make its premises

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 30

Quechan Resolution Nos. R-42-94 and R-209-02
and books and records available for inspection during normal business

hours by the Tribal Gaming Commission, the NIGC and members fo the

Tribal Council or their designee.

5.8.6 Each gaming operation and gaming facility operator, its primary

management officials, and employees shall comply with all applicable tribal

and federal revenue reporting laws.

5.9 Miscellaneous.

5.9.1 There shall be no sale of liquor at any gaming facility without the prior

approval of the Tribal Council.

5.9.2 Each gaming operation and gaming facility operator shall at all times

maintain an orderly, clean, and neat gaming facility, inside and out.

5.9.3 Each gaming operation and gaming facility operator shall provide adequate

security to protect the public before, during, and afler any gaming activity.

5.9.4 No gaming operation or gaming facility operator may discriminate on the

basis of sex, race, color, or creed in the conduct of any gaming activity.

5.10 Zero Tolerance Policy. Each gaming operator and gaming facility operator shall

immediately suspend with pay any employee who is charged with a crime of theft,

embezzlement, fraud or other gaming crime, or any offense related to the sale,

possession, manufacture, or transport of illegal drugs. Gaming operators and

gaming facility operators shall also immediately notif~, the Tribal Gaming

Commission in writing the name of the person and the pending charge and advise

the Tribal Gaming Commission of the outcome of the case. If the employee is

convicted or pleads no contest to the charge, the employees employment shall be

terminated.

5.11 Liability Insurance. Each gaming operator and gaming facility operator shall

carry sufficient liability insurance to protect the public in the event of an accident.

The Tribal Gaming Commission shall determine the amount of liability insurance

required for each gaming facility, but in no case shall such insurance and amount

be less than required by any applicable tribal-state gaming compact in effect.

Section 6. Enforcement.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 31

Quechan Resolution Nos. R-42-94 and R-209-02
6.1 Ji~risdiction. Except as provided in this Code or in any tribal-state gaming

compact under the IGRA, the Tribe shall have jurisdiction over all violations of

this Code.

6.2 Prohibited Act. In addition to other civil and criminal offenses provided for in

this Code or under other applicable law, the following acts are prohibited and

subject any violator to the civil or criminal penalties specified herein:

6.2.1 To knowingly make a false statement in an application for employment

with any gaming operation or gaming facility operator or with the Tribal

Gaming Commission.

6.2.2 To knowingly make a false statement in connection with any contract to

participate in any gaming activity.

6.2.3 To attempt to bribe any person participating in any gaming activity.

6.2.4 To offer or accept a loan, financing, or other thing of value between a

Tribal Gaming Commission member or employee and any person

participating in any gaming activity.

6.2.5 To fail to keep sufficient books and records to substantiate receipts,

disbursements, and expenses incurred or paid from any gaming activity.

6.2.6 To thisiFy any books or records which relate to any transaction connected

with any gaming activity.

6.2.7 To conduct or participate in any gaming activity which in any manner

results in cheating or misrepresentation or which allows any other

disreputable tactics that detract from the fair nature and equal chance of

participation between gaming players, or which otherwise creates an

advantage over and above the chance of such gaming activity and which

affects its outcome.

6.2.8 To conduct a gaming activity with or to allow participation in a gaming

activity by an intoxicated or disorderly player.

6.2.9 To allow or participate in the sale of liquor at gaming facilities when such

sale is not permitted by tribal law.

6.2.10 To accept consideration other than money, personal checks, or other

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1 994~ Amended September 18, 2002 Page 32

Quechan Resolution Nos. R-42-94 and R-209-02
approved consideration for the chance to participate in any gaming activity.

6.2.11 To solicit, directly or indirectly, or to use inside information on the nature

or status of any gaming activity for the benefit of any person.

6.2.12 To tamper with a gaming devise or conspire to tamper or manipulate the

outcome or the payoff of a gaming devise, or otherwise interfere with the

proper functioning of the machine.

6.2.13 To alter or counterfeit a tribal gaming license.

6.2.14 To aid, abet, or conspire with another person knowingly or knowingly to

cause any person to violate any provision of this Code or any rules and

regulations adopted hereunder.

6.2.15 To operate, use, or make available to the public any illegal gaming device,

apparatus, material, or equipment.

6.2.16 To sell or hold out for sale or transport into or out of the jurisdiction of the

Tribe any illegal gaming device, apparatus, material, or equipment.

6.2.17 To assist or allow a person who is under age to participate in any gaming

activity.

6.2.18 To possess any illegal narcotics or controlled substances at any gaming

facility.

6.2.19 To steal or attempt to steal funds or other items of value from any gaming

facility or from the Tribal Gaming Commission.

6.2.20 To employ any person at a gaming facility whom the gaming operation or

gaming facility operator knows has been convicted of a gaming crime or a

crime of fraud.

6.2.21 To conspire with or induce ay person to violate any of the provisions of

this Code or any tribal or federal law.

6.2.22 To engage in any act, gaming-related practice, or course of operation that

could result in a fraud or deceit upon any person or the Tribe.

6.2.23 To use bogus or counterfeit chips or gaming tickets or to substitute or use

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 33

Quechan Resolution Nos. R-42-94 and R-209-02
any game, cards, gaming tickets, or gaming equipment that have been

marked or tampered with.

6.2.24 To employ or have on the Reservation any device to facilitate cheating in

any game of chance.

6.2.25 To knowingly use any fraudulent scheme or technique, or to solicit,

provide, or receive inside information about any gaming activity with the

intent of benefitting any person.

6.2.26 To take, solicit, or encourage any action that undermines the integrity of

any game of chance.

6.2.27 For a gaming operator or gaming facility operator to knowingly employ

any person who has been convicted of or entered a plea of no contest to a

crime of theft, embezzlement, fraud, or other gaming crime.

6.2.28 To possess firearms in a gaming facility in violation of Title IV, Section

11.6.

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

provision of this Code or who fails to comply with any order or decision of the

Tribal Gaming Commission shall be guilty of a crime and shall be required to pay a

maximum fine of $5,000 or serve not to exceed one year imprisonment, or both.

Each day during which such violation or failure to comply continues shall

constitute a separate violation of this Code.

6.4 Civil Violation. Any person who violates or fails to comply with any provision of

this Code or who fails or neglects to comply with any order of the Tribal Gaming

Conmiission shall be liable for a civil fine not to exceed $5,000 for each violation

thereof. Each day during which such violation or failure to comply continues shall

constitute a separate violation of this Code. The amount of any such civil fine may

be recovered in a civil action in the Tribal Court.

6.5 Cumulative Fines. All civil fines accruing under this Code shall be cumulative,

and a suit for the recovery of one fine shall not bar or affect the recovery of any

other fine, judgment, penalty, forfeiture, or damages, nor bar the power of the

Tribal Court to punish for contempt, nor bar any criminal prosecution.

6.6 Purpose of Civil Penalties. The civil fines imposed under this Code are intended

to be remedial and not punitive and are designed to compensate the Tribe for the

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 34

Queclian Resolution Nos. R-42-94 and R-209-02
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 Code. The civil fines under this Code are also intended to coerce

persons into complying with this Code and Tribal Gaming Commission regulations

and not to punish such persons for violation of such laws and regulations.

6.7 Civil Action for Penalties. In enforcing the civil infraction provisions of this

Code, the Tribal Gaming Commission shall proceed, in the name of the Tribe, by

civil complaint pursuant to the provisions of this Code. The Tribal Gaming

Commission in such action shall have the burden of showing by a preponderance of

the evidence that such person violated the applicable provision of this Code.

6.8 Seizure and Forfeiture of Property. All property utilized in violation of this

Code 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.

6.9 Reporting of Offenders. Upon final order of the Tribal Court in any action for

criminal or civil violation under this section, the Clerk of the Tribal Court shall

notiI~ the Tribal Gaming Commission in writing of the final Tribal Court

disposition.

Section 7. Use of Revenues, Maintenance of Records and Management Contracts.

7.1 Use of Net Revenues of Gaming Operations and Gaming Facility Operators.

7.1.1 All net revenues from gaming activities of gaming operations and gaming

facility operators shall be held in the name of the Tribe. Such net revenues

may be expended only by the Tribal Council by resolution and only for the

following purposes:

7.1.1.1 To fund tribal government operations or programs.

7.1.1.2 To provide for the general welfare of the Tribe and its

members.

7.1.1.3 To promote tribal economic development.

7.1.1.4 To donate to charitable organization.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 35

Quechan Resolution Nos. R-42-94 and R-209-02
7.1.1.5 To help fund operations of local government agencies.

7.1.1.6 To make such contributions to the Special Distribution

Fund and Revenue Sharing Trust Fund as may be required under the

California Compact.

7.2 Maintenance of Records. The Tribal Gaming Commission shall insure that all

accounting records of each gaming operation and gaming facility operator are kept

on a double ently system of accounting, maintaining detailed, supporting,

subsidiary records. The Tribal Gaming Commission shall also insure that gaming

operations, gaming facility operators, and the Tribal Gaming Commission maintain

the following records for not less than three years;

7.2.1 Revenues, expenses, assets, liabilities and equity for each gaming facility at

which Class II and Class III gaming is conducted;

7.2.2 Daily cash transactions for each Class II and Class III game at each gaming

facility at which gaming is conducted, including but not limited to

transactions relating to each gaming table bank, game drop box, and

gaming room bank;

7.2.3 All markers, lOUs, returned checks, hold checks or other similar credit

instruments;

7.2.4 Individual and statistical game records (except card games) to reflect

statistical drop and statistical win; for electronic, computer, or other

technologically assisted games, analytic reports which show the total

amount of cash wagered and the total amount of prized won;

7.2.5 Contracts, correspondence and other transaction documents relating to all

vendors and contractors;

7.2.6 Records of all tribal gaming enforcement activities;

7.2.7 All gaming-related audits prepared by or on behalf of the Tribe or one of its

subdivisions;

7.2.8 Personnel information on all Class II and Class III tribal gaming employees

or agents including rotation sheets, hours worked, employee profiles and

background checks.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 36

Quechan Resolution Nos. R-42-94 and R-209-02
Section 8. Gaming Management Contract Requirements.

8.1 License; Approval. In addition to specific licensing requirements contained in

this Code, each management contract shall fully comply with and is subject to the

prior approval of the National Indian Gaming Commission.

8.2 Approval Procedures. Before submission to the NIGC, each management

contract shall be approved by the Tribal Council with the advice and comment of

the Tribal Gaming Commission. In addition, all management contracts for Class

III gaming in Arizona must receive certification from the Arizona State gaming

agency. Before giving final consideration to any proposed management contract,

the Tribal Council shall direct the Tribal Gaming Commission to conduct a

complete background investigation of persons with a financial interest in, or having

management responsibility for, the management contract, including requiring the

submission of all information required under 25 C.F.R. § 537, as amended,

incorporated herein by this reference and, where applicable, seek State certification

of the agreement.

8.2.1 The proposed management contractor must submit a complete background

check form which contains at a minimum the following: its name, its

address, the names and addresses of each person having a direct financial

interest or management responsibility for the proposed management

contractor, and in the case of a corporation the names and addresses of

each member of its board of directors and all stockholders who hold

directly or indirectly 10 percent or more of its issued or outstanding stock.

8.2.2 A description of any previous experience that each person listed in Section

8.2.1 above has had with other gaming contracts with Indian tribes or with

any gaming activity or operation wherever located, including the name and

address of any tribal government or licensing agency with which such

person has had a contract, license, permit, or other agreement relating to

gaming.

8.2.3 A complete financial statement of each person listed in Section 8.2.1.

8.2.4 The Tribal Gaming Commission shall contact each of the tribal

governments and licensing agencies in Section 8.2.2 to determine the

performance history of the proposed management contractor.

8.2.5 The Tribal Gaming Commission shall arrange to have each proposed

management contractor investigated to learn of his personal attributes and

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September 18, 2002 Page 37

Quechan Resolution Nos. R-42-94 and R-209-02
to determine whether he has a prior criminal record or any pending criminal

charges.

8.2.6 The Tribal Gaming Commission shall obtain an independent verification of

the completed financial statements of the proposed management

contractor.

8.2.7 The Tribal Gaming Commission shall undertake any additional steps it can

to determine the character and reputation of the proposed management

contractor and each person listed in Section 8.21.

8.2.8 If the Tribal Council after reviewing the above-described information, still

desires to enter into a management contract with the proposed

management contractor, such management contract shall be made in

writing and submitted to the Tribes attorneys for review.

8.3 Compliance with 25 C.F.R. Part 531. Before any management contract is

approved by the Tribal Council, it must include at a minimum all of the required

provisions contained in 25 C.F.R. Part 531, as amended, incorporated herein by

this reference.

8.4 Submission to National Indian Gaming Commission. If the Tribal Council is

satisfied with the information it receives it shall submit the proposed contract along

with all of the above described and any additional information requested to the

Chairman of the NIGC for approval.

Section 9. Severability. In the event that any section or provision of this Code is held invalid

by a court of competent jurisdiction,, the remaining sections or provisions of this Code

shall continue in fI.ill force and effect.

Section 10. Effective Date. This Code shall become effective upon the date of its approval by

the Chairman of the NIGC pursuant to the IGRA. Any subsequent amendments to this

Code shall become effective upon the date of their approval by the Tribal Council.

Gaming Code of the Quechan Tribe Title I

Enacted September 15, 1994; Amended September IS, 2002 Page 38

Quechan Resolution Nos. R-42-94 and R-209-02
GAMING CODE

OF THE

QUECHAN INDIAN TRIBE

TITLE IV

CLASS Ill GAMING IN THE STATE OF CALIFORNIA

Section 1. Applicability. This Title applies to and regulates all Class III gaming activities

operated on Quechan Indian lands within the State of California.

Section 2. Ownership of Gaming Operation. The Class III gaming operations authorized

under this Title shall be owned solely by the Quechan Indian Tribe.

Section 3. Class III Games Authorized for Play in the State of California

3.1 Authorized Class HI Games. Consistent with applicable law and the California

Compact, the Tribe authorizes the following Class III games of chance for play on

Quechan Indian lands located in the State of California:

3.1.1 Gaming devices;

3.1.2 Banking or percentage card games; and

3.1.3 Devices or games that are authorized under California state law to the

California State Lottery, provided that the Tribe will not offer such games

through use of the Internet unless others in the state are pennitted to do so

under state or federal law.

3.2 Technical Requirements Applicable to the Class III Games Authorized for Play

in California.

3.2.1 All gaming devices and other games authorized in Section 3.1 of this Title

must comply with technical standards adopted by the Tribal Gaming

Commission.

3.2.2 The technical standards adopted by the Tribal Gaming Commission shall be

no less stringent than those approved by a recognized gaming testing

laboratory in the gaming industry.

Gaming Code of the Quechan Tribe Title IV

Enacted September IS, 2002 Pagc 95

Quechan Resolunon No. R-209-02
3.2.3 The Tribal Gaming Commission may, at its discretion, require the testing of

any gaming device to ensure compliance with the requirements of Section 3.2

of this Title.

Any such testing shall be conducted according to the technical standards

adopted by the Tribal Gaming Commission.

3.3 Number of Games and Locations.

3.3.1 Number of Gaming Devices. The Tribe may operate up to the number of

gaming devices provided for under Section 4.3 ofthe California Compact, as

may be amended from time to time.

3.3.2 Authorized Gaming Facilities. The Tribal Gaming Commission may license

no more than 2 Class II! gaming facilities in California, and only on those

Indian lands on which gaming may lawfully be conducted under IGRA

3.4 Transportation of Gaming Devices. The Tribal Gaming Commission shall not

permit any gaming device used in a Class Ill gaming facility in California to be

transported to or from the Tribes land except in accordance with Section 7.4.5(b) of

the California Compact and procedures established by agreement between the State

Gaming Agency and the Tribal Gaming Commission and upon at least 10 days notice

to the Imperial County Sheriffs Department.

Section 4. Licensing Standards.

4.1 Mandatory Licenses. All persons in any way connected with the gaming operation

or gaming facility who are required to be licensed or to submit to a background

investigation under IGRA, and any others required to be licensed under the California

Compact, including all gaming employees, gaming resource suppliers, financial

sources, and the gaming facility must be licensed by the Tribal Gaming Commission.

4.2 Suitability Standard. In reviewing an application for a gaming license, and in

addition to any standards set forth in this Title or in regulations of the Tribal Gaming

Commission, the Tribal Gaming Commission shall consider whether issuance of the

license is inimical to public health, safety, or welfare, and whether issuance of the

license will undermine public trust that the Tribes gaming operations, or tribal

government gaming generally, are free from criminal and dishonest elements and

would be conducted honestly. A license may not be issued unless, based on all

information and documents submitted, the Tribal Gaming Commission is satisfied that

the applicant is all of the following, in addition to any other criteria in the IGRA:

Gaming Code orthe Qnecban Tribe Title IV

F.nacted September 18, 2002 Page 96

Quechan Resolution No. R-209-02
4.2.1 A person of good character, honesty, and integrity;

4.2.2 A person whose prior activities, criminal record (if any), reputation, habits,

and associations do not pose a threat to the public interest or to the effective

regulation and control of gambling, or create or enhance the dangers of

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

gambling, or in the carrying on of the business and financial arrangements

thereto.

4.2.3 A person who is in all other respects qualified to be licensed as provided in the

California Compact, the IGRA, this Title, and any other criteria adopted by

the Tribal Gaming Commission or the Tribe.

Section 5. Class III Gaming Facility License

5.1 Current and Valid Class III Gaming Facility License. No Class III gaming

activity may be operated in any gaming facility unless the gaming facility possesses a

current and valid Class Ill gaming facility license issued by the Tribal Gaming

Commission. The Class III gaming facility license shall serve as a certificate of

occupancy and must be issued prior to occupancy of the gaming facility.

5.2 Application Procedure for Class 1111 Gaming Facility License. For each gaming

facility in which it conducts Class III gaming activities, the Tribe shall file with the

Tribal Gaming Commission an application for a Class III gaming facility license. The

application shall contain the name of the proposed gaming facility, its location, the

kind of gaming activities to be offered within the proposed gaming facility, the

number of each kind of Class III game, and all other pertinent information required

by this Code and Tribal Gaming Commission regulations.

5.3 Procedure for Review of Class HI Gaming Facility License Application. Before

issuing a license to a Class III gaming facility, the Tribal Gaming Commission shall:

5.3.1 Review the scope of the proposed gaming activity to ensure that all criteria

required by this Code are met;

5.3.2 Review the application to ensure that all ofthe criteria set forth in Section 5.4

of this Title will be met; and

5.3.3 Take any additional steps necessary to ensure the integrity of such gaming

activity.

5.4 Criteria for Issuance of a Class HI Gaming Facility License. The Tribal Gaming

Gaming Code of the Quechan Tribe Title IV

Enacted September 18, 2002 Page 97

Quechan Resolution No. R.209-02
Commission may issue a license to a Class III gaming facility only if all of the

following criteria are met:

5.4.1 The gaming facility is to be located on land that was held in trust for the Tribe

prior to October 17, 1988; or on trust lands that were located within or

contiguous to the boundaries of the Reservation on October 17, 1988; or on

lands taken into trust after October 17, 1988, pursuant to the process detailed

in 25 U.S.C. § 2719.

5.4.2 The gaming activity proposed to be conducted within the gaming facility is

authorized by this Code and the California Compact.

5.4.3 The number ofauthorized games is authorized by this Code and the California

Compact.

5.4.4 The construction and maintenance ofthe gaming f~cility, and the operation of

the proposed gaming activity, shall be conducted in a manner which the Tribal

Gaming Commission finds will adequately protect the environment and the

public health and safety.

5.4.5 The gaming facility meets the standards contained in the Uniform Laws

Annotated Codes covering the following:

5.4.5.1 The Uniform Building Code (1988 or revised edition);

5.4.5.2 The Uniform Mechanical Code (1988 or revised

edition);

5.4.5.3 The Uniform Plumbing Code (1 988 or revised

edition);

5.4.5.4 The Uniform Fire Code (1988 or revised edition); and

5.4.5.5 The National Electrical Code (1996 or revised

edition).

5.4.6 The gaming thcility meets the requirements of the federal Americans with

Disabilities Act, P.L. 101-336, as amended, 42 U.S.C. § 12101 et seq.

5.4.7 Inspections by qualified building and safety experts have been carried out

under the direction ofthe Tribal Gaming Commission as the basis for issuing

any Class III gaming thcility license.

Gaming Code of the Quechan Tribe Title IV

Enacted September 18,2002 Page 98

Quechan Resolution No. R-209-02
5.5 Inspections by State Gaming Agency.

5.5.1 The Tribal Gaming Commission shall give the State Gaming Agencys

designated agent reasonable notice of each inspection performed by the

Tribes experts under Section 5.4.7 of this Title and permit such State agent

to accompany any such inspection.

5.5.2 The Tribe agrees to correct any gaming facility condition noted by the States

designated agent in a Section 5.4.7 inspection that does not meet the

standards set out in Sections 5.4.5 and 5.4.6 of this Title.

5.5.3 The Tribal Gaming Commission and the States designated agent shall

exchange any reports of a Section 5.4.7 inspection within 10 days after

completion ofthe report and simultaneously forward a separate report to the

Tribes President.

5.5.4 Upon certification by the Tribes experts that a gaming facility meets

applicable standards, the Tribal Gaming Commission shall forward the

experts certification to the States designated agent within 10 days of

issuance.

5.5.5 Ifthe States designated agent objects to the Tribes experts certification, the

Tribe shall make a good faith effort to address the States concerns. If the

State does not withdraw its objection, the matter will be resolved in

accordance with the dispute resolution provisions ofthe California Compact.

5.6 Grounds for Denial of Class III Gaming Facility License

5.6.1 A Class III gaming facility license shall be denied if the Tribal Gaming

Commission finds that:

5.6.1.1 Any ofthe criteria contained in Section 5.4 of this Title have not been

met; or

5.6.1.2 Any aspect of the gaming facility is constructed or maintained in a

manner that endangers the health and safety of occupants or the

integrity of the gaming operation.

5.7 Fee for Class III Gaming Facility License Application. An applicant for a Class

III gaming facility license shall pay to the Tribal Gaming Commission a fee, set by the

Tribal Gaming Commission, sufficient to compensate the Tribal Gaming Commission

for the cost of review of the license application.

Gaming Code of the Quechan Tribe Title IV

Enacted September 18,2002 Page 99

Quechan Resolution No. R-209-02
5.8 Form of Class III Gaming Facility License. Every Class III gaming facility license

issued by the Tribal Gaming Commission shall include the name and address of the

licensed facility, the name and address ofthe Tribe, the type and number ofauthorized

Class 111 games to be conducted in the facility, the signature ofan authorized officer

of the Tribal Gaming Commission, a license identification number, and the date of

expiration.

5.9 Scope of Class 111 Gaming Facility License. A Class III gaming facility license

issued by the Tribal Gaming Commission shall be effective for only the gaming

activity, including the type and number of games to be played within the facility, and

location specified in the application and the license.

5.10 Term of Class III Gaming Facility License. A Class III gaming facility license shall

be valid for a period of not more than 2 years from the date of issuance.

5.11 Posting of Class 111 Gaming Facility License. Each gaming facility shall post its

Class III gaming facility license in a conspicuous and public place in the gaming

facility at all times. If the Tribe has more than one gaming facility, it must obtain and

post a separate license for each gaming facility.

5.12 Renewal of Class III Gaming Facility License. Each Class III gaming facility

license must be reviewed and renewed, if appropriate, at least every 2 years.

Verification that this requirement has been met shall be provided by the Tribal Gaming

Commission to the State Gaming Agency every 2 years.

Section 6. Class III Tribal Gaming Employee License

6.1 Current and Valid Class III Tribal Gaming Employee License Required. Every

gaming employee, including primary management officials and key employees,

participating in any Class III gaming activity shall apply for a Class III tribal gaming

employee license and shall possess a current and valid Class III tribal gaming

employees license no later than 90 days from date of employment. In addition, all

gaming employees must apply for a determination ofsuitability for licensure under the

California Gambling Control Act from the State Gaming Agency, except for non-key

gaming employees as defined by agreement between the Tribal Gaming Commission

and the State Gaming Agency under Section 6.5.6 of the California Compact.

6.2 Application Procedure for Class III Tribal Gaming Employee License. All

applicants shall submit an application to the Tribal Gaming Commission on such form

and in such manner as the Tribal Gaming Commission may require. All applications

shall be accompanied by the applicants fingerprint card(s), current photograph, and

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any applicable fee required by the Tribal Gaming Commission. No application will

be processed by the Tribal Gaming Commission unless that application form is

complete and the applicant has signed all ofthe information release forms and privacy

waivers required by the Tribal Gaming Commission.

6.3 Application for Suitability Determination. Before issuing a temporary or

permanent license, the Tribal Gaming Commission shall require all applicants, except

those exempted under Section 6.1 of this Title, to file with the State Gaming Agency

an application for a determination of suitability for licensure under the California

Gambling Control Act and such releases as may be required under section 6.4.3 of

this Title.

6.4 Procedure for Review of Class III Gaming Employee License Application.

6.4.1 Background Investigations. Before issuing a license, the Tribal Gaming

Commission shall conduct or cause to be conducted a background

investigation sufficient to determine that the applicant is qualified for a gaming

license under the standards set out in Section 4.2 of this Title and to fulfill all

requirements for licensing under the IGRA, the California Compact, and this

Code. The Tribal Gaming Commission shall not issue a license other than a

temporary license until a determination is made that those qualifications have

been met.

6.4.2 Reliance on Other Sources. To fulfill some or all of the Tribal Gaming

Commissions background investigation obligation, and to the extent that

doing so does not conflict with or violate the IGRA or this Code, the Tribal

Gaming Commission may:

6.4.2.1 Contract with the State Gaming Agency for the

conduct of background investigations;

6.4.2.2 Rely on a state certification ofnon-objection previously

issued under a gaming compact involving another tribe; or

6.4.2.3 Rely on a state gaming license previously issued to the

applicant.

6.4.3 Releases. Applicants shall be required to provided releases to the State

Gaming Agency and the Tribal Gaming Commission to permit the State

Gaming Agency and the Tribal Gaming Commission to exchange background

information regarding the applicant.

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6.4.4 California Law Enforcement Telecommunications System (CLETS)

Compliance. Article 6 (commencing with Section 11140) of Chapter 1 of

Title 1 of Part 4 of the California Penal Code is applicable to members,

investigators, and staff of the Tribal Gaming Commission. For purposes of

carrying out its obligations under Section 6.4 of this Title, the Tribal Gaming

Commission shall be considered to be an entity entitled to receive state

summary criminal history information within the meaning of subdivision

(b)(12) of Section 11105 of the California Penal Code.

6.4.5 Reporting to NIGC and State Gaming Agency. To the extent required by

the IGRA and the California Compact, the Tribal Gaming Commission shall

promptly forward applications, background investigation reports, and related

information to the NIGC and the State Gaming Agency and notif~y the NIGC,

and the State Gaming Agency of its decisions to deny, issue, suspend or

revoke licenses. The Tribal Gaming Commission shall cooperate with the

State Gaming Agency in sharing as much background information as possible,

both to maximize investigative efficiency and thoroughness, and to minimize

investigative costs.

6.4.6 Temporary Licenses. If the Tribal Gaming Commission has conducted a

preliminary background investigation, and the investigation or other

information held by the Tribal Gaming Commission does not indicate that the

applicant has a criminal history or other background information that would

either automatically disqualiFy the applicant from obtaining a license or cause

a reasonable person to investigate further before issuing a license, or is

otherwise unsuitable for licensing, the Tribal Gaming Commission may issue

a temporary license and may impose such conditions thereon, pending

completion ofthe applicants background investigation, as the Tribal Gaming

Commission in its sole discretion shall determine. Special fees may be

required by the Tribal Gaming Commission to issue or maintain a temporary

license. A temporary license shall remain in effect until suspended or revoked,

or a final determination is made on the application. At any time after issuance

ofa temporary license, the Tribal Gaming Commission may suspend or revoke

it in accordance with Sections 6.5 and 9 of this Title, and the State Gaming

Agency may request suspension or revocation in accordance with Section

6.5.2 of this Title.

6.4.7 Issuance of Class III Gaming Employee License. Upon completion of the

necessary background investigation, the Tribal Gaming Commission may issue

a license on a conditional or unconditional basis. With respect to key

employees and primary management officials, however, the Tribal Gaming

Commission must wait at least 30 days from the date the NIGC receives the

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application and investigative report before issuing a license, in order to

provide the NIGC with an opportunity to notif~, the Tribal Gaming

Commission of any objections the NIGC may have to the issuance of the

license. When such objections are received from the NIGC within the 30-day

time period, the Tribal Gaming Commission must reconsider the application

in question, taking into account the NIGCs objections.

6.4.8 State Gaming Agency Hearings. Upon notice from the State Gaming

Agency that it intends to deny an application for a determination ofsuitability,

the Tribal Gaming Agency shall promptly review the State Gaming Agencys

preliminary decision and, if the Tribal Gaming Commission objects to the

proposed denial, request an opportunity for a hearing and diligently exercise

the right to a hearing by appearing and participating in the hearing.

6.4.9 Retention of Files. All applications, background checks, and Tribal Gaming

Commission decisions shall be retained in the Tribal Gaming Commission ifies

for a period of at least 3 years.

6.5 Denial, Suspension, or Revocation of Class Ill Gaming Employee License.

6.5.1 Any application for a gaming license may be denied, and any license issued

may be revoked, if the Tribal Gaming Commission determines that: the

application is incomplete or deficient; the applicant failed to comply with any

provision of the IGRA, the California Compact, this Code, Tribal Gaming

Commission regulations, or a tribal gaming license; or if the applicant is

determined to be unsuitable or otherwise unqualified for a gaming license.

Pending revocation, the Tribal Gaming Commission may summarily suspend

the license if it determines that the continued licensing of the person could

constitute a threat to public health or safety or may violate the licensing

standards contained in the IGRA, this Code, regulations promulgated by the

Tribal Gaming Commission, or the California Compact.

6.5.2 Except as provided for in Section 6.5.3 of this Title, upon receipt of notice

from the State Gaming Agency that it has determined that a person would be

unsuitable for licensure, the Tribal Gaming Commission shall promptly deny

or revoke any license that it has issued to the person; provided that the Tribal

Gaming Commission may, in its discretion, re-issue a license to the person

following entry of a final judgement reversing the determination of the State

Gaming Agency in a proceeding in state court conducted pursuant to Section

1085 of the California Civil Code.

6.5.3 Notwithstanding a determination ofunsuitability by the State Gaming Agency,

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the Tribal Gaming Commission may, in its discretion, decline to deny or

revoke a license issued to a person exempted under Section 6.1 of this Title

or to a person meeting each of the following criteria:

6.5.3.1 The person holds a valid and current license issued by

the Tribal Gaming Commission that must be renewed at least every 2

years;

6.5.3.2 The grounds for the State Gaming Agencys denial of

the application for a suitability determination predate the filing ofthe

persons application with the State Gaming Agency;

6.5.3.3 The person is not an employee or agent of any other

gaming operation, except a gaming operation of the Quechan Indian

Tribe; and

6.5.3.4 The person is either:

6.5.3.4.1 A person who is either certified by the Tribe as

being a member pursuant to criteria and standards

specified in the Tribes Constitution, or a holder of a

confirmation of membership issued by the Bureau of

Indian Afiinrs; or

6.5.3.4.2 A person who has been in the continuous

employ of the Tribe for at least 3 years prior to

September 10, 1999.

6.6 Fee for Class III Tribal Gaming Employee License. Applicants shall pay to the

Tribal Gaming Commission a fee, set by the Tribal Gaming Commission, sufficient to

compensate the Tribal Gaming Commission for the cost of review of the license

application.

6.7 Scope of Class Ill Tribal Gaming Employee License. A license shall be effective

only for the person to whom it is issued and only with respect to the gaming facilities

specified in the application and license. Any such license may be transferred to a new

gaming facility only upon prior approval by the Tribal Gaming Commission. All

requests for such a transfer of the license shall be submitted to the Tribal Gaming

Commission in writing and identify the proposed new gaming facility.

6.8 Identification Badges.

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6.8.1 Form of Identification Badge. The Tribal Gaming Commission shall issue

an identification badge to each Class III tribal gaming employee which shall

include a photograph, the first and last name of the employee, and an

identification number unique to that individual license, and the date of

expiration of his or her license. Each Class III tribal gaming employee shall

wear his or her identification badge in plain view at all times while in the

gaming facility.

6.8.2 Requirement to Produce. A Class III tribal gaming employee must wear his

identification in plain view during all working hours and must produce that

license upon the request ofany law enforcement official withjurisdiction over

the gaming activity or any agent ofthe Tribe, the Tribal Gaming Commission,

the National Indian Gaming Commission, or the State Gaming Agency.

6.9 No Implied Right. Neither the issuance of a license by the Tribal Gaming

Commission nor the issuance of a suitability determination by the State Gaming

Agency creates or implies a right of employment or continued employment. The

issuance of a suitability determination from the State Gaming Agency in no way

creates an implied right to a Class III tribal gaming license.

6.10 Licensing Period. A license shall be effective for a period no longer than 2 years

after the date of issuance and shall state on its face the date the license became

effective and the date that it expires.

6.11 Renewal of Class III Gaming License. Application for renewal of a license must

be made prior to its expiration. Applicants for renewal of a license shall provide

updated material as requested on the appropriate renewal forms but, at the discretion

of the Tribal Gaming Commission, may not be required to resubmit historical data

previously submitted or that is otherwise available to the Tribal Gaming Commission.

The Tribal Gaming Commission shall also require applicants for renewal to apply to

the State Gaming Agency for renewal of a determination of suitability. At the

discretion ofthe Tribal Gaming Commission, an additional background investigation

may be required at any time ifthe Tribal Gaming Commission determines the need for

further information concerning the applicants continuing suitability or eligibility for

a license. Prior to renewing a license, the Tribal Gaming Commission shall deliver to

the State Gaming Agency copies of all information and documents received in

connection with the application for renewal.

6.12 Monthly Reports to State Gaming Agency. The Tribal Gaming Commission shall

provide the State Gaming Agency with the name, badge identification number, and

job descriptions of all non-key gaming employees described in Section 6.1 of this

Title on a monthly basis.

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Section 7. Class III Financial Source License.

7.1 Current and Valid Class III Financial Source License Required. Any person

extending financing to the Tribes gaming facility or gaming operation shall be

licensed by the Tribal Gaming Commission prior to extending that financing. In

addition, all such persons must obtain a determination ofsuitability for licensure under

the California Gambling Control Act from the State Gaming Agency.

7.2 Exemptions. The Tribal Gaming Commission may, at its discretion, exempt from the

licensing requirements set out in Section 7.1 of this Title, financing provided by:

7.2.1 A federally- or state-regulated bank, savings and loan, or other federally- or

state-regulated lending institution;

7.2.2 Any agency of the federal, state, or local government; or

7.2.3 Any investor who, alone or in conjunction with others, holds less than 10%

of any outstanding indebtedness evidenced by bonds issued by the Tribe.

7.3 Business Entities. For applicants who are business entities, the licensing requirement

shall apply to the entity as well as:

7.3.1 Each of its officers and directors;

7.3.2 Each of its principal management employees, including any chief executive

officer, chief financial officer, chief operating officer, and general manager;

7.3.3 Each of its owners or partners, Wan unincorporated business;

7.3.4 Each of its members, Wa limited liability corporation;

7.3.5 Each of its shareholders who owns more than 10% of the shares of the

corporation, if a corporation; and

7.3.6 Each person or entity (other than a financial institution that the Tribal Gaming

Commission has determined does not require a license under Section 7.2 of

this Title) that alone or in combination with others, has provided financing in

connection with any gaming authorized under this Gaming Compact, if that

person or entity provided more than 10% of:

7.3.6.1 the start-up capital;

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7.3.6.2 the operating capital over a 12-month period; or

7.3.6.3 a combination thereof.

7.4 General. Sections 6.2 through 6.10 of this Title, excluding Section 6.5.3 and 6.8,

shall apply to the licensing of financial sources.

7.5 Review and Renewal. Class III financial source licenses shall be reviewed at least

every 2 years for continuing compliance. In connection with such a review, the Tribal

Gaming Commission shall require the financial source to update all information

provided in the previous application. For purposes of Section 6.11 ofthis Title, such

a review shall be deemed to constitute an application for renewal.

7.6 Effect of Denial or Expiration of Suitability Detennination by State Gaming

Agency. The Tribe shall not enter into, or continue to make payments pursuant to,

any contract or agreement for the provision of financing with any person whose

application to the State Gaming Agency for a determination of suitability has been

denied or has expired without renewal. Any agreement between the Tribe and a

financial source shall be deemed to include a provision for its termination without

further liability on the part of the Tribe, except for bona fide repayment of all

outstanding sums (exclusive of interest) owed as of the date of termination, upon

revocation or non-renewal of the financial sources license by the Tribal Gaming

Commission based on a determination of unsuitability by the State Gaming Agency.

7.7 Gaming Resource Suppliers as Financial Sources. A vendor who provides

financing exclusively in connection with the sale or lease ofgaming resources obtained

from that vendor may be licensed solely in accordance with licensing procedures

applicable, if at all, to vendors.

Section 8. Class III Gaming Resource Supplier.

8.1 Current and Valid Class 111 Gaming Vendor License Required. No person may

provide gaming resources to any Class III gaming facility or gaming operation on

Quechan Indian lands located in the State of California unless such person holds a

current and valid Class III gaming vendor license issued by the Tribal Gaming

Commission. A person who provides, or is deemed likely to provide, within any 12-

month period, at least $25,000 in gaming resources to any Class III gaming facility

or gaming operation located on Quechan Indian lands located in the State of

California, or who has received at least $25,000 from the Tribes gaming operation

in any consecutive 12-month period within the 24-month period immediately

preceding application for licensure, must also obtain a determination ofsuitability for

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licensure under the California Gambling Control Act from the State Gaming Agency.

8.2 Business Entities. For applicants who are business entities, the licensing requirement

shall apply to the entity as well as:

8.2.1 Each of its officers and directors;

8.2.2 Each of its principal management employees, including any chief executive

officer, chief financial officer, chief operating officer, and general manager;

8.2.3 Each of its owners or partners, if an unincorporated business;

8.2.4 Each of its members, if a limited liability corporation;

8.2.5 Each of its shareholders who owns more than 10% of the shares of the

corporation, if a corporation; and

8.2.6 Each person or entity (other than a financial institution that the Tribal Gaming

Commission has determined does not require a license under Section 7.2 of

this Title) that alone or in combination with others, has provided financing in

connection with any gaming authorized under this Gaming Compact, if that

person or entity provided more than 10% of:

8.2.6.1 the start-up capital;

8.2.6.2 the operating capital over a 12-month period; or

8.2.6.3 a combination thereof.

8.3 General. Sections 6.2 through 6.10 of this Title, excluding Section 6.5.3 and 6.8,

shall apply to the licensing of gaming resource suppliers.

8.4 Review and Renewal Class III gaming vendor licenses shall be reviewed at least

every 2 years for continuing compliance. In connection with such a review, the Tribal

Gaming Commission shall require the gaming resource supplier to update all

information provided in the previous application. For purposes ofSection 6.11 ofthis

Title, such a review shall be deemed to constitute an application for renewal.

8.5 Effect of Denial or Expiration of Suitability Determination by State Gaming

Agency. The Tribe shall not enter into, or continue to make payments pursuant to,

any contract or agreement for the provision of gaming resources with any person

whose application to the State Gaming Agency for a determination of suitability has

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Quechan Resolution No. R-209-02
been denied or has expired without renewal. Any agreement between the Tribe and

a gaming resource supplier shall be deemed to include a provision for its termination

without further liability on the part ofthe Tribe, except for bona fide repayment of all

outstanding sums (exclusive of interest) owed as of the date of termination, upon

revocation or non-renewal of the gaming resource suppliers license by the Tribal

Gaming Commission based on a determination of unsuitability by the State Gaming

Agency.

Section 9 Procedures for Denial, Suspension or Revocation of Class III Tribal Gaming

License.

9.1 Grounds. Based upon reasonable cause and afler notice and hearing, the Tribal

Gaming Commission may deny, suspend, or revoke any Class III tribal gaming license

for any of the grounds specified in Section 6.5.1 ofthis Title or Section 6.12 of Title

III of this Code.

9.2 Notice. Notices of denial, suspension or revocation of a Class III tribal gaming

license shall contain:

9.2.1 The name of the person to whom notice is given;

9.2.2 Citation to the requirement of this Code that has been or will be violated;

9.2.3 A description of the circumstances surrounding the violation, including the

nature of the gaming activity being conducted;

9.2.4 A reasonable time for correction, if the respondent cannot take measures to

correct the violation immediately; and

9.2.5 Notice of the right to a hearing before the Tribal Gaming Commission,

including the opportunity to present testimony, to cross-examine opposing

witnesses, and to present any other evidence as to why the Commission

should not deny, suspend or revoke the tribal gaming license or enjoin the

gaming activity;

9.3 Hearing. Upon the request of the person named in the notice, the Tribal Gaming

Commission shall set a hearing within 30 days from the date from service ofthe notice

upon the respondent.

9.3.1 At the hearing, the respondent shall have the opportunity to present witnesses,

cross-examine opposing witnesses, and to present any other evidence as to

why the Commission should not deny, suspend, or revoke the tribal gaming

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license, or enjoin the gaming activity.

9.3.2 The hearing shall be governed in all respects in accordance with tribal law and

Tribal Gaming Commission regulations.

9.4. Procedure for Emergency Suspension of a Class Ill Tribal Gaming License.

9.4.1 Grounds. Whenever the Tribal Gaming Commission has reasonable cause to

believe that the continued licensing of the person could constitute a threat to

public health or safety or may violate the licensing standards contained in the

IGRA, this Code, Tribal Gaming Commission regulations, or the California

Compact, the Tribal Gaming Commission may issue a notice of emergency

suspension of tribal gaming license.

9.4.2 Notice. The notice shall contain the information specified in Section 9.2 as

well as a statement that the respondent is entitled to a hearing within 10

business days of receipt of the notice.

9.4.3 Hearing. The Tribal Commission shall schedule a hearing within 10 business

days ofthe respondents receipt ofthe notice. The hearing shall be conducted

in accordance with Section 9.3 of this Title.

9.5 Mandatory Immediate Suspension ofClass HI Tribal Gaming Employees. Upon

the Tribal Gaming Commissions receipt of notification from the NIGC, the State

Gaming Agency, or another law enforcement entity that reliable information exists

that a Class III tribal gaming employee is not eligible for employment, the Tribal

Gaming Commission shall immediately suspend a Class III tribal gaming employee

license for not more than 30 days. Upon suspension, the Commission shall issue a

notice of mandatory immediate suspension and proposed revocation, and include the

information specified in Section 9.2 of this Title. Hearings shall be conducted in

accordance with Section 9.3 of this Title.

9.6 Duty of Tribal Gaming Participants to Cease Gaming Activity. Whenever the

Tribal Gaming Commission denies, suspends, or revokes a tribal gaming license under

this section the licensee shall immediately cease its participation in all Class III gaming

activities conducted within the jurisdiction of the Tribe.

9.7 Final Decision. Decisions ofthe Tribal Gaming Commission pursuant to this section

are final and nonreviewable unless otherwise permitted by tribal law.

Section 10 Additional Rights, Duties and Responsibilities of the Tribal Gaming

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Commission Regarding Class III Gaming in California. In addition to the other rights,

duties and responsibilities delegated to it under this Code and applicable tribal law, the Tribal

Gaming Commission shall be responsible for the following activities that relate specifically to

Class III gaming in the State of California.

10.1 Regulation. The Tribal Gaming Commission shall adopt such regulations,

procedures, specifications, and standards as may be reasonably required to implement

and comply with the provisions ofthis Code, the IGRA, the California Compact, and

other applicable gaming laws. Regulations promulgated by the Tribal Gaming

Commission shall be subject to the approval of the Tribal Council and may contain

more stringent requirements or criteria than the minimum standards contained in this

Code.

10.2 Persons Excluded. The Tribal Gaming Commission shall establish a list of persons

barred from all tribally licensed gaming facilities because their past behavior, criminal

history or association with persons or organizations poses a threat to the integrity of

the gaming activities of the Tribe or to the integrity of regulated gaming within the

State of California. The Tribal Gaming Commission shall employ its best efforts to

exclude persons on such list from entry into its licensed gaming facilities.

10.3 Ensure Proper Surveillance. The Tribal Gaming Commission shall ensure that all

Class III gaming facility operators maintain a closed-circuit television surveillance

system consistent with industry standards for gaming facilities of the type and scale

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

without the approval of, the Tribal Gaming Commission. The Tribal Gaming

Commission shall have current copies of the gaming facility floor plan and closedcircuit television system at all times, and any modifications thereof first shall be

approved by the Tribal Gaming Commission.

10.4 Investigations. The Tribal Gaming Commission shall investigate any reported

violation of the IGRA, the California Compact or tribal law occurring within the

gaming facility or surrounding premises and shall require any person to correct the

violation upon such terms and conditions as the Tribal Gaming Commission

determines are necessary and proper under the provisions of this Code.

103 Tribal Gaming Commission Right of Inspection.

10.5.1 The Tribal Gaming Commission shall have the right to inspect any gaming

facility at any time and shall have immediate access to any and all areas of a

gaming facility for the purpose ofensuring compliance with the provisions of

IGRA, this Code, Tribal Gaming Commission Regulations, and the California

Compact.

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10.5.2 The Tribal Gaming Commission shall employ Class III gaming inspectors or

agents who shall act under the authority of the Tribal Gaming Commission.

Said inspectors shall be independent of any gaming facility operator and any

management contractor, and shall be supervised and accountable only to the

Tribal Gaming Commission. Said inspectors shall have the right to inspect

any gaming thcility at any time and shall have immediate access to any and all

areas of the gaming facility. An inspector shall be present in the gaming

facility during all hours of gaming operation.

10.6 Reports from Tribal Gaming Commission Inspectors. The Tribal Gaming

Commission shall ensure that its Class III gaming inspectors report to the Tribal

Gaming Commission all unusual occurrences and all violations or suspected violations

ofthe IGRA, the California Compact or ofthe Tribes gaming laws by any employee

or agent of a gaming facility operator or any person on the premises, whether or not

such occurrences are associated with gaming activities. Regardless of the identity of

the reporter or to whom the report is made, the Tribal Gaming Commission shall

make a written record ofany unusual occurrences, violations or suspected violations,

without regard to materiality. Each entry shall be assigned a sequential number and

shall include, at a minimum, the following information which shall be recorded in

indelible ink in a bound notebook from which pages cannot be removed and each side

of each page is sequentially numbered:

10.6.1 The assigned number;

10.6.2 The date;

10.6.3 The time;

10.6.4 The location of the incident;

10.6.5 A detailed description of the incident;

10.6.6 The person(s) involved in the incident; and

10.6.7 The name ofthe security department or Tribal Gaming Commission employee

assigned to investigate.

10.7 Duty to Report to State Gaming Agency. The Tribal Gaming Commission shall

report significant or continued violations of this Compact or failures to comply with

its orders to the State Gaming Agency.

10.8 Assistance by State Gaming Agency. The Tribal Gaming Commission may request

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the assistance ofthe State Gaming Agency whenever it reasonably appears that such

assistance may be necessary to carry out the purposes of Section 10 of this Title, or

otherwise to protect public health, safety or welfare. The Tribe shall reimburse the

State of California for the states actual and reasonable costs of assistance when the

assistance requires expenditure of extraordinaiy costs.

10.9 Access to Premises by State Gaming Agency. The State Gaming Agency shall have

the right to inspect any of the Tribes gaming facilities located in the State of

California with respect to Class III gaming activities only, and all gaming facility

records relating thereto, subject to the conditions specified in Section 7.4 of the

California Compact.

10.10 Retention of Report of Inspections and Investigations. Copies of all reports of

inspections or investigations conducted by the State Gaming Agency shall be

maintained by the Tribal Gaming Commission for no less than 10 years.

10.11 Association Regulations. The Tribal Gaming Commission shall review and submit

comments to the Association on regulations proposed by the State Gaming Agency

in accordance with Section 8.4 of the California Compact.

Section 11. Public and Workplace Health and Safety, and Liability

11.1 General. The Tribe will not conduct Class III gaming in a manner that endangers the

health, safety, or welfare; provided that nothing herein shall be construed to make

applicable to the Tribe any state laws or regulations governing the use of tobacco.

11.2 Standards. The Tribe shall adopt, and make available on request, health and safety

standards described in subdivisions (a)-(c) and (e)-(k) of Section 10.2 of the

California Compact to which the gaming operation is held.

11.3 Patron Claims.

11.3.1 Insurance. The gaming operation shall carry no less than 5,000,000 in public

liability insurance for patron claims.

11.3.2 Due Diligence. The Tribe shall take reasonable steps to ensure that claims

patron claims are promptly and fairly adjudicated, and that legitimate claims

are paid in a timely manner.

11.3.3 Tort Liability Ordinance. The Tribe shall adopt and make available to

patrons a tort liability ordinance in accordance with Section 10.2(d) of the

California Compact.

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11.4 Employment Programs.

11.4.1 Workers Compensation. The Tribe shall either elect to participate in the

State statutory workers compensation system or create a workers

compensation under tribal law meeting the minimum requirements ofSection

10.3(a) of the California Compact.

11.4.2 Unemployment Benefits. The Tribes gaming operation will participate in

the States program for providing unemployment compensation benefits and

unemployment compensation disability benefits with respect to gaming

employees in accordance with Section 10.3(b) of the California Compact.

11.4.3 Taxes. As a matter of comity, with respect to persons employed at the

gaming facility, other than members of the Tribe, the Tribe shall withhold all

taxes due to the State as provided in the California Unemployment Insurance

Code and the Revenue and Taxation Code, and shall forward such amounts

as provided in said Codes to the State.

11.5 Emergency Service Accessibility. The Tribe shall make reasonable provisions for

adequate emergency fire, medical, and related relief and disaster services for patrons

and employees of the gaming facility.

11.6 Possession of Firearms. Possession of firearms shall be prohibited at all times in the

gaming facility, except for federal, state, local, or tribal security or law enforcement

personnel authorized by tribal, federal, or state law to possess firearms at the facility.

11.7 Alcoholic Beverage Service. Standards for alcohol service shall be subject to

applicable law. If the Tribe permits the consumption of alcoholic beverages in the

gaming facility, the Tribe shall prohibit persons under the age of 21 from being

present in any area in which Class III gaming activities are being conducted and in

which alcoholic beverages may be consumed, to the extent required by the California

Department of Alcoholic Beverage Control.

11.8 Prohibition Regarding Minors. The Tribe shall not permit persons under the age

of 21 to be present in any room in which Class Ill gaming activities are being

conducted.

Gaming Code of the Quechan Tribe Title IV

Enacted September 18, 2002 Page 114

Quechan Resolution No. R-209-02